Data / Investment advisers / Connecticut / Essex Financial Services, Inc.
Essex Financial Services, Inc., Essex, CT: $4.2 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Essex Financial Services, Inc. is an SEC registered investment adviser with its main office in Essex, Connecticut and reports $4.2 billion in regulatory assets under management in its Form ADV filed August 25, 2026. Its clients include high net worth individuals, individuals and pension and profit sharing plans. It is paid through a percentage of assets under management, hourly charges and fixed fees.
The request: Watch Essex Financial Services, Inc. (CRD number 127549): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 127549
- SEC file number
- 801-62242
- SEC status
- Approved, effective August 7, 2003
- Main office
- 176 Westbrook Road, Essex, CT 06426
- Phone
- (860) 767-4300
- Website
- essexfinancialservices.net
- Regulatory AUM
- $4,169,984,114 in the Form ADV filed August 25, 2026
- Discretionary AUM
- $3,247,330,333
- Non discretionary AUM
- $922,653,781
- Accounts
- 7,143
- Employees
- 46, of which 42 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Other offices
- 3
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions
- Latest Form ADV filing
- August 25, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 895 | $2.87 billion |
| Individuals (other than high net worth individuals) | 1,885 | $580.8 million |
| Pension and profit sharing plans | 108 | $565.3 million |
| Charitable organizations | 60 | $104.3 million |
| Corporations or other businesses | 15 | $43.5 million |
| State or municipal government entities | Fewer than 5 | $5.5 million |
Other advisers in Connecticut
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Brighton Park Capital | Greenwich | $4.48 billion | 14 | adviserinfo.sec.gov |
| Connecticut Wealth Management, LLC | Farmington | $4.48 billion | Not listed | adviserinfo.sec.gov |
| AQR Arbitrage, LLC | Greenwich | $4.38 billion | 2 | adviserinfo.sec.gov |
| Prana Capital Management LP | Greenwich | $4.31 billion | 1 | adviserinfo.sec.gov |
| Whitehaven Asset Management, LP | Greenwich | $4.18 billion | 2 | adviserinfo.sec.gov |
| Hudson Structured Capital Management LTD. | Stamford | $4.03 billion | 16 | adviserinfo.sec.gov |
| Glade Brook Capital Partners LLC | Greenwich | $3.96 billion | 40 | adviserinfo.sec.gov |
| Sterling Investment Partners Advisers, LLC | Greenwich | $3.94 billion | 6 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Connecticut
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Essex Financial Services, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.