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CFP

Alan Fishman

Esi Financial Advisors
33 Years of Experience
Media, PA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Alan Fishman is a CFP-designated registered investment advisor at Esi Financial Advisors, based in Media, PA, with 33 years of industry experience. Alan 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
534 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

Rosetree Building 2, 1400 N Providence Rd, Suite 3007, Media, PA, 19063

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Alan is a partner and agent at Yorktown Financial Group Inc, selling life, health, disability, annuities, and long-term care insurance, dedicating full-time hours to this role. He is also an insurance agent at Evolution Financial Group, spending about a quarter of his time there, and a member of the special funds committee at Or Ami Synagogue, spending minimal time on this non-investment related activity.

Employment History
Current Registrations
Esi Financial Advisors
March 1999 - Present · 27 yrs 7 mos
Equity Services, INC.Broker
January 1993 - Present · 33 yrs 9 mos
State Registrations16 states
CACTDEFLGAMAMINCNJNYPASCTXUTVAWA
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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