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.
Teams that left Esi Financial Advisors
A team is two or more advisors whose registrations through one firm ended within fourteen days of each other, from branches in the same state, and who all registered next through the same other firm. The rule reads registration dates on IAPD and nothing else: no press, no name matching, no judgment about why. When the cluster carried half or more of the firm it left, or the destination filed a succession naming it, it is typed firm absorbed rather than lift-out. When the two CRDs are one enterprise (the same business name, as with the two Wells Fargo Advisors channels, the same 75%+ owner on both Schedule As around the move, or one name the other with a word added) it is a channel change, listed only when asked for and never counted as a team in or out. Corporate re-registrations (hundreds of people moved to a new CRD in one month) are excluded before teams are formed.
| Advisors | From | To | Branch | Type | Left |
|---|---|---|---|---|---|
| 2 | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | Latham, Ny | RIA to affiliated broker-dealer or bank | Jun 25, 2026 over 1 d |
| 2 | Esi Financial Advisors independent RIA | LPL Enterprise, LLC BD affiliated | Lynchburg, Va | RIA to affiliated broker-dealer or bank | Mar 3, 2026 |
| 2 | Esi Financial Advisors independent RIA | LPL Financial LLC BD affiliated | Prosper, Tx +1 | RIA to affiliated broker-dealer or bank | Feb 11, 2026 over 6 d |
| 3 | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | Herkimer, Ny | RIA to affiliated broker-dealer or bank | Sep 18, 2025 over 12 d |
| 2 | Esi Financial Advisors independent RIA | MML Investors Services, LLC BD affiliated | Hauppauge, Ny +1 | RIA to affiliated broker-dealer or bank | Aug 7, 2025 over 7 d |
| 4 | Esi Financial Advisors independent RIA | Cetera Investment Advisers LLC BD affiliated | Latham, Ny | RIA to affiliated broker-dealer or bank | Feb 18, 2025 |
| 3 | Esi Financial Advisors independent RIA | Osaic Wealth, Inc. BD affiliated | Troy, Mi | RIA to affiliated broker-dealer or bank | Sep 3, 2024 |
| 2 | Esi Financial Advisors independent RIA | J.P. Morgan Securities LLC wirehouse | Hauppauge, Ny | RIA to wirehouse | Sep 14, 2023 |
| 2 | Esi Financial Advisors BD affiliated | Epg Wealth Management LLC independent RIA | Sandy Springs, Ga | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2022 |
| 2 | Esi Financial Advisors BD affiliated | Principal Securities, Inc. BD affiliated | Jericho, Ny +1 | Affiliated broker-dealer or bank to another | Aug 24, 2022 over 9 d |
| 2 | Esi Financial Advisors BD affiliated | Pruco Securities, LLC BD affiliated | Red Bank, Nj | Affiliated broker-dealer or bank to another | Nov 4, 2021 over 4 d |
| 2 | Esi Financial Advisors BD affiliated | Blue Point Financial, Inc. independent RIA | Portland, Me +1 | Affiliated broker-dealer or bank to independent RIA | Jun 6, 2019 |
| 3 | Esi Financial Advisors BD affiliated | Brookstone Wealth Advisors, LLC independent RIA | Berlin, Md | Affiliated broker-dealer or bank to independent RIA | Aug 16, 2018 |
| 2 | Esi Financial Advisors other | Ameritas Advisory Services other | San Diego, Ca | Other | Mar 10, 2016 over 8 d |
| 2 | Esi Financial Advisors other | Stone Pine Financial Partners independent RIA | Media, Pa | Other | May 7, 2015 over 1 d |