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Gregory Kausch

Esi Financial Advisors
36 Years of Experience
Rochester, NY
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Gregory Kausch is a registered investment advisor at Esi Financial Advisors, based in Rochester, NY, with 36 years of industry experience. Gregory is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Annuities, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 12,379 clients with $2.8B in assets under management.

Esi Financial Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
536 advisors
Number of Clients
12,379 clients
Average Client Portfolio
$224K average
Assets Under Management
$2.8B

Fee Structure

Minimum Investment:$10K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $2.5M0.75%
$2.5M - $5.0M0.60%
$5.0M - $10.0M0.50%
$10M+0.35%

Rates reflect the primary schedule used in programs like American Funds and Schwab Retirement Advisor Services. Other programs have different maximum fees (AssetMark up to 1.50%, Saratoga up to 2.00%, SEI up to 1.75% plus 0.05% administrative fee). Actual fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Rochester, NY

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
February 2001
Customer Dispute
January 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gregory is a managing director at NPA Financial since 2018, where he is involved in insurance sales (life, health, disability, LTC, accident), personal production, recruiting, and management. He also serves on the boards of St. Ann's Community Foundation and Rochester Regional Health Foundation, is a member of the Rochester Rotary Club, Society of Financial Service Professionals, and Estate Planning Council of Rochester.

Employment History
Current Registrations
Esi Financial Advisors
June 2021 - Present · 5 yrs 4 mos
Equity Services, INC.Broker
November 2018 - Present · 7 yrs 11 mos
Previous Registrations
Pruco Securities, LLC.Broker
October 2015 - November 2018 · 3 yrs 1 mo
Equity Services, INC.Broker
May 2001 - October 2015 · 14 yrs 5 mos
Equity Services, INC.Broker
August 1989 - February 2001 · 11 yrs 6 mos
State Registrations2 states
NCNY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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