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John Maffe

Esi Financial Advisors
32 Years of Experience
Glastonbury, CT
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

John Maffe is a registered investment advisor at Esi Financial Advisors, based in Glastonbury, CT, with 32 years of industry experience. John 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

120 Hebron Avenue, Suite 2B, Glastonbury, CT, 06033

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History

Regulatory History (1)
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.
Customer Dispute
July 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John is involved with several businesses, including insurance sales through multiple companies (taking up a significant portion of his time), real estate investments, and management of several Square Peg Pizzeria restaurant locations. He also serves as a board member for Goodwin University Foundation, dedicating minimal time to this role.

Employment History
Current Registrations
Esi Financial Advisors
June 1999 - Present · 27 yrs 4 mos
Equity Services, INC.Broker
November 1995 - Present · 30 yrs 11 mos
Previous Registrations
Pruco Securities CorporationBroker
September 1994 - January 1996 · 1 yr 4 mos
State Registrations26 states
AZCACOCTDEFLGALAMAMDMEMIMNMONCNHNJNYOHPARISCTXUTVAVT
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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