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ESI FINANCIAL ADVISORS
Legal name: EQUITY SERVICES, INC.
CRD 265File 801-41722
APPROVED
Retail clients
Disclosure events
Filing as of Jul 1, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$2.78B
Top 25% of cohort (national)
Discretionary AUM
$1.14B
Non-discretionary $1.64B
Clients
12,379
12,379 accounts
Employees
500
Top 10% of cohort in VT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Jul 9, 1992
- Principal office
- ONE NATIONAL LIFE DRIVE, MONTPELIER, VT, 05604
- Phone
- 800-344-7437
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $2.78B
- Discretionary AUM
- $1.14B
- Non-discretionary AUM
- $1.64B
- Discretionary accounts
- 3,538
- Non-discretionary accounts
- 8,841
- Total accounts
- 12,379
- AUM per client
- $224K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 103 | $42.3M |
| Non-U.S. persons | Fewer than 5 | Not reported |
| Insurance companies | Fewer than 5 | Not reported |
| Charitable organizations | Fewer than 5 | $1.2M |
| Other investment advisers | Fewer than 5 | Not reported |
| High net worth individuals | 3,041 | $1.21B |
| Banking or thrift institutions | Fewer than 5 | Not reported |
| Pension and profit sharing plans | 375 | $93.1M |
| State or municipal government entities | Fewer than 5 | Not reported |
| Individuals (other than high net worth individuals) | 8,856 | $1.43B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Commissions
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11B2
- Q11C2
- Q11C4
- Q11C5
- Q11D2
- Q11D4
- Q11E1
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 470 | 500 | increased by30 |
| Apr 1, 2026 | Clients | 12,116 | 12,379 | increased by263 |
| Apr 1, 2026 | AUM | $2,451,252,093 | $2,777,353,969 | increased by$326,101,876 |
| Apr 1, 2026 | Accounts | 12,116 | 12,379 | increased by263 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 440 | 470 | increased by30 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 10,400 | 12,116 | increased by1,716 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $2,237,698,038 | $2,451,252,093 | increased by$213,554,055 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 10,400 | 12,116 | increased by1,716 |
| Apr 1, 2022 | Clients | 9,572 | 10,400 | increased by828 |
| Apr 1, 2022 | AUM | $1,758,669,569 | $2,237,698,038 | increased by$479,028,469 |
| Apr 1, 2022 | Accounts | 9,572 | 10,400 | increased by828 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ESI FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ESI FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.