Dale Mullin
Dale Mullin is a CFP-designated registered investment advisor at Esi Financial Advisors, based in Queensbury, NY, with 24 years of industry experience. Dale 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
333 Aviation Road, Building B, Queensbury, NY, 12804
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Dale is a tax manager for Whittemore, Dowen & Ricciardelli, LLP, a CPA firm, dedicating nearly full-time hours to tax preparation and planning. He also manages WDR Financial Services LLC, which provides insurance sales and tax services, taking about a quarter of his time, and is a member (15% owner) of Executive Park West, LLC, a real estate company, spending minimal time on management. Dale also refers credit card processing clients and is the executor of his mother's estate.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.Broker
Previous Registrations
H.D. Vest Investment ServicesBroker
Mercer Allied Company, L.P.Broker
State Registrations7 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.
Exams
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