ESI FINANCIAL ADVISORS
Latest filing: May 01, 2025 (27 days ago)
AUM
$2,451,252,093
15% change vs. 1 year ago
10% change vs. 3 years ago
69% change vs. 5 years ago
152% change vs. 10 years ago
Employee Count
470
4% change vs. 1 year ago
7% change vs. 3 years ago
12% change vs. 5 years ago
18% change vs. 10 years ago
Main Office
MONTPELIER, VT
ONE NATIONAL LIFE DRIVE, MONTPELIER, VT, UNITED STATES, 05604
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $0.5 |
| Non-Discretionary | $1.9 |
| Total | $2.5 |
| Client | AUM |
|---|---|
| Retail | $2.4 |
| Pooled | $0.0 |
| Institutional | $0.1 |
| Total | $2.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 8,860 | $1.3 |
| Average Individual AUM | $146,173 | |
| HNW | 2,919 | $1.1 |
| Average HNW AUM | $367,079 | |
| Retail Total | 11,779 | $2.4 |
| Average Retail AUM | $200,916 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $1.6 |
| SEI PRIVATE TRUST COMPANY | OAKS-PA-USA | $0.2 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $2.5 |
| Retail SMA AUM | $2.4 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 45% | $1.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 1% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 48% | $1.2 |
| Other Pools | 0% | $0.0 |
| Cash | 5% | $0.1 |
| Other | 0% | $0.0 |
| Total | 100% | $2.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NLG CAPITAL, INC. | $39.1 | 109396 | |
| NATIONAL LIFE DISTRIBUTION, LLC | $0.0 | - | |
| LIFE INSURANCE COMPANY OF THE SOUTHWEST | $0.0 | - | |
| LONGHORN REINSURANCE COMPANY | $0.0 | - | |
| CATAMOUNT REINSURANCE COMPANY | $0.0 | - | |
| NATIONAL LIFE INSURANCE COMPANY | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
| No control persons found |
ADVDB.CO • SOURCE: SEC
Representatives
454 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| MARGARET ANTONIELLO | MONTPELIER | VT | S63|2007-01-18 | ||||||
| CHARLES CREIGHTON | MONTPELIER | VT | S63|1984-05-24 | CHARTERED FINANCIAL CONSULTANT | |||||
| MARK THOMAS | MONTPELIER | VT | S66|2000-05-05 | CERTIFIED FINANCIAL PLANNER | |||||
| DANIEL RANDALL | MONTPELIER | VT | S66|2004-06-09 | ||||||
| JEROME PASICHOW | MONTPELIER | VT | S63|1997-04-22|S65|1999-12-30 | ||||||
| ANTHONY DEGEROLAMO | MONTPELIER | VT | S63|1993-07-23 | CERTIFIED FINANCIAL PLANNER | |||||
| VICTOR REIDENBACH | MONTPELIER | VT | S63|2006-09-28 | ||||||
| MARAM ALAIWAT | MONTPELIER | VT | S63|2014-03-06|S65|2022-08-31 | ||||||
| ANTHONY LEVINE | MONTPELIER | VT | S66|2024-03-27 | ||||||
| RODRIQUE COUSINO | MONTPELIER | VT | S65|2017-03-22 | ||||||
| ANDREW KELEN | MONTPELIER | VT | S66|2012-06-01 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| NICHOLAS TAYLOR | MONTPELIER | VT | S63|2008-04-22 | ||||||
| BRYAN KEENAN | MONTPELIER | VT | S66|2019-10-09 | CERTIFIED FINANCIAL PLANNER | |||||
| JOHN FALCO | MONTPELIER | VT | S63|2000-09-11 | ||||||
| RODNEY COOPER | MONTPELIER | VT | S65|2023-10-06 | ||||||
| ANTHONY GAMBONE | MONTPELIER | VT | S63|2012-05-31|S65|2013-02-11 | ||||||
| JAMES OPPENLANDER | MONTPELIER | VT | S63|1983-09-26 | CHARTERED FINANCIAL CONSULTANT | |||||
| DAVID JACOWITZ | MONTPELIER | VT | S66|2001-04-10 | CHARTERED FINANCIAL CONSULTANT | |||||
| CAREY YUKICH | MONTPELIER | VT | S63|2001-10-08|S65|2002-04-30 | ||||||
| JAMES ORTENZIO | MONTPELIER | VT | S63|1996-11-07 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $2.5 | $0.0 | 0% | 470 | 0 | 0% |
| 2025-04-21 | $2.5 | $0.0 | 0% | 470 | 0 | 0% |
| 2024-04-02 | $2.1 | $0.3 | 15% | 450 | 20 | 4% |
| 2023-04-04 | $1.9 | $0.6 | 31% | 440 | 30 | 7% |
| 2022-04-01 | $2.2 | $0.2 | 10% | 440 | 30 | 7% |
| 2021-04-05 | $1.8 | $0.7 | 39% | 440 | 30 | 7% |
| 2020-04-01 | $1.5 | $1.0 | 69% | 420 | 50 | 12% |
| 2019-04-01 | $1.3 | $1.2 | 90% | 420 | 50 | 12% |
| 2018-04-02 | $1.3 | $1.2 | 93% | 400 | 70 | 18% |
| 2017-04-01 | $1.1 | $1.4 | 127% | 370 | 100 | 27% |
| 2016-04-01 | $0.9 | $1.5 | 164% | 400 | 70 | 18% |
| 2015-04-01 | $1.0 | $1.5 | 152% | 400 | 70 | 18% |
| 2014-04-01 | $0.9 | $1.5 | 165% | 380 | 90 | 24% |
| 2013-04-01 | $0.8 | $1.6 | 197% | 360 | 110 | 31% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| VT, AK-04/11/2000, AL-11/05/1992, AR-01/01/1994, AZ-03/26/2007, CA-07/08/1997, CO-05/21/2002, CT-12/01/1997, DC-12/06/2001, DE-05/29/2002, FL-07/30/1992, GA-12/05/2001, IA-03/27/2007, ID-01/06/1999, IL-09/26/1994, IN-02/13/2001, KS-12/11/1997, KY-12/05/2001, MD-09/30/1994, ME-10/12/1994, MI-02/10/2010, MN-02/01/1996, MO-12/16/1993, MS-10/29/1997, MT-01/03/2000, NC-01/31/2001, ND-01/16/2008, NE-09/29/1997, NH-01/01/1994, NJ-05/21/2002, NM-07/16/2002, NV-05/10/2001, NY-11/18/1993, OH-03/23/2000, OK-02/04/1999, OR-12/03/2001, PA-02/04/1993, RI-12/05/2001, SC-01/31/2001, TN-03/29/2006, TX-01/16/2004, UT-09/21/1994, VA-10/16/1992, VT-11/03/1994, WA-02/12/1993, WI-08/24/1994, WV-03/26/2007 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER INSURANCE AGENT |
ADVDB.CO • SOURCE: SEC FORM ADV