Stephen Smith
Stephen Smith is a registered investment advisor at Esi Financial Advisors, based in Marlton, NJ, with 17 years of industry experience. Stephen 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
1108 Barclay Blvd, Suite C-D, Marlton, NJ, 08053
Get directionsHistory
Regulatory History (1)
Customer Dispute
October 2013Other Business ActivitiesSells Insurance
Stephen sells life, health, disability, and long-term care insurance under the DBA of Evolution Financial Group, dedicating full-time hours to this activity. He also engages in social media lead generation for the automotive industry and works as a business consultant, dedicating minimal time to the latter.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.Broker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Mcadam LLC
Purshe Kaplan Sterling InvestmentsBroker
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
State Registrations5 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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