Alex David
Alex David is a registered investment advisor at Esi Financial Advisors, based in Montpelier, VT, with 31 years of industry experience. Alex 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 1.00% |
| $1.0M - $2.5M | 0.75% |
| $2.5M - $5.0M | 0.60% |
| $5.0M - $10.0M | 0.50% |
| $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
Location
One National Life Drive, Montpelier, VT, 05604
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
March 2021Other Business Activities
Alex serves on the advisory board for Essential Edge Compliance Outsourcing Services, LLC, offering advice to the CEO and executive staff. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.Broker
Previous Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Stifel Independent Advisors, LLC
Stifel Independent Advisors, LLCBroker
Century Securities Associates INC
Wells Fargo Advisors Financial Network, LLCBroker
Wells Fargo Advisors Financial Network, LLC
Lord Abbett Distributor LLCBroker
Federated Securities CORP.Broker
Lord, Abbett & CO. LLC
Oppenheimerfunds Distributor, INC.Broker
Essex National Securities, INC.Broker
Fn Investment CenterBroker
Fahnestock & CO., INC.Broker
Gruntal & CO. IncorporatedBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations1 state
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
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