James Riley
James Riley is a registered investment advisor at Esi Financial Advisors, based in Hauppauge, NY, with 24 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
410 Motor Parkway, 2nd Floor, Hauppauge, NY, 11788
Get directionsHistory
Regulatory History (3)
Judgment / Lien
August 2011Customer Dispute
May 2003Criminal
July 1982Other Business ActivitiesSells Insurance
James sells fixed insurance products as an agent/broker with various insurance companies, dedicating about half his time to this activity. He also receives residual payments for referring business to Talus Payments, a merchant services company, spending a few hours per week on this.
Employment History
Current Registrations
Equity Services, INC.Broker
Esi Financial Advisors
Previous Registrations
Paulson Investment Company LLCBroker
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Oneamerica Securities, INC.
Oneamerica Securities, INC.Broker
Equity Services, INC.Broker
Esi Financial Advisors
Lantern Wealth Advisors, LLC
Lantern Investments, INC.Broker
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Granite Springs Asset Management, LLC
R. Seelaus & CO., INC.
R. Seelaus & Co.,inc.Broker
TD Ameritrade, INC.
Amerivest Investment Management, LLC
TD Ameritrade, INC.Broker
Western International Securities
Western International Securities, INC.Broker
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Financial Network Investment CorporationBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations3 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.