DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

James M Glass

Esi Financial Advisorsindependent RIARed Bank, Njdual registrantIAPD 5170275

Feed of 09/14/2026

Also filed as James Michael Glass

At current firm

1 y

since Sep 3, 2025

In the industry

19 y

since Jun 29, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Esi Financial Advisors independent RIA current
since Sep 3, 2025 · Red Bank, Nj
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jan 6, 2022 to Aug 26, 2025 · New York, Ny
Santander Securities BD affiliated
Aug 27, 2019 to Jan 7, 2022 · Scotch Plains, Nj
J.P. Morgan Securities LLC wirehouse
Oct 1, 2012 to Dec 6, 2018 · New York, Ny
Chase Investment Services Corp. former
Sep 28, 2011 to Oct 1, 2012 · New York, Ny
Morgan Stanley wirehouse
Apr 14, 2011 to Oct 3, 2011 · Paramus, Nj

Moves

a registration end followed by a registration begin elsewhere

Merrill Lynch, Pierce, Fenner & Smith Incorporated to Esi Financial Advisors
left Aug 26, 2025, registered Sep 3, 2025 (8 days) · Wirehouse to independent RIA
Santander Securities to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 7, 2022, registered Jan 6, 2022 (-1 days) · Affiliated broker-dealer or bank to wirehouse
J.P. Morgan Securities LLC to Santander Securities
left Dec 6, 2018, registered Aug 27, 2019 (264 days) · Wirehouse to affiliated broker-dealer or bank
Chase Investment Services Corp. to J.P. Morgan Securities LLC
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
Morgan Stanley to Chase Investment Services Corp.
left Oct 3, 2011, registered Sep 28, 2011 (-5 days) · Other

Signals

James M Glass left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Esi Financial Advisors (registered 2025-09-03)
Aug 26, 2025 · Advisor changed firm · fact
James M Glass left Santander Securities for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-01-06)
Jan 7, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address