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
Arrivals at 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 |
|---|---|---|---|---|---|
| Isaac Aaron Wood | Nationwide Investment Advisors, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 12, 2024 | Feb 6, 2026 (604 d) |
| Scott James Bradford | Mutual Of Omaha Investor Services, Inc. independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Jun 6, 2024 | Jun 24, 2024 |
| Michael Faulhaber | Mutual Of Omaha Investor Services, Inc. independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Jun 4, 2024 | Jun 10, 2024 |
| Brandon Lafayette Falkquay | Fidelity Personal And Workplace Advisors BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2024 | Feb 5, 2026 (629 d) |
| William Michael Brinkley | Wealth Enhancement Advisory Services, LLC independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | May 14, 2024 | Dec 23, 2024 (223 d) |
| Mark Alan Jacoby | Morgan Stanley wirehouse | Esi Financial Advisors independent RIA | Wirehouse to independent RIA | Apr 25, 2024 | Jun 24, 2024 (60 d) |
| Paul J Abbott | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 1, 2024 | Feb 7, 2024 |
| Daniel R Reitz | Park Avenue Securities LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2024 | Jan 22, 2024 |
| Brian Mccarthy | Park Avenue Securities LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 31, 2024 | Jan 22, 2024 |
| William Bulluck | Foundations Investment Advisors LLC independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Jan 25, 2024 | Mar 28, 2024 (63 d) |
| Oliver Gregorio Orzal | Ameritas Advisory Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 23, 2024 | Jan 17, 2024 |
| Tyler Pesola | Pruco Securities, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 18, 2024 | Feb 7, 2024 |
| Baylis Jadamec | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Esi Financial Advisors independent RIA | Wirehouse to independent RIA | Jan 12, 2024 | Jan 30, 2024 |
| Ramon Luis Martinez | Pruco Securities, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | Apr 22, 2024 (102 d) |
| Vincent Dagnese | Principal Securities, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jan 11, 2024 | May 28, 2025 (503 d) |
| Logan Michelle Lupia | Mutual Of Omaha Investor Services, Inc. independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Jan 8, 2024 | Jan 29, 2024 |
| Justin Volence | Rockline Wealth Management LLC independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Jan 5, 2024 | Mar 27, 2024 (82 d) |
| Jason Michael Jeffers | LPL Financial LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Dec 18, 2023 |
| Darrie S Schlesinger | Equitable Advisors, LLC national BD | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 22, 2023 | Jan 11, 2024 |
| Laura Beth Free | Truist Advisory Services, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2023 | Dec 20, 2023 |
| Samir Elias Abdullah | Mutual Of Omaha Investor Services, Inc. independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Dec 11, 2023 | Jan 9, 2024 |
| Porsche Simone Love | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2023 | Jan 19, 2024 (39 d) |
| Lauren Grames | W&S Brokerage Services, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 1, 2023 | Dec 6, 2023 |
| Chintan Manan Mehta | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Esi Financial Advisors independent RIA | Wirehouse to independent RIA | Nov 27, 2023 | Apr 11, 2024 (136 d) |
| Tira Lee Clement | Midwestern Securities Trading Co.,LLC independent RIA | Esi Financial Advisors independent RIA | RIA to RIA | Sep 15, 2023 | Oct 9, 2023 |
| James Silvagni | Gwn Securities Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 31, 2023 | Sep 12, 2023 |
| Paulson Edum | Fidelity Personal And Workplace Advisors BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2023 | Nov 20, 2024 (448 d) |
| Kyle Joseph Sanger | Equitable Advisors, LLC national BD | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 30, 2023 | Nov 8, 2023 (70 d) |
| Eric S Wolfe | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 28, 2023 | Sep 14, 2023 (48 d) |
| Charles Osivwemu | Park Avenue Securities LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 6, 2023 | Sep 14, 2023 (70 d) |
| Tahitta Diaz-Resto | Principal Securities, Inc. BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 29, 2023 | Jul 14, 2023 |
| Randall Charles Ross Robinson | Pruco Securities, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 8, 2023 | Jun 28, 2023 |
| Timothy Joseph Denis | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 7, 2023 | Sep 22, 2023 (107 d) |
| James Norman Riley | Equitable Advisors, LLC national BD | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 24, 2023 | Nov 18, 2025 (909 d) |
| Kristy Alayne Lash | Key Investment Services LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | May 17, 2023 | May 16, 2023 |
| Saadia Ameen Sindhu | Contemporary Financial Planning state registered | Esi Financial Advisors independent RIA | Other | Apr 25, 2023 | May 1, 2023 |
| Robert Franklin | Kestra Advisory Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 21, 2023 | Jul 25, 2024 (461 d) |
| Dean Soterios Diamond | Eagle Strategies LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2023 | Jul 31, 2023 (118 d) |
| Robert Walter Mcintosh | Fsc Securities Corporation BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 29, 2023 | Mar 24, 2023 |
| Thomas Murphy | UBS Financial Services Inc. wirehouse | Esi Financial Advisors independent RIA | Wirehouse to independent RIA | Mar 21, 2023 | Mar 31, 2023 |
| Steven J Mattern | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2023 | Mar 7, 2023 |
| Keith Robert Wells | Pruco Securities, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 8, 2023 | Sep 13, 2023 (189 d) |
| Cassidy Theresa Ammons | Vertis Wealth, LLC independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Mar 6, 2023 | Mar 14, 2023 |
| Alex Alberto Bardales | Eagle Strategies LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2023 | Mar 24, 2023 |
| Marc L Horowitz | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 10, 2023 | Feb 6, 2023 |
| Kevin James Pent | Osaic Wealth, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2022 | Dec 5, 2022 |
| Matthew E Mccormick | Edward Jones national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 2, 2022 | Dec 5, 2022 |
| John N Kalil | Hazard & Siegel Advisory Services LLC other | Esi Financial Advisors BD affiliated | Other | Nov 4, 2022 | Nov 7, 2022 |
| Derek A Meka | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2022 | Oct 10, 2022 |
| Lyanne Magriz Cortes | Charles Schwab & Co., Inc. national BD | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 28, 2022 | Oct 9, 2023 (376 d) |
| Adam C. Blake | J.P. Morgan Securities LLC wirehouse | Esi Financial Advisors independent RIA | Wirehouse to independent RIA | Sep 21, 2022 | Aug 14, 2023 (327 d) |
| Anthony John Khoury | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 29, 2022 | Aug 17, 2022 |
| Patrick Steven Maly | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 17, 2022 | Aug 19, 2022 |
| Robert Jason Liebman | Brookstone Capital Management LLC independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Aug 1, 2022 | Aug 3, 2022 |
| Clare Morris | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 12, 2022 | Aug 29, 2022 (48 d) |
| Austin Sykora | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 6, 2022 | Jul 6, 2022 |
| Paul Richard Lagrange | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Esi Financial Advisors independent RIA | Wirehouse to independent RIA | Apr 30, 2022 | Jun 10, 2025 (1137 d) |
| David Anthony Critelli | Cetera Investment Advisers LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 19, 2022 | Apr 19, 2022 |
| Virginia Watson Griffith | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 14, 2022 | Apr 8, 2022 |
| Brittiny Belmonte Razzano | Tsa Management Inc independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Apr 13, 2022 | Apr 8, 2022 |
500 moves match.