Roger Soo
Roger Soo is a registered investment advisor at Esi Financial Advisors, based in New York, NY, with 30 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
675 Third Avenue, Suite 900, New York, NY, 10017
Get directionsHistory
Regulatory History (1)
Customer Dispute
August 2010Other Business ActivitiesSells Insurance
Roger is a partner in Prince & Princess, a children's clothing boutique, though he has no duties and spends no time on it. He also works full-time as an insurance sales associate and sales agent for Wealthbridge Financial Group, selling life, health, disability, and long-term care insurance.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.
Equity Services, INC.Broker
State Registrations6 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.