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ESI FINANCIAL ADVISORS
MONTPELIER, VT
800-344-7437
SEC #801-41722Total AUM
$2.8B
Employees
500Clients
12,384Firm overview
Client Breakdown by AUM
AUM previous 5 years
Smooth / Detailed
Business
Principal Address
ONE NATIONAL LIFE DRIVE
MONTPELIER
VT 05604
United States
MONTPELIER
VT 05604
United States
Operating Hours
8:00AM - 5:00PM
Monday - Friday
Monday - Friday
Phone
800-344-7437
Other Offices
257
Financials
Total AUM
$2.8B
Accounts
12,379Discretionary
$1.1B
Accounts
3,538Non-Discretionary
$1.6B
Accounts
8,841
Clients
Individual Clients
8,856AUM
$1.4B
HNW Individual Clients
3,041AUM
$1.2B
Banking Clients
1AUM
$0
Pension/Profit Sharing Plan Clients
375AUM
$93.1M
Charitable Organization Clients
4AUM
$1.2M
Government Entity Clients
1AUM
$0
Investment Advisor Clients
1AUM
$0
Insurance Company Clients
1AUM
$0
Sovereign Wealth Fund Clients
1AUM
$0
Corporation or Business Clients
103AUM
$42.3M
Services
Services Offered
Advisor / Fund Manager SelectionEducationFinancial PlanningIndividual Portfolio ManagementPension Consulting
Compensation Types
Charges CommissionCharges Fixed FeeCharges Hourly FeeCharges Percentage AUM
Compliance
Disclosures
Misdemeanor Conviction ChargeOther Regulator Order (Past 10 Years)Other Regulator Violation FindingSEC/CFTC Order EntrySEC/CFTC Penalty/Cease-and-DesistSEC/CFTC Violation FindingSRO Discipline/Expulsion/SuspensionSRO False Statement FindingSRO Rule Violation
State Registrations
AKALARAZCACOCTDCDEFLGAIAIDILINKSKYMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWIWV
Affiliates
Affiliates
Reported 8 business affiliates.
Claimed Affiliates
Reported as an affiliate by 3 other businesses.