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

Joseph Yong Yi

Aegis Capital Corp.BD affiliatedMelville, Ny IA-onlyIAPD 5732044

Feed of 09/14/2026

Also filed as Joe Yi

At current firm

2 y

since Apr 12, 2024

In the industry

16 y

since Jan 6, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Aegis Capital Corp. BD affiliated current
since Apr 12, 2024 · Alpharetta, Ga
Esi Financial Advisors independent RIA
May 11, 2020 to Mar 12, 2024 · Sandy Springs, Ga
MML Investors Services, LLC BD affiliated
Apr 12, 2016 to Apr 28, 2020 · Atlanta, Ga
Investment Professionals, Inc. former
Jul 13, 2015 to Mar 1, 2016 · San Antonio, Tx
Raymond James & Associates, Inc. national BD
Feb 13, 2013 to Jul 13, 2015 · Alpharetta, Ga
Morgan Keegan & Company, LLC former
Jul 10, 2012 to Feb 13, 2013 · Atlanta, Ga
Morgan Stanley wirehouse
Jan 15, 2010 to Jul 11, 2012 · Alpharetta, Ga

Moves

a registration end followed by a registration begin elsewhere

Esi Financial Advisors to Aegis Capital Corp.
left Mar 12, 2024, registered Apr 12, 2024 (31 days) · RIA to affiliated broker-dealer or bank
MML Investors Services, LLC to Esi Financial Advisors
left Apr 28, 2020, registered May 11, 2020 (13 days) · Affiliated broker-dealer or bank to another
Investment Professionals, Inc. to MML Investors Services, LLC
left Mar 1, 2016, registered Apr 12, 2016 (42 days) · Other
Raymond James & Associates, Inc. to Investment Professionals, Inc.
left Jul 13, 2015, registered Jul 13, 2015 (0 days) · Other
Morgan Keegan & Company, LLC to Raymond James & Associates, Inc.
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
Morgan Stanley to Morgan Keegan & Company, LLC
left Jul 11, 2012, registered Jul 10, 2012 (-1 days) · Other

Signals

Joseph Yong Yi left Esi Financial Advisors for Aegis Capital Corp. (registered 2024-04-12)
Mar 12, 2024 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address