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 joined 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 | Knights Of Columbus Asset Advisors LLC institutional | Esi Financial Advisors independent RIA | New Haven, Ct | Other | Jan 6, 2026 over 6 d |
| 2 | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Amherst, Ny | Affiliated broker-dealer or bank to independent RIA | Jul 15, 2025 over 13 d |
| 2 | Knights Of Columbus Asset Advisors LLC institutional | Esi Financial Advisors independent RIA | New Haven, Ct | Other | Jun 20, 2025 over 12 d |
| 2 | MML Investors Services, LLC BD affiliated | Esi Financial Advisors independent RIA | Raleigh, Nc | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2025 over 3 d |
| 3 | Knights Of Columbus Asset Advisors LLC institutional | Esi Financial Advisors independent RIA | Richmond, Va +1 | Other | Jul 18, 2024 over 4 d |
| 2 | Pruco Securities, LLC BD affiliated | Esi Financial Advisors BD affiliated | New Castle, Pa +1 | Affiliated broker-dealer or bank to another | Mar 8, 2023 over 1 d |
| 2 | MML Investors Services, LLC BD affiliated | Esi Financial Advisors BD affiliated | Tarrytown, Ny +1 | Affiliated broker-dealer or bank to another | Apr 2, 2019 |
| 2 | Trustee Empowerment & Protection, Inc. other | Esi Financial Advisors BD affiliated | Albany, Ny | Other | Sep 4, 2018 |
| 2 | MML Investors Services, LLC other | Esi Financial Advisors other | De Pere, Wi | Other | Aug 10, 2017 |
| 2 | MML Investors Services, LLC other | Esi Financial Advisors other | Iselin, Nj +1 | Other | Aug 9, 2017 over 6 d |
| 3 | Ameritas Advisory Services other | Esi Financial Advisors other | Irvine, Ca | Other | Jul 24, 2017 over 4 d |
| 2 | Msi Financial Services, Inc. other | Esi Financial Advisors other | Roseland, Nj | Other | Aug 2, 2016 |
| 2 | Oneamerica Securities, Inc. other | Esi Financial Advisors other | Crystal Lake, Il | Other | Nov 23, 2015 |