Cole Fleming
Cole Fleming is a registered investment advisor at Esi Financial Advisors, based in Hauppauge, NY, with 14 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
410 Motor Parkway, 2nd Floor, Hauppauge, NY, 11788
Get directionsHistory
Regulatory History (3)
Regulatory
October 2025Regulatory
July 2024Judgment / Lien
January 2022Other Business ActivitiesSells Insurance
Cole is an agent selling fixed life insurance, health, disability, and long-term care insurance with various carriers through Life Legacy Concepts since March 2022 and United Financial Alliance since November 2023. These activities are investment-related.
Employment History
Current Registrations
Esi Financial Advisors
Equity Services, INC.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.