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ESI FINANCIAL ADVISORS

MONTPELIER, VT · CRD 265 · IAPD ↗ · equity-services.com · 800-344-7437

$2.78BRegulatory AUM
460Advisory reps
500Employees
410Clients
251-500Planning clients
0Private funds
46States
30Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
April 2026 — ESI FINANCIAL ADVISORS reports 251-500 financial-planning clients, up from 101-250.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2026 — ESI FINANCIAL ADVISORS grew from 430 to 460 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
December 2025 — ESI FINANCIAL ADVISORS's Item 11 disclosure-reporting entries rose by 9 (21 -> 30).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
May 2025 — ESI FINANCIAL ADVISORS's Item 11 disclosure-reporting entries rose by 3 (18 -> 21).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2025 — ESI FINANCIAL ADVISORS added office(s): 230 -> 257 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
80
April 2025 — ESI FINANCIAL ADVISORS grew from 420 to 430 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
55
February 2025 — ESI FINANCIAL ADVISORS's Item 11 disclosure-reporting entries rose by 7 (13 -> 20).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
55
April 2024 — ESI FINANCIAL ADVISORS added office(s): 220 -> 230 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.