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 |
|---|---|---|---|---|---|
| William P. Hermanek | Esi Financial Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 14, 2023 | Sep 26, 2023 |
| Joseph Lefebvre | Esi Financial Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Sep 14, 2023 | Nov 2, 2023 (49 d) |
| Craig C Irby | Esi Financial Advisors independent RIA | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | RIA to wirehouse | Sep 6, 2023 | Oct 30, 2023 (54 d) |
| Mark G Curley | Esi Financial Advisors independent RIA | Citizens Securities, Inc. BD affiliated | RIA to affiliated broker-dealer or bank | Aug 31, 2023 | Sep 8, 2023 |
| Matthew Gentile | Esi Financial Advisors independent RIA | Ameriprise Financial Services, LLC national BD | RIA to affiliated broker-dealer or bank | Aug 24, 2023 | Aug 31, 2023 |
| John David Blumberg | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 23, 2023 | Jul 23, 2025 (700 d) |
| Nicholas J. Novellino | Esi Financial Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | RIA to wirehouse | Aug 22, 2023 | Aug 23, 2023 |
| Dylan Miles | Esi Financial Advisors independent RIA | Stifel, Nicolaus & Company, Incorporated national BD | RIA to affiliated broker-dealer or bank | Aug 8, 2023 | Sep 25, 2023 (48 d) |
| Brian Keith Scaletta | Esi Financial Advisors independent RIA | Avantax Advisory Services BD affiliated | RIA to affiliated broker-dealer or bank | Aug 3, 2023 | Aug 25, 2023 |
| Thomas Murphy | Esi Financial Advisors independent RIA | Raymond James & Associates, Inc. national BD | RIA to affiliated broker-dealer or bank | Aug 2, 2023 | Jan 4, 2024 (155 d) |
| Lawson Frank | Esi Financial Advisors independent RIA | Wells Fargo Advisors wirehouse | RIA to wirehouse | Jul 3, 2023 | Jun 25, 2024 (358 d) |
| April Deshawn Murdaugh | Esi Financial Advisors independent RIA | Woman To Woman Financial state registered | RIA to a state-registered adviser | Apr 3, 2023 | Jan 1, 2025 (639 d) |
| Anthony Sarullo | Esi Financial Advisors BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Mar 20, 2023 | Apr 10, 2023 |
| Justin Gregory Clark | Esi Financial Advisors BD affiliated | Tiller Private Wealth, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 3, 2023 | Feb 21, 2023 |
| Jared Spivey | Esi Financial Advisors BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Jan 30, 2023 | Feb 21, 2023 |
| Mustaque Haider Choudhury | Esi Financial Advisors BD affiliated | Oneamerica Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Jan 25, 2023 | May 3, 2023 (98 d) |
| Rodolfo Ernesto Rodriguez | Esi Financial Advisors BD affiliated | Epg Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2022 | Jan 10, 2023 |
| David Stuart Jones | Esi Financial Advisors BD affiliated | Epg Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2022 | Jan 6, 2023 |
| Samantha Brandon Beverley | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 30, 2023 |
| Ramon Luis Martinez | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 15, 2022 | Jan 9, 2023 |
| Nicholas Annicchiarico | Esi Financial Advisors BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 30, 2022 | Nov 27, 2023 (362 d) |
| John C Rogers | Esi Financial Advisors BD affiliated | Wealthcare Financial Group, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 15, 2022 | May 15, 2023 (181 d) |
| Jori Guzhuna | Esi Financial Advisors BD affiliated | Ameritas Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2022 | Mar 1, 2023 (106 d) |
| Brian Kenneth Groover | Esi Financial Advisors BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 11, 2022 | Nov 28, 2022 |
| Joseph William Remson | Esi Financial Advisors BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 7, 2022 | Dec 2, 2022 |
| Paul Quebec | Esi Financial Advisors BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2022 | Dec 2, 2022 |
| Brendan Shea Bayron | Esi Financial Advisors BD affiliated | Foundations Investment Advisors LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 4, 2022 | Dec 13, 2022 (39 d) |
| Philip Thomas Purpura | Esi Financial Advisors BD affiliated | Royal Fund Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 9, 2022 | Sep 6, 2022 |
| Joseph Barbagallo | Esi Financial Advisors BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 2, 2022 | Sep 22, 2022 |
| Michael Vincent Hunt | Esi Financial Advisors BD affiliated | Principal Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Aug 24, 2022 | Aug 25, 2022 |
| Robert S Gershon | Esi Financial Advisors BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 22, 2022 | Aug 19, 2022 |
| Nancy Anne Davis Harris | Esi Financial Advisors BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 5, 2022 | Aug 5, 2022 |
| Gayle Marie Jendzejec | Esi Financial Advisors BD affiliated | Prosperity Capital Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 2, 2022 | Aug 3, 2022 |
| Daniel Robert Moruzzi | Esi Financial Advisors BD affiliated | Kestra Advisory Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 29, 2022 | Jun 27, 2022 |
| Jason R Brim | Esi Financial Advisors BD affiliated | Charles Schwab & Co., Inc. national BD | Affiliated broker-dealer or bank to another | May 31, 2022 | Jun 15, 2022 |
| Victor Tassone | Esi Financial Advisors BD affiliated | Vt Wealth Advisory LLC unclassified | Other | May 25, 2022 | Jun 7, 2022 |
| Daniel Fahringer | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Apr 26, 2022 | Apr 27, 2022 |
| Julio Soria | Esi Financial Advisors BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Apr 22, 2022 | Aug 2, 2023 (467 d) |
| Scott Richard Solod | Esi Financial Advisors BD affiliated | Hammond Iles Wealth Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 18, 2022 | May 3, 2022 |
| Sage Tomlin Bahre | Esi Financial Advisors BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2022 | Jul 13, 2022 (96 d) |
| Erik D Sharkey | Esi Financial Advisors BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2022 | Apr 14, 2022 |
| James Andrew Lacour | Esi Financial Advisors BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 18, 2022 | Nov 3, 2022 (258 d) |
| Todd A Feder | Esi Financial Advisors BD affiliated | Girard Advisory Services, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 15, 2022 | Mar 9, 2022 |
| Bruce C. Branstine | Esi Financial Advisors BD affiliated | Grove Point Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2022 | Jan 28, 2022 |
| Linda Nmn Grizely | Esi Financial Advisors BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 28, 2022 | Feb 17, 2022 |
| Alaine Danielle Macdougall | Esi Financial Advisors BD affiliated | Edelman Financial Engines mixed wealth | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2021 | Nov 29, 2022 (344 d) |
| Calvin Christopher Silva | Esi Financial Advisors BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 3, 2021 | May 18, 2022 (166 d) |
| Marc Joseph Alessandro | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 8, 2021 | Nov 10, 2021 |
| Herbert Jay Roman | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 4, 2021 | Nov 3, 2021 |
| Thomas Patrick O'Connor | Esi Financial Advisors BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 1, 2021 | Nov 19, 2021 |
| Christopher Michael Davey | Esi Financial Advisors BD affiliated | Excel Wealth Management, LLC institutional | Other | Oct 21, 2021 | Mar 2, 2022 (132 d) |
| Craig Robinette | Esi Financial Advisors BD affiliated | Nationwide Securities, LLC no RAUM | Other | Oct 20, 2021 | Oct 28, 2021 |
| Thomas Stephen Bolanowski | Esi Financial Advisors BD affiliated | B. Riley Wealth Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 6, 2021 | Oct 4, 2021 |
| Timothy Caso | Esi Financial Advisors BD affiliated | Spc BD affiliated | Affiliated broker-dealer or bank to another | Sep 17, 2021 | Sep 26, 2022 (374 d) |
| Adam E Zachary | Esi Financial Advisors BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Sep 13, 2021 | Jun 30, 2023 (655 d) |
| Joseph Signorile | Esi Financial Advisors BD affiliated | Neuberger Berman Bd LLC no RAUM | Other | Sep 1, 2021 | Sep 15, 2021 |
| Stephen J Carson | Esi Financial Advisors BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 26, 2021 | Aug 24, 2021 |
| Leon Kearse | Esi Financial Advisors BD affiliated | Eagle Strategies LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2021 | Jan 29, 2026 (1632 d) |
| Buffy Mangus | Esi Financial Advisors BD affiliated | Old Dominion Capital Management Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 13, 2021 | Apr 21, 2021 |
| Joshua Allen Tessar | Esi Financial Advisors BD affiliated | Integrity Financial Planning, Inc. unclassified | Other | Apr 13, 2021 | Apr 16, 2021 |
517 moves match.