Dale Mullin
Dale Mullin is a registered investment advisor at Esi Financial Advisors, based in Queensbury, NY, with 23 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
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.