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 |
|---|---|---|---|---|---|
| Alex Alberto Bardales | Esi Financial Advisors independent RIA | Thrivent Investment Management Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 28, 2025 | Apr 8, 2025 |
| Christopher Rose | Esi Financial Advisors independent RIA | Citigroup Global Markets Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 3, 2025 | Mar 12, 2025 |
| William Marshall | Esi Financial Advisors independent RIA | Newedge Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Feb 25, 2025 | Apr 21, 2025 (55 d) |
| Peter Swansen | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 18, 2025 | Jan 28, 2025 |
| Brian Kirk Vieselmeyer | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 18, 2025 | Jan 28, 2025 |
| Joseph Anthony Pezzo | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 18, 2025 | Jan 29, 2025 |
| Stuart Fontaine Thomas | Esi Financial Advisors independent RIA | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 18, 2025 | Apr 4, 2025 (45 d) |
| Gerald Martin Mirra | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 18, 2025 | Jan 29, 2025 |
| Christian K Lapeter | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Feb 5, 2025 | Jan 31, 2025 |
| Paulson Edum | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 17, 2025 | Jan 24, 2025 |
| Dennis P Zacharopoulos | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 31, 2024 | Jan 29, 2025 |
| Steven J Mattern | Esi Financial Advisors independent RIA | Amfg Wealth Management LLC state registered | RIA to a state-registered adviser | Nov 15, 2024 | Nov 19, 2024 |
| Porsche Simone Love | Esi Financial Advisors independent RIA | Investher Fiduciary Solutions, LLC state registered | RIA to a state-registered adviser | Nov 11, 2024 | Dec 18, 2024 (37 d) |
| Baylis Jadamec | Esi Financial Advisors independent RIA | Garden State Investment Advisory Services, LLC independent RIA | RIA to RIA | Nov 7, 2024 | Nov 6, 2024 |
| Lucas Margenot | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 7, 2024 | Nov 5, 2024 |
| Kristy Alayne Lash | Esi Financial Advisors independent RIA | Key Investment Services LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 4, 2024 | May 5, 2026 (547 d) |
| Lauren Grames | Esi Financial Advisors independent RIA | Independent Advisor Alliance, LLC independent RIA | RIA to RIA | Oct 31, 2024 | Feb 17, 2025 (109 d) |
| Christopher Jablonsky | Esi Financial Advisors independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Oct 24, 2024 | Nov 14, 2024 |
| Shane Fargo | Esi Financial Advisors independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Oct 21, 2024 | Nov 6, 2024 |
| Emmett Bullen | Esi Financial Advisors independent RIA | Brookstone Wealth Advisors, LLC no RAUM | Other | Oct 18, 2024 | Oct 16, 2024 |
| Ryan Michael Housteau | Esi Financial Advisors independent RIA | Saxony Capital Management, LLC independent RIA | RIA to RIA | Oct 18, 2024 | Jan 6, 2025 (80 d) |
| Danielle Lee Helfrich | Esi Financial Advisors independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 27, 2024 | Sep 24, 2024 |
| Michael Alan Rothfuss | Esi Financial Advisors independent RIA | Commonwealth Financial Network national BD | RIA to affiliated broker-dealer or bank | Sep 24, 2024 | Sep 20, 2024 |
| Toben Julian Torres | Esi Financial Advisors independent RIA | Fidelity Personal And Workplace Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Sep 10, 2024 | Feb 4, 2025 (147 d) |
| Alexander B White | Esi Financial Advisors independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Sep 5, 2024 | Oct 1, 2024 |
| Marc Alan Silverstein | Esi Financial Advisors independent RIA | Lincoln Investment independent RIA | RIA to RIA | Sep 3, 2024 | Sep 3, 2024 |
| Colleen Ann Schueneman | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2024 | Aug 5, 2024 |
| Richard Joseph Abernathy | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2024 | Aug 5, 2024 |
| David Lee Veenstra | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2024 | Aug 5, 2024 |
| Tadao Okamoto | Esi Financial Advisors independent RIA | T. Rowe Price Advisory Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Sep 3, 2024 | Nov 5, 2024 (63 d) |
| Samuel Rik Yarian | Esi Financial Advisors independent RIA | Kestra Advisory Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 20, 2024 | Sep 5, 2024 |
| Matthew Lee Bell | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 12, 2024 | Mar 14, 2025 (214 d) |
| Tahitta Diaz-Resto | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 8, 2024 | Aug 21, 2024 |
| Brian Robert Reynolds | Esi Financial Advisors independent RIA | Lincoln Investment independent RIA | RIA to RIA | Aug 1, 2024 | Aug 1, 2024 |
| Keith Jeffrey Maeder | Esi Financial Advisors independent RIA | Capital Analysts BD affiliated | RIA to affiliated broker-dealer or bank | Aug 1, 2024 | Aug 1, 2024 |
| Eric Moist | Esi Financial Advisors independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Jul 29, 2024 | Sep 20, 2024 (53 d) |
| Thomas J Pruzin | Esi Financial Advisors independent RIA | Prospera Financial Services, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Jul 24, 2024 | Sep 25, 2024 (63 d) |
| Chintan Manan Mehta | Esi Financial Advisors independent RIA | Park Avenue Securities LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 19, 2024 | Aug 9, 2024 |
| Timothy Van Ryder | Esi Financial Advisors independent RIA | First Command Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2024 | Jul 31, 2024 |
| Brian Richter | Esi Financial Advisors independent RIA | Charles Schwab & Co., Inc. national BD | RIA to affiliated broker-dealer or bank | Jun 4, 2024 | Jul 2, 2024 |
| Dax Brook | Esi Financial Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Jun 4, 2024 | Jul 22, 2024 (48 d) |
| Carl A Castanho | Esi Financial Advisors independent RIA | Securities America Advisors, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | May 7, 2024 | Apr 17, 2024 |
| Eric Lawrence Hopkins | Esi Financial Advisors independent RIA | Slc Management institutional | Other | Apr 30, 2024 | Jan 14, 2025 (259 d) |
| Eric Goodman | Esi Financial Advisors independent RIA | Vanderbilt Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Apr 25, 2024 | Apr 25, 2024 |
| Michael Pombo | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 25, 2024 | May 31, 2024 (36 d) |
| Tyler Pesola | Esi Financial Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Mar 28, 2024 | Jun 25, 2024 (89 d) |
| Justin Manfredo | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 20, 2024 | Mar 20, 2024 |
| Joseph Yong Yi | Esi Financial Advisors independent RIA | Aegis Capital Corp. BD affiliated | RIA to affiliated broker-dealer or bank | Mar 12, 2024 | Apr 12, 2024 (31 d) |
| Ronald Louis La Serra | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 8, 2024 | Mar 20, 2024 |
| Austin Sykora | Esi Financial Advisors independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 16, 2024 | Feb 22, 2024 |
| Philip Schlitter | Esi Financial Advisors independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Jan 9, 2024 | Jan 19, 2024 |
| Walter Ellis Hampton | Esi Financial Advisors independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 9, 2024 | Apr 2, 2024 (84 d) |
| Patrick Augustine Ryan | Esi Financial Advisors independent RIA | Cornerstone Advisory independent RIA | RIA to RIA | Dec 31, 2023 | Jan 26, 2024 |
| Peter Edward Katenkamp | Esi Financial Advisors independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 20, 2023 | Jan 4, 2024 |
| Wendy Warren Loehr | Esi Financial Advisors independent RIA | Captrust institutional | Other | Dec 20, 2023 | Dec 19, 2023 |
| Shon Ivan Mclain | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 27, 2023 | Nov 30, 2023 |
| James Michael Hunt | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 26, 2023 | Oct 27, 2023 |
| Charles Osivwemu | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 20, 2023 | Nov 28, 2023 (39 d) |
| Nicholas Thomas Terry | Esi Financial Advisors independent RIA | Pruco Securities, LLC BD affiliated | RIA to affiliated broker-dealer or bank | Sep 28, 2023 | Oct 3, 2023 |
| Kyla Ward | Esi Financial Advisors independent RIA | Beacon Capital Management, Inc. independent RIA | RIA to RIA | Sep 25, 2023 | Nov 2, 2023 (38 d) |
517 moves match.