James Ortenzio
James Ortenzio is a registered investment advisor at Esi Financial Advisors, based in Snowmass Village, CO, with 38 years of industry experience. Their practice areas include Investment Management, Retirement Planning. Their firm serves 12,116 clients with $2.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
ESI Financial Advisors offers investment management through various programs. Fees vary depending on the program chosen and can include platform fees, strategist fees, and service fees.
ESI Illuminations programs charge a platform fee between 0.26% and 0.45% annually, plus strategist fees (0.02%-1.00%) and EFA's service fee (0-2.00%).
American Funds and Schwab Retirement Advisor Services have tiered fees, up to 1.00% annually on the first $1M, decreasing to 0.35% on amounts over $10M.
AssetMark fees are negotiated with the advisor, not to exceed 1.5% annually.
SEI fees are also negotiated, not to exceed 1.75% annually, plus a 0.05% administrative fee.
Location
Snowmass Village, CO
Get directionsHistory
Regulatory History (3)
Customer Dispute
October 2011Customer Dispute
August 2011Employment Separation After Allegations
November 2010Other Business ActivitiesSells Insurance
James is involved in various insurance-related activities, including sales of fixed life, fixed annuities, health, property & casualty, and disability income products through multiple entities. He also dedicates a full-time effort to NL Financial Alliance/National Life Insurance Company and Integrated Financial Concepts, and holds positions such as President at Paramount Wealth Group and General Agent at Pension Educators.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.
Equity Services, INC.Broker
Previous Registrations
Oneamerica Securities, INC.
Oneamerica Securities, INC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.