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 |
|---|---|---|---|---|---|
| Thomas Edward Corner | Esi Financial Advisors BD affiliated | Beacon Capital Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 30, 2021 | Sep 26, 2022 (545 d) |
| David Knott | Esi Financial Advisors BD affiliated | Citizens Securities, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2021 | Apr 5, 2021 |
| Kevin Peter Zebrowski | Esi Financial Advisors BD affiliated | Intervest International, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 24, 2021 | Feb 25, 2021 |
| Peter Dizdar | Esi Financial Advisors BD affiliated | Palumbo Wealth Management LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 23, 2021 | Mar 9, 2021 |
| Kurt Ryan Davis | Esi Financial Advisors BD affiliated | Regal Investment Advisors LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 4, 2021 | Aug 10, 2021 (218 d) |
| Greg Straka | Esi Financial Advisors BD affiliated | Modern Capital Management, Co. asset manager | Other | Dec 31, 2020 | Sep 16, 2025 (1720 d) |
| Aquilino Alfredo Mayo | Esi Financial Advisors BD affiliated | Sagepoint Financial, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2020 | Dec 8, 2020 |
| Brian S Cussimanio | Esi Financial Advisors BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 12, 2020 | Sep 13, 2021 (305 d) |
| Anthony Wilfredo Arias | Esi Financial Advisors BD affiliated | Gmg Asset Management state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 3, 2020 | Jul 13, 2022 (617 d) |
| Carrie Sue West | Esi Financial Advisors BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Nov 2, 2020 | Oct 28, 2020 |
| Francesco Antonio Carafa | Esi Financial Advisors BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2020 | Nov 25, 2020 (51 d) |
| Ru Bai | Esi Financial Advisors BD affiliated | Capital Financial Consultants Group, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 17, 2020 | Jul 24, 2020 |
| Andrew Cecil | Esi Financial Advisors BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Jun 1, 2020 | May 28, 2020 |
| Romonia Bradford Lee | Esi Financial Advisors BD affiliated | Asset Allocation Strategies, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 29, 2020 | Aug 11, 2020 (104 d) |
| Matthew Fleming Slaton | Esi Financial Advisors BD affiliated | Slaton Capital Advisors state registered | Affiliated broker-dealer or bank to a state-registered adviser | Apr 8, 2020 | Apr 10, 2020 |
| Isaac Douglas Jones | Esi Financial Advisors BD affiliated | Odyssey Capital Advisors Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2020 | Mar 27, 2020 |
| Brenda Louise Bridges | Esi Financial Advisors BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 4, 2020 | Mar 2, 2020 |
| Saadia Ameen Sindhu | Esi Financial Advisors BD affiliated | Bison Wealth, LLC mixed wealth | Affiliated broker-dealer or bank to independent RIA | Feb 13, 2020 | Mar 20, 2020 (36 d) |
| Michael David Kendall | Esi Financial Advisors BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Feb 10, 2020 | Feb 7, 2020 |
| Nameer W Hanna | Esi Financial Advisors BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 17, 2020 | Mar 10, 2020 (53 d) |
| Thomas Joseph Barbaccia | Esi Financial Advisors BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2019 | Jun 14, 2021 (531 d) |
| Sang Pham Walker | Esi Financial Advisors BD affiliated | Supreme Alliance LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2019 | Mar 26, 2020 (86 d) |
| James Antony Clary | Esi Financial Advisors BD affiliated | Osaic Fa, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2019 | Nov 14, 2019 |
| Scott Schless | Esi Financial Advisors BD affiliated | First Command Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Nov 14, 2019 | Dec 11, 2019 |
| Paul William Adamo | Esi Financial Advisors BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Nov 5, 2019 | Nov 5, 2019 |
| David Edward Waite | Esi Financial Advisors BD affiliated | LPL Financial LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 31, 2019 | Nov 22, 2019 |
| Michael Scott Frontera | Esi Financial Advisors BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 25, 2019 | Oct 22, 2019 |
| Riley John Thoubboron | Esi Financial Advisors BD affiliated | Raymond James & Associates, Inc. national BD | Affiliated broker-dealer or bank to another | Oct 24, 2019 | Dec 4, 2019 (41 d) |
| Frank Nelson Depeters | Esi Financial Advisors BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 15, 2019 | Oct 16, 2019 |
| Daniel Peguero | Esi Financial Advisors BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Oct 2, 2019 | Oct 18, 2019 |
| Amanda Ann Alksnitis | Esi Financial Advisors BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 19, 2019 | Sep 16, 2019 |
| Jason Michael Mcfaul | Esi Financial Advisors BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2019 | Sep 5, 2019 |
| William Robert Elger | Esi Financial Advisors BD affiliated | Arbor Point Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2019 | Aug 22, 2019 |
| Christopher Michael Sheeler | Esi Financial Advisors BD affiliated | W&S Brokerage Services, Inc. no RAUM | Other | Aug 20, 2019 | Sep 13, 2019 |
| Briana Laura Tremble | Esi Financial Advisors BD affiliated | Northwestern Mutual Investment Services,LLC no RAUM | Other | Aug 13, 2019 | Aug 30, 2019 |
| Guy Abbott Alderdice | Esi Financial Advisors BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 25, 2019 | Jul 29, 2019 |
| Graham Thomas Roy | Esi Financial Advisors BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2019 | Sep 23, 2019 (67 d) |
| Samuel Rik Yarian | Esi Financial Advisors BD affiliated | Hornor, Townsend & Kent, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2019 | Nov 22, 2019 (127 d) |
| Gordon Rhoads | Esi Financial Advisors BD affiliated | The Patriot Financial Group, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2019 | Jul 1, 2019 |
| Timothy Arthur O'Halloran | Esi Financial Advisors BD affiliated | Blue Point Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2019 | Jun 4, 2019 |
| Justin Tyler Beauregard | Esi Financial Advisors BD affiliated | Blue Point Financial, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2019 | Jun 4, 2019 |
| Tara Jean Showalter | Esi Financial Advisors BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Jun 4, 2019 | Jun 3, 2019 |
| Matthew Thomas Oelschlager | Esi Financial Advisors BD affiliated | Allstate Financial Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2019 | Jun 11, 2019 (33 d) |
| William Eric Kern | Esi Financial Advisors BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Apr 30, 2019 | May 1, 2019 |
| George Leavell Coxhead | Esi Financial Advisors BD affiliated | Hornor, Townsend & Kent, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 11, 2019 | Jan 1, 2026 (2457 d) |
| Eric Gin Wai Lian | Esi Financial Advisors BD affiliated | Centric Advisors, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 25, 2019 | Mar 21, 2019 |
| Michael Pain | Esi Financial Advisors BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Feb 25, 2019 | Oct 2, 2023 (1680 d) |
| Robert Martin Werr | Esi Financial Advisors BD affiliated | Dominion Portfolio Management, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2019 | Jun 10, 2019 (150 d) |
| Steve Ray Mone | Esi Financial Advisors BD affiliated | Morgan Stanley wirehouse | Affiliated broker-dealer or bank to wirehouse | Jan 7, 2019 | Jan 24, 2019 |
| Karl Eugene Rothhaar | Esi Financial Advisors BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | Jan 28, 2019 |
| Vincent Mallon | Esi Financial Advisors BD affiliated | American Portfolios Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 27, 2018 | Feb 6, 2019 (41 d) |
| Christopher Michael Davey | Esi Financial Advisors BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 10, 2018 | Jul 30, 2019 (232 d) |
| Jason Andrew Goncz | Esi Financial Advisors BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 7, 2018 | Apr 29, 2019 (143 d) |
| Cynthia Denise Reavis | Esi Financial Advisors BD affiliated | MML Investors Services, LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 4, 2018 | Mar 18, 2019 (104 d) |
| Stephen E Hasso | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2018 | May 23, 2022 (1279 d) |
| John Patrick Nicholson | Esi Financial Advisors BD affiliated | Vanguard Advisers, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Nov 21, 2018 | Feb 6, 2020 (442 d) |
| James F. Barrette | Esi Financial Advisors BD affiliated | Park Avenue Securities LLC BD affiliated | Affiliated broker-dealer or bank to another | Nov 5, 2018 | Mar 25, 2019 (140 d) |
| Yanhong Li | Esi Financial Advisors BD affiliated | First Heartland Consultants, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2018 | May 28, 2019 (245 d) |
| Miri Y Upton | Esi Financial Advisors BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Sep 18, 2018 | Sep 17, 2018 |
| Conrad Metz | Esi Financial Advisors BD affiliated | Blackridge Asset Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 11, 2018 | Sep 14, 2018 |
517 moves match.