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.
Advisor moves
Departures from Esi Financial Advisors
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Tira Lee Clement | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 24, 2026 | Aug 20, 2026 |
| Michael Anthony Ragusa | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 5, 2026 | Aug 6, 2026 |
| Courtney Allison Coombs | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 3, 2026 | Aug 11, 2026 |
| Michael Eric Dugan | Esi Financial Advisors independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 28, 2026 | Sep 9, 2026 (43 d) |
| Jeffrey Thomas Gue | Esi Financial Advisors independent RIA | Raymond James Financial Services Advisors, Inc BD affiliated | RIA to affiliated broker-dealer or bank | Jul 24, 2026 | Jul 24, 2026 |
| Christopher John Lindsley | Esi Financial Advisors independent RIA | Allstate Financial Advisors, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 26, 2026 | Jul 10, 2026 |
| Jessica Marie Istchenko | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 26, 2026 | Jun 26, 2026 |
| Steven Michael Cellen | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 25, 2026 | Jun 24, 2026 |
| Alfredo Atencio | Esi Financial Advisors independent RIA | Desert Rose Capital Management, Inc. independent RIA | RIA to RIA | Jun 25, 2026 | Jul 8, 2026 |
| Rodney Barnard Cooper | Esi Financial Advisors independent RIA | R. Cooper Investments state registered | RIA to a state-registered adviser | Jun 18, 2026 | Jun 22, 2026 |
| Ryan Appelhans | Esi Financial Advisors independent RIA | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 17, 2026 | Aug 25, 2026 (69 d) |
| Thomas Villalobos | Esi Financial Advisors independent RIA | John Hancock Personal Financial Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 26, 2026 | Jun 9, 2026 |
| Christopher Todd Chilcoat | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 18, 2026 | Jun 29, 2026 (42 d) |
| Rafael Menna Barreto Gregori | Esi Financial Advisors independent RIA | Td Private Client Wealth LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 14, 2026 | May 13, 2026 |
| Laura Beninato | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 24, 2026 | May 14, 2026 |
| Sadie Skadron | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 24, 2026 | May 18, 2026 |
| Alana Kay Davis | Esi Financial Advisors independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 30, 2026 | Mar 27, 2026 |
| Christopher Daniel Marino | Esi Financial Advisors independent RIA | Tlg Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 19, 2026 | Mar 16, 2026 |
| Charles Ashley Girling | Esi Financial Advisors independent RIA | Vanguard Advisers, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 5, 2026 | Apr 17, 2026 (43 d) |
| Demond Lee Bolden | Esi Financial Advisors independent RIA | LPL Enterprise, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 3, 2026 | Mar 2, 2026 |
| Randall K Calloway | Esi Financial Advisors independent RIA | LPL Enterprise, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 3, 2026 | Mar 3, 2026 |
| Ryan Anthony Colatrella | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 18, 2026 | Feb 23, 2026 |
| Rodney Russell Kee | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 17, 2026 | Feb 18, 2026 |
| Brooks Lucien Benton Jewett | Esi Financial Advisors independent RIA | Hanover Square Wealth Advisors LLC independent RIA | RIA to RIA | Feb 13, 2026 | Apr 2, 2026 (48 d) |
| David Clay Rouse | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 11, 2026 | Feb 10, 2026 |
| Donald Allison | Esi Financial Advisors independent RIA | Spc BD affiliated | RIA to affiliated broker-dealer or bank | Feb 11, 2026 | Mar 2, 2026 |
| Paul Jacob Howland | Esi Financial Advisors independent RIA | Civitas Financial LLC state registered | RIA to a state-registered adviser | Jan 13, 2026 | Feb 10, 2026 |
| Derrick Malcolm Wilson | Esi Financial Advisors independent RIA | Edelman Financial Engines independent RIA | RIA to RIA | Dec 31, 2025 | Apr 13, 2026 (103 d) |
| Mervin Edward Fatter | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2025 | Jan 27, 2026 |
| Robert F Butler | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 10, 2025 | Dec 8, 2025 |
| Andrew Gentiluomo | Esi Financial Advisors independent RIA | Consolidated Portfolio Review Corp independent RIA | RIA to RIA | Nov 12, 2025 | Dec 23, 2025 (41 d) |
| Derek A Meka | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 30, 2025 | Sep 17, 2025 |
| David Balkcom | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 26, 2025 | Oct 2, 2025 |
| Henry William Boettger | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 23, 2025 | Sep 30, 2025 |
| Jarrod Perry | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 22, 2025 | Sep 18, 2025 |
| Austin Vanderhoof | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 18, 2025 | Sep 17, 2025 |
| Leonardo Ramirez | Esi Financial Advisors independent RIA | Ae Wealth Management, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 12, 2025 | Oct 24, 2025 (42 d) |
| Dylan Robert Corapi | Esi Financial Advisors independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Sep 5, 2025 | Sep 25, 2025 |
| Zachary Robert Goreczny | Esi Financial Advisors independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Aug 29, 2025 | Nov 5, 2025 (68 d) |
| James Richard Kerr | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 22, 2025 | Sep 9, 2025 |
| Bradley G. Sofonia | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 22, 2025 | Sep 8, 2025 |
| Spencer Schreiber Miller | Esi Financial Advisors independent RIA | Equitable Advisors, LLC national BD | RIA to affiliated broker-dealer or bank | Aug 18, 2025 | Oct 31, 2025 (74 d) |
| Brian Mccarthy | Esi Financial Advisors independent RIA | Valic Financial Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2025 | Aug 21, 2025 |
| Noel Justin Kaminski | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 14, 2025 | Aug 11, 2025 |
| Michael D Relyea | Esi Financial Advisors independent RIA | Schwab Wealth Advisory, Inc. no RAUM | Other | Aug 8, 2025 | Sep 17, 2025 (40 d) |
| Vincent Dagnese | Esi Financial Advisors independent RIA | Westchester Wealth Management state registered | RIA to a state-registered adviser | Aug 7, 2025 | Apr 24, 2026 (260 d) |
| Justin Volence | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 7, 2025 | Jul 11, 2025 |
| Eric Gottesman | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 4, 2025 | Aug 1, 2025 |
| Michael Puttmann | Esi Financial Advisors independent RIA | LPL Enterprise, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 16, 2025 | Jul 16, 2025 |
| Jake Isaac Sarnoff | Esi Financial Advisors independent RIA | Providence Financial And Insurances, Inc. independent RIA | RIA to RIA | Jul 1, 2025 | Aug 1, 2025 (31 d) |
| Anthony John Khoury | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jun 23, 2025 | Jun 20, 2025 |
| James Silvagni | Esi Financial Advisors independent RIA | Advisor Share Wealth Management, LLC independent RIA | RIA to RIA | Jun 3, 2025 | Jun 26, 2025 |
| Christopher Joseph Monroe | Esi Financial Advisors independent RIA | Fortis Group Advisors LLC independent RIA | RIA to RIA | May 20, 2025 | Aug 19, 2026 (456 d) |
| Timothy Joseph Denis | Esi Financial Advisors independent RIA | Equitable Advisors, LLC national BD | RIA to affiliated broker-dealer or bank | May 16, 2025 | Jun 6, 2025 |
| Anthony Levine | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 5, 2025 | May 6, 2025 |
| Thomas Andrew Lynch | Esi Financial Advisors independent RIA | Holistic Wealth Advisors independent RIA | RIA to RIA | May 1, 2025 | May 5, 2025 |
| William Michael Brinkley | Esi Financial Advisors independent RIA | First Heartland Consultants, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Apr 22, 2025 | Apr 16, 2025 |
| Cecelia Nelson | Esi Financial Advisors independent RIA | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 14, 2025 | May 8, 2025 |
| Michael Faulhaber | Esi Financial Advisors independent RIA | First Command Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Apr 1, 2025 | Apr 17, 2025 |
| Joseph Steven Klein | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2025 | Mar 27, 2025 |
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517 moves match.