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.
SEC-registered adviser
Esi Financial Advisors
Legal name Equity Services, Inc.
Latest filing Jul 1, 2026
First filing on the tape Nov 22, 2011 · 91 filings
SEC status approved since Jul 9, 1992
RAUM
$2.8B
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
95%
$2.6B individuals and HNW
Advisors
507
registered through the firm on IAPD
RAUM per advisor
$5.5M
derived; firm RAUM over IAPD count
Employees
500
460 advisory (5.B.1)
Offices
257
beyond the principal office
Private funds
0
reported on Schedule D
History
91 filings and snapshots on the tape
RAUM$2.8B as of Jul 1, 2026
Mar 30, 2012$728M then
HNW client RAUM$1.2B as of Jul 1, 2026
Mar 30, 2018$458M then
State-registered IARs (5.B.3)495 as of Jul 1, 2026
Mar 28, 2013220 then
Employees (5.A)500 as of Jul 1, 2026
Mar 28, 2013360 then
Private funds: no history
RAUM +31% over the last fiscal year+14% a year over threeIARs 450 to 495offices 230 to 257
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $5.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $397,232derivedHNW RAUM over HNW clients
- Average account
- $224,360derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived258 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- $2.5BreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.4B52%
- High-net-worth individuals$1.2B43%
- Pension and profit-sharing plans$93.1M3.4%
- Corporations and businesses$42.3M1.5%
- Charitable organizations$1.2M0.0%
- Individual clients
- 8,856reported
- HNW clients
- 3,041reported
- Pension plan clients
- 375reported
- Charitable clients
- 4reported
- Accounts
- 12,379reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $1.4B sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=470.0derived
Advisors registered through the firm
507 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Alan Soud | Boca Raton, Fl | Jul 30, 1992 | 44 y | 0 |
| Bert Henry Livingston | Boca Raton, Fl | Jul 30, 1992 | 41 y | 0 |
| Meredith Trott AugustoniChartered Financial Consultant | Colchester, Vt | Feb 6, 1996 | 50 y | 0 |
| Charles Vincent CreightonChartered Financial Consultant | Media, Pa | Jan 7, 1997 | 44 y | 0 |
| Rich W Kelly | Portland, Or | Aug 22, 1997 | 41 y | 0 |
| Alan Jerome FishmanCertified Financial Planner | Media, Pa | Mar 5, 1999 | 34 y | 0 |
| Todd Franklin Hearp | Roanoke, Va | Mar 9, 1999 | 37 y | 0 |
| John Franklin VittChartered Financial Consultant | Chicago, Il | Apr 15, 1999 | 51 y | 0 |
| Donald Rodger BoisvertChartered Financial Consultant | Colchester, Vt | Jun 10, 1999 | 42 y | 0 |
| John Charles Maffe | Boca Raton, Fl | Jun 22, 1999 | 31 y | 0 |
| Edgar Parsons RobertsChartered Financial Consultant | Winston Salem, Nc | Feb 11, 2000 | 42 y | 0 |
| Alexander Sands Smith | Winston Salem, Nc | Feb 29, 2000 | 36 y | 0 |
| Michael Allen Goss | Overland Park, Ks | May 1, 2000 | 45 y | 0 |
| James Rick KirbyChartered Financial Consultant | Charlotte, Nc | Jun 21, 2000 | 41 y | 0 |
| Steven Alan SimonChartered Financial Consultant | Beverly Hills, Ca | Nov 30, 2000 | 35 y | 0 |
| Michael Thomas StoneChartered Financial Consultant | Chicago, Il | Jan 16, 2001 | 40 y | 0 |
| Matthew Stanley LempaChartered Financial Consultant | Media, Pa | Mar 7, 2001 | 26 y | 0 |
| Robert Eugene ThompsonChartered Financial Consultant | Lincoln, Ne | Jun 8, 2001 | 52 y | 0 |
| Gary Tucker GossChartered Financial Consultant | Overland Park, Ks | Jun 11, 2001 | 51 y | 0 |
| Marsha Louise Tellesbo | Bellevue, Wa | Nov 28, 2001 | 46 y | 0 |
| Scott Patrick MaitlandCertified Financial Planner, Chartered Financial Consultant | Montpelier, Vt | Dec 21, 2001 | 33 y | 0 |
| G. David NolanChartered Financial Consultant | Chicago, Il | Jan 2, 2002 | 42 y | 0 |
| Thomas Alden Bailey | Glastonbury, Ct | Apr 11, 2002 | 26 y | 0 |
| Hans J. Allen MansethCertified Financial Planner | Portland, Or | May 28, 2002 | 24 y | 0 |
| Martin Ira Trehub | Glastonbury, Ct | Jul 2, 2002 | 39 y | 0 |
| William Tyler Hinman | Clifton Park, Ny | Aug 8, 2002 | 29 y | 0 |
| Scott Michael LevinCertified Financial Planner | Timonium, Md | Sep 18, 2002 | 32 y | 0 |
| Barry Amos TeagueChartered Financial Consultant | Charlotte, Nc | Oct 8, 2002 | 49 y | 0 |
| Richard Harris | Red Bank, Nj | Oct 24, 2002 | 25 y | 0 |
| Barry Edward WirtChartered Financial Consultant | Roanoke, Va | Oct 30, 2002 | 42 y | 0 |
| Hillory Purvis BurkettCertified Financial Planner | Sandy Springs, Ga | Feb 24, 2003 | 39 y | 0 |
| John Walton Poss | Sandy Springs, Ga | Mar 3, 2003 | 38 y | 0 |
| Daniel Earl WolodkiewiczCertified Financial Planner | Montpelier, Vt | Mar 19, 2003 | 27 y | 1 |
| Thomas Michael Kasprzak | Colchester, Vt | Apr 2, 2003 | 33 y | 0 |
| Mark VoskChartered Financial Consultant | Sandy Springs, Ga | Apr 11, 2003 | 28 y | 0 |
| John Thompson Rickelton | Charlotte, Nc | Apr 28, 2003 | 41 y | 0 |
| Michelle Prairie LawrencePersonal Financial Specialist | Colchester, Vt | May 16, 2003 | 23 y | 0 |
| Robert Nicholas Boswell | Media, Pa | Jan 22, 2004 | 24 y | 0 |
| Craig Eric Berman | Hunt Valley, Md | Jun 22, 2004 | 27 y | 1 |
| Daniel Francis Randall | Montpelier, Vt | Jul 2, 2004 | 29 y | 0 |
Advisor movement
36 left, 55 joined in 12 months
net +19 in 12 months9 left in 90 days9 joined in 90 daysdeparture rate 7.1% of current headcount120 left over 36 months
Left, latest
- Tira Lee Clement to Cetera Investment Advisers LLCAug 24, 2026 · RIA to affiliated broker-dealer or bank
- Michael Anthony Ragusa to LPL Financial LLCAug 5, 2026 · RIA to affiliated broker-dealer or bank
- Courtney Allison Coombs to MML Investors Services, LLCAug 3, 2026 · RIA to affiliated broker-dealer or bank
- Michael Eric Dugan to Vanguard Advisers, Inc.Jul 28, 2026 · RIA to affiliated broker-dealer or bank
- Jeffrey Thomas Gue to Raymond James Financial Services Advisors, IncJul 24, 2026 · RIA to affiliated broker-dealer or bank
- Jessica Marie Istchenko to LPL Financial LLCJun 26, 2026 · RIA to affiliated broker-dealer or bank
- Christopher John Lindsley to Allstate Financial Advisors, LLCJun 26, 2026 · RIA to affiliated broker-dealer or bank
- Steven Michael Cellen to LPL Financial LLCJun 25, 2026 · RIA to affiliated broker-dealer or bank
- Alfredo Atencio to Desert Rose Capital Management, Inc.Jun 25, 2026 · RIA to RIA
- Rodney Barnard Cooper to R. Cooper InvestmentsJun 18, 2026 · RIA to a state-registered adviser
- Ryan Appelhans to Park Avenue Securities LLCJun 17, 2026 · RIA to affiliated broker-dealer or bank
- Thomas Villalobos to John Hancock Personal Financial Services, LLCMay 26, 2026 · RIA to affiliated broker-dealer or bank
- Christopher Todd Chilcoat to MML Investors Services, LLCMay 18, 2026 · RIA to affiliated broker-dealer or bank
- Rafael Menna Barreto Gregori to Td Private Client Wealth LLCMay 14, 2026 · RIA to affiliated broker-dealer or bank
- Sadie Skadron to MML Investors Services, LLCApr 24, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- Jason Jose Valdez from Thrivent Investment Management Inc.Aug 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brian Lazusky from Knights Of Columbus Asset Advisors LLCAug 7, 2026 · Other
- Garth David Gherardini from Integrity Alliance, LLCAug 3, 2026 · Affiliated broker-dealer or bank to independent RIA
- Gabriel Joseph Jewula from Equitable Advisors, LLCJul 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- Matthew James Mccabe from LPL Enterprise, LLCJul 16, 2026 · Affiliated broker-dealer or bank to independent RIA
- James Winokur from Creativeone Wealth, LLCJul 6, 2026 · RIA to RIA
- Victoria K Terrazzino from Belpointe Asset Management LLCJul 1, 2026 · RIA to RIA
- Joseph Charles Tuzzolo from Nasdaq Dorsey WrightJun 23, 2026 · RIA to RIA
- Ka Dedrick Richardson from MML Investors Services, LLCJun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- Joseph Brent Morley from MML Investors Services, LLCMay 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- John Louis Lombardo from Brookstone Wealth Advisors, LLCMay 15, 2026 · Other
- Albert Binman from Ameritas Advisory Services, LLCMay 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- Brian Mccarthy from Valic Financial Advisors, Inc.Apr 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- Emanuel Thomason from Edward JonesApr 10, 2026 · Affiliated broker-dealer or bank to independent RIA
- Christopher John Lindsley from LPL Enterprise, LLCApr 8, 2026 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Financial LLCJun 25, 2026 · Latham, Ny
- 2 left for LPL Enterprise, LLCMar 3, 2026 · Lynchburg, Va
- 2 left for LPL Financial LLCFeb 11, 2026 · Prosper, Tx
- 3 left for Osaic Wealth, Inc.Sep 18, 2025 · Herkimer, Ny
- 2 left for MML Investors Services, LLCAug 7, 2025 · Hauppauge, Ny
- 4 left for Cetera Investment Advisers LLCFeb 18, 2025 · Latham, Ny
- 3 left for Osaic Wealth, Inc.Sep 3, 2024 · Troy, Mi
- 2 left for J.P. Morgan Securities LLCSep 14, 2023 · Hauppauge, Ny
- 2 joined from Knights Of Columbus Asset Advisors LLCJan 6, 2026 · New Haven, Ct
- 2 joined from MML Investors Services, LLCJul 15, 2025 · Amherst, Ny
- 2 joined from Knights Of Columbus Asset Advisors LLCJun 20, 2025 · New Haven, Ct
- 2 joined from MML Investors Services, LLCJun 3, 2025 · Raleigh, Nc
- 3 joined from Knights Of Columbus Asset Advisors LLCJul 18, 2024 · Richmond, Va
- 2 joined from Pruco Securities, LLCMar 8, 2023 · New Castle, Pa
- 2 joined from MML Investors Services, LLCApr 2, 2019 · Tarrytown, Ny
- 2 joined from Trustee Empowerment & Protection, Inc.Sep 4, 2018 · Albany, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Mehran Assadi · Director & Chairman Of The Boardcontrolsince 02/2008 · owns less than 5%
- Ataollah Azarshahi · President & Ceocontrolsince 08/2020 · owns less than 5%
- Robert Earl Cotton · Directorcontrolsince 06/2010 · owns less than 5%
- Alex Marcus David · President & Ceo Officer And Treasurercontrolsince 12/2025 · owns less than 5%
- Rebecca Nassar Dunne · Directorcontrolsince 07/2022 · owns less than 5%
- Robert Franklin · Svp, Compliance & Ccocontrolsince 09/2023 · owns less than 5%
- Matthew Frazee · Directorcontrolsince 11/2020 · owns less than 5%
- John Francis Keenan · Svp, Business Developmentcontrolsince 05/2022 · owns less than 5%
- Eric Keith Kucinskas · Vp, Finop & Treasurercontrolsince 03/2022 · owns less than 5%
- Brian Wilbur Nelson · Vp, Business Developmentcontrolsince 02/2026 · owns less than 5%
- Gregory Dwight Teese · Svp, Operations, Coocontrolsince 04/2019 · owns less than 5%
- Carrie Ann Fox · Vp, Finopsince 11/2025 · owns less than 5%
- Ian Andrew Mckenny · Vp, Chief Counsel & Secretarysince 05/2007 · owns less than 5%
- Rebecca Palmer · Chief Information Security Officersince 03/2021 · owns less than 5%
Entity owners
- Nlv Financial Corporation · Shareholderdirect · owns 75% or more
- National Life Holding Company · Shareholderindirect · owns 75% or more of Nlv Financial Corporation
Related persons
Schedule D 7.A
- Catamount Reinsurance Companyreal estaten
- Life Insurance Company Of The Southwestreal estaten
- Longhorn Reinsurance Companyreal estaten
- National Life Distribution, LLCreal estaten
- National Life Insurance Companyreal estaten
- Nlg Capital LLCinvestment advisernRAUM $47B
Advisers that list Esi Financial Advisors as a related person
- 109396 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Montpelier, Vt · principal | 85 | 7 | 1 | ||
| Colchester, Vt | 60 | 6 | 1 | ||
| Chicago, Il | 43 | 12 | 3 | ||
| Red Bank, Nj | 40 | 3 | 1 | ||
| Hauppauge, Ny | 37 | 8 | 1 | ||
| Roanoke, Va | 35 | 12 | 3 | ||
| Media, Pa | 32 | 2 | 1 | ||
| Latham, Ny | 28 | 5 | 4 | 1 | |
| New York, Ny | 25 | 3 | 1 | ||
| Sandy Springs, Ga | 23 | 5 | 1 | ||
| Melville, Ny | 19 | 2 | 0 | ||
| Boca Raton, Fl | 19 | 2 | 1 | ||
| Charlotte, Nc | 18 | 1 | 2 | ||
| Timonium, Md | 18 | 2 | 1 | ||
| Addison, Tx | 18 | 3 | 0 | ||
| Clifton Park, Ny | 14 | 2 | 0 | ||
| Roseland, Nj | 13 | 0 | 0 | ||
| Irvine, Ca | 12 | 4 | 0 | ||
| Fairfax, Va | 11 | 3 | 0 | ||
| South Jordan, Ut | 9 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hauppauge, NY40 employees
- Latham, NY37 employees
- Chicago, IL36 employees
- Media, PA32 employees
- Red Bank, NJ30 employees
- Clifton Park, NY27 employees
- Atlanta, GA27 employees
- Colchester, VT21 employees
- Glastonbury, CT16 employees
- New York, NY14 employees
- Timonium, MD14 employees
- Columbus, OH11 employees
- Roanoke, VA10 employees
- Charlotte, NC10 employees
- Southlake, TX9 employees
- Melville, NY7 employees
- Winston-Salem, NC7 employees
- Jacksonville, FL7 employees
- Troy, MI6 employees
- Boca Raton, FL6 employees
- Roseland, NJ5 employees
- Irvine, CA5 employees
- Beverly Hills, CA2 employees
- Pittsford, NY2 employees
- Manchester, NH1 employees
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 1, 2026DAVID, ALEX MARCUS (PRESIDENT & CEO OFFICER AND TREASURER) appeared on Schedule A between the filings of 2023-10-17 and 2026-07-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 1, 2026NELSON, BRIAN WILBUR (VP, BUSINESS DEVELOPMENT) appeared on Schedule A between the filings of 2023-10-17 and 2026-07-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 1, 2026KEENAN, JOHN FRANCIS (SVP, BUSINESS DEVELOPMENT) left Schedule A between the filings of 2023-10-17 and 2026-07-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 1, 2026FRANKLIN, ROBERT (SVP, COMPLIANCE & CCO) left Schedule A between the filings of 2023-10-17 and 2026-07-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 1, 2026KUCINSKAS, ERIC KEITH (VP, FINOP & TREASURER) left Schedule A between the filings of 2023-10-17 and 2026-07-01peers: independent wealth managers, $1B to $5B (1,360)
- control person changedChange between filings · filing Jul 1, 2026AZARSHAHI, ATAOLLAH (PRESIDENT & CEO) left Schedule A between the filings of 2023-10-17 and 2026-07-01peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 12,116 to 12,379Jan 26, 2026 to Mar 30, 2026
- Advisory employees · 430 to 460Jan 26, 2026 to Mar 30, 2026
- BD registered reps · 455 to 470Jan 26, 2026 to Mar 30, 2026
- Corporate clients · 42 to 103Jan 26, 2026 to Mar 30, 2026
- HNW clients · 2,919 to 3,041Jan 26, 2026 to Mar 30, 2026
- Individual clients · 8,860 to 8,856Jan 26, 2026 to Mar 30, 2026
- Pension plan clients · 291 to 375Jan 26, 2026 to Mar 30, 2026
- Employees · 470 to 500Jan 26, 2026 to Mar 30, 2026
- Financial planning clients · 101-250 to 251-500Jan 26, 2026 to Mar 30, 2026
- State-registered IARs · 470 to 495Jan 26, 2026 to Mar 30, 2026
- Discretionary RAUM · $527M to $1.1BJan 26, 2026 to Mar 30, 2026
- HNW RAUM · $1.1B to $1.2BJan 26, 2026 to Mar 30, 2026
- Individual RAUM · $1.3B to $1.4BJan 26, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $1.9B to $1.6BJan 26, 2026 to Mar 30, 2026
- Pension RAUM · $69.5M to $93.1MJan 26, 2026 to Mar 30, 2026
- RAUM · $2.5B to $2.8BJan 26, 2026 to Mar 30, 2026
- Wrap assets (sponsor) · $565M to $1.4BJan 26, 2026 to Mar 30, 2026
- Financial planning clients · 101-250 to 101-250Jun 19, 2025 to Jul 23, 2025
- Accounts · 11,558 to 12,116Jan 30, 2025 to May 1, 2025
- Advisory employees · 420 to 430Jan 30, 2025 to May 1, 2025
- BD registered reps · 440 to 455Jan 30, 2025 to May 1, 2025
- Corporate clients · 50 to 42Jan 30, 2025 to May 1, 2025
- HNW clients · 2,659 to 2,919Jan 30, 2025 to May 1, 2025
- Individual clients · 8,556 to 8,860Jan 30, 2025 to May 1, 2025
- Pension plan clients · 289 to 291Jan 30, 2025 to May 1, 2025
- Employees · 450 to 470Jan 30, 2025 to May 1, 2025
- State-registered IARs · 450 to 470Jan 30, 2025 to May 1, 2025
- Other offices · 230 to 257Jan 30, 2025 to May 1, 2025
- Discretionary RAUM · $637M to $527MJan 30, 2025 to May 1, 2025
- HNW RAUM · $885M to $1.1BJan 30, 2025 to May 1, 2025
- Individual RAUM · $1.2B to $1.3BJan 30, 2025 to May 1, 2025
- Non-discretionary RAUM · $1.5B to $1.9BJan 30, 2025 to May 1, 2025
- Pension RAUM · $64.2M to $69.5MJan 30, 2025 to May 1, 2025
- RAUM · $2.1B to $2.5BJan 30, 2025 to May 1, 2025
- Wrap assets (sponsor) · $386M to $565MJan 30, 2025 to May 1, 2025
- Accounts · 11,317 to 11,558Oct 17, 2023 to Apr 1, 2024
- Charity clients · 5 to 4Oct 17, 2023 to Apr 1, 2024
- Corporate clients · 51 to 50Oct 17, 2023 to Apr 1, 2024
- HNW clients · 2,575 to 2,659Oct 17, 2023 to Apr 1, 2024
- Individual clients · 8,410 to 8,556Oct 17, 2023 to Apr 1, 2024
Signals
60 dated events
- Joseph Charles Tuzzolo no longer holds an investment adviser registration (last listed at Esi Financial Advisors on the 2026-09-15 feed)Sep 15, 2026 · Advisor registration ended · derived
- Tira Lee Clement left Esi Financial Advisors for Cetera Investment Advisers Llc (registered 2026-08-20)Aug 24, 2026 · Advisor changed firm · fact
- Michael Anthony Ragusa left Esi Financial Advisors for Lpl Financial Llc (registered 2026-08-06)Aug 5, 2026 · Advisor changed firm · fact
- Courtney Allison Coombs left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-08-11)Aug 3, 2026 · Advisor changed firm · fact
- Michael Eric Dugan left Esi Financial Advisors for Vanguard Advisers, Inc. (registered 2026-09-09)Jul 28, 2026 · Advisor changed firm · fact
- Jeffrey Thomas Gue left Esi Financial Advisors for Raymond James Financial Services Advisors, Inc (registered 2026-07-24)Jul 24, 2026 · Advisor changed firm · fact
- Christopher John Lindsley left Esi Financial Advisors for Allstate Financial Advisors, Llc (registered 2026-07-10)Jun 26, 2026 · Advisor changed firm · fact
- Jessica Marie Istchenko left Esi Financial Advisors for Lpl Financial Llc (registered 2026-06-26)Jun 26, 2026 · Advisor changed firm · fact
- Steven Michael Cellen left Esi Financial Advisors for Lpl Financial Llc (registered 2026-06-24)Jun 25, 2026 · Advisor changed firm · fact
- 2 advisors left Esi Financial Advisors (Latham, NY) for LPL Financial LLC a day apartJun 25, 2026 · Team lift-out · derived
- Rodney Barnard Cooper left Esi Financial Advisors for R. Cooper Investments (registered 2026-06-22)Jun 18, 2026 · Advisor changed firm · fact
- Ryan Appelhans left Esi Financial Advisors for Park Avenue Securities Llc (registered 2026-08-25)Jun 17, 2026 · Advisor changed firm · fact
- Thomas Villalobos left Esi Financial Advisors for John Hancock Personal Financial Services, Llc (registered 2026-06-09)May 26, 2026 · Advisor changed firm · fact
- Christopher Todd Chilcoat left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-06-29)May 18, 2026 · Advisor changed firm · fact
- Rafael Menna Barreto Gregori left Esi Financial Advisors for Td Private Client Wealth Llc (registered 2026-05-13)May 14, 2026 · Advisor changed firm · fact
- Sadie Skadron left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-05-18)Apr 24, 2026 · Advisor changed firm · fact
- Laura Beninato left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-05-14)Apr 24, 2026 · Advisor changed firm · fact
- Alana Kay Davis left Esi Financial Advisors for Prospera Financial Services, Inc. (registered 2026-03-27)Mar 30, 2026 · Advisor changed firm · fact
- Christopher Daniel Marino left Esi Financial Advisors for Tlg Advisors, Inc. (registered 2026-03-16)Mar 19, 2026 · Advisor changed firm · fact
- Charles Ashley Girling left Esi Financial Advisors for Vanguard Advisers, Inc. (registered 2026-04-17)Mar 5, 2026 · Advisor changed firm · fact
- Randall K Calloway left Esi Financial Advisors for Lpl Enterprise, Llc (registered 2026-03-03)Mar 3, 2026 · Advisor changed firm · fact
- Demond Lee Bolden left Esi Financial Advisors for Lpl Enterprise, Llc (registered 2026-03-02)Mar 3, 2026 · Advisor changed firm · fact
- 2 advisors left Esi Financial Advisors (Lynchburg, VA) for LPL Enterprise, LLC on the same dayMar 3, 2026 · Team lift-out · derived
- Ryan Anthony Colatrella left Esi Financial Advisors for Mml Investors Services, Llc (registered 2026-02-23)Feb 18, 2026 · Advisor changed firm · fact
- Rodney Russell Kee left Esi Financial Advisors for Lpl Financial Llc (registered 2026-02-18)Feb 17, 2026 · Advisor changed firm · fact
- Brooks Lucien Benton Jewett left Esi Financial Advisors for Hanover Square Wealth Advisors Llc (registered 2026-04-02)Feb 13, 2026 · Advisor changed firm · fact
- Donald Allison left Esi Financial Advisors for Spc (registered 2026-03-02)Feb 11, 2026 · Advisor changed firm · fact
- David Clay Rouse left Esi Financial Advisors for Lpl Financial Llc (registered 2026-02-10)Feb 11, 2026 · Advisor changed firm · fact
- 2 advisors left Esi Financial Advisors (Prosper, TX) for LPL Financial LLC within 6 daysFeb 11, 2026 · Team lift-out · derived
- Paul Jacob Howland left Esi Financial Advisors for Civitas Financial Llc (registered 2026-02-10)Jan 13, 2026 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-344-7437reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/EQUITY-SERVICES-INCreportedpublic record, Form ADV, Sep 17, 2026
- Website
- EQUITY-SERVICES.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 800-344-7437reportedpublic record, Form ADV, Jul 1, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026