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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 Aug 17, 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 |
|---|---|---|---|
| Aug 12, 2026 | Registration | — | APPROVED |
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.