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 |
|---|---|---|---|---|---|
| Philip Thomas Purpura | Beacon Global Advisor Network, LLC independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Mar 29, 2022 | Mar 29, 2022 |
| Matthew Davison Keiss | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 9, 2022 | Feb 28, 2022 |
| Paul Stephen Dean | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 8, 2022 | Apr 19, 2022 (42 d) |
| Darryl Anthony Hicks | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 16, 2022 | May 4, 2022 (77 d) |
| Timothy Frederick Weber | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 7, 2022 | Feb 17, 2022 |
| Michael D Relyea | Allstate Financial Advisors, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 19, 2022 | Jan 26, 2022 |
| Andrew Gerard Hosse | Kovack Advisors, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 18, 2022 | Jan 19, 2022 |
| Brendan Shea Bayron | Cetera Advisor Networks LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 7, 2022 | Jun 29, 2022 (173 d) |
| Frank Peter Grasso | Cetera Advisor Networks LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Apr 1, 2022 (91 d) |
| Anthony James Degerolamo | Allstate Financial Advisors, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Jan 18, 2022 |
| Gary Remolar Javier | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2021 | Feb 14, 2022 (45 d) |
| Spencer Colin Bateman | Fidelity Personal And Workplace Advisors BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 16, 2021 | Jan 6, 2022 |
| Robert S Gershon | Equitable Advisors, LLC national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 14, 2021 | Jan 24, 2022 (41 d) |
| Mustaque Haider Choudhury | Equitable Advisors, LLC national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 2, 2021 | Oct 16, 2021 |
| Douglas Nolan Pi | Ameritas Advisory Services BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 29, 2021 | Oct 13, 2021 |
| Brian Kenneth Groover | Allstate Financial Advisors, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 21, 2021 | Nov 2, 2021 |
| Michael Alan Rothfuss | Chartered Advisory Group independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Oct 5, 2021 | Jan 18, 2022 (105 d) |
| Alana Kay Davis | Ameriprise Financial Services, LLC national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 8, 2021 | Sep 22, 2021 |
| Jared Spivey | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Esi Financial Advisors BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 8, 2021 | Apr 1, 2022 (205 d) |
| Spyro Athanasoulias | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 3, 2021 | Sep 24, 2021 |
| Jeffrey Thomas Gue | Ic Advisory Services, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 30, 2021 | Sep 1, 2021 |
| Staci E Fall | Santander Securities BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 19, 2021 | Aug 25, 2021 |
| Anthony Sarullo | Equitable Advisors, LLC national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 11, 2021 | Aug 24, 2021 |
| Erwin Espina Prieto | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2021 | Apr 21, 2023 (645 d) |
| Alec Edward Hoke | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 14, 2021 | Aug 12, 2021 |
| Richard Donado | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 8, 2021 | Jun 30, 2021 |
| Sean Patrick Lore | Citizens Securities, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jun 4, 2021 | Jun 14, 2021 |
| Penny Lynn Vinson | Waddell & Reed BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 14, 2021 | May 28, 2021 |
| Carolyn Burgin | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 8, 2021 | Apr 8, 2021 |
| Samuel Rik Yarian | Hornor, Townsend & Kent, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2021 | Mar 30, 2021 |
| Tim Brooks Sampson | Kovack Advisors, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 5, 2021 | Mar 8, 2021 |
| Paul Quebec | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2021 | Apr 2, 2021 (58 d) |
| Robert Thomas Blake | Bankers Life Advisory Services, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 27, 2021 | Jan 26, 2021 |
| Jillian Katherine Jones | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2020 | Jun 6, 2021 (157 d) |
| Robert F Butler | Northwestern Mutual Investment Services,LLC no RAUM | Esi Financial Advisors BD affiliated | Other | Dec 22, 2020 | Feb 8, 2021 (48 d) |
| John Stewart Welch | Sagepoint Financial, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Dec 17, 2020 | Mar 1, 2021 (74 d) |
| Harvey Lee Maclin | Aegis Capital Corp. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Oct 1, 2020 |
| Michael Terrance Mahoney | Aegis Capital Corp. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2020 | Oct 1, 2020 |
| Michael Vincent Hunt | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 12, 2020 | Jun 22, 2021 (253 d) |
| Eric Lawrence Hopkins | Santander Securities BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 28, 2020 | Sep 28, 2020 |
| Jennifer Lynn Grant | Kerberrose Wealth Management, LLC independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jul 28, 2020 | Aug 24, 2020 |
| Ronald Louis La Serra | R & R Financial Planners, Inc. independent RIA | Esi Financial Advisors BD affiliated | RIA to affiliated broker-dealer or bank | Jun 2, 2020 | Jun 22, 2021 (385 d) |
| Thomas Edward Corner | Valic Financial Advisors, Inc. BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 7, 2020 | Apr 8, 2020 |
| Jason Andrew Goncz | Arbor Point Advisors BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | May 4, 2020 | Jun 10, 2020 (37 d) |
| Joseph Yong Yi | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 28, 2020 | May 11, 2020 |
| William Arthur Keeney | Hornor, Townsend & Kent, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 20, 2020 | Oct 6, 2020 (169 d) |
| Daniel Fahringer | Hornor, Townsend & Kent, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Apr 6, 2020 | May 1, 2020 |
| Bryan Matthew Keenan | Park Avenue Securities LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 17, 2020 | May 20, 2020 (64 d) |
| Timothy Caso | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 16, 2020 | May 14, 2020 (59 d) |
| Jerome N Pasichow | Park Avenue Securities LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 6, 2020 | Mar 9, 2020 |
| Christopher Michael Colby | Ameriprise Financial Services, LLC national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2020 | Dec 22, 2020 (313 d) |
| Danielle Lee Helfrich | Charles Schwab & Co., Inc. national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Feb 3, 2020 | Feb 27, 2020 |
| Christopher Michael Davey | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2020 | Mar 2, 2020 (39 d) |
| Thomas Andrew Lynch | Eagle Strategies LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Nov 15, 2019 | Jan 3, 2020 (49 d) |
| Derrick Malcolm Wilson | Selective Financial Solutions Limited Liability Company unclassified | Esi Financial Advisors BD affiliated | Other | Oct 31, 2019 | Jan 22, 2020 (83 d) |
| Carrie Sue West | Morgan Stanley wirehouse | Esi Financial Advisors BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 15, 2019 | Oct 11, 2019 |
| Steven Edward Hacker | LPL Financial LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 8, 2019 | Oct 31, 2019 |
| Bruce C. Branstine | Edward Jones national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 10, 2019 | Dec 6, 2019 (87 d) |
| Victor Tassone | Edward Jones national BD | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 6, 2019 | Oct 2, 2019 |
| Michael Wayne Byrne | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 14, 2019 | Jan 21, 2021 (526 d) |
500 moves match.