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Dennis Dine

Esi Financial Advisors
16 Years of Experience
Chicago, IL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Dennis Dine is a registered investment advisor at Esi Financial Advisors, based in Chicago, IL, with 16 years of industry experience. Dennis 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

1 N. Franklin St, Ste 3450, Chicago, IL, 60606

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History

Regulatory History (2)
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.
Regulatory
April 2011
Final
Criminal
October 1991
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Dennis is an insurance agent/recruiter for National Life since 2018, dedicating a significant amount of time (40+ hours per week). He also serves as a Minister of Care at St. John of the Cross Parish, dedicating minimal time.

Employment History
Current Registrations
Esi Financial Advisors
January 2019 - Present · 7 yrs 9 mos
Equity Services, INC.Broker
January 2019 - Present · 7 yrs 9 mos
Previous Registrations
Money Concepts Capital CORPBroker
October 2016 - November 2018 · 2 yrs 1 mo
Money Concepts Advisory Service
October 2016 - November 2018 · 2 yrs 1 mo
Edward Jones
January 2015 - October 2016 · 1 yr 9 mos
Edward JonesBroker
January 2015 - October 2016 · 1 yr 9 mos
Tjm Investments, LLCBroker
October 2009 - January 2015 · 5 yrs 3 mos
State Registrations6 states
ILINMAMNWAWI
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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