Essex Financial Services, Inc.
Firm details
- Headquarters
- Essex, Connecticut
- CRD number
- 127549
- Registered since
- August 7, 2003
- Website
- www.essex.financial
- Custodians
- FIDELITY DISTRIBUTORS COMPANY LLC, PERSHING LLC
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees
- Client types
- HNWI68.84%
- Individuals13.93%
- Pension & Profit Sharing Plans13.56%
- Charitable Organizations2.5%
- Corporations / Businesses1.04%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Essex Financial Services, Inc. is an independent registered investment adviser and capital allocator that has been SEC-registered since 2003. The firm serves both individual/family and institutional clients and combines fee models that include percentage-of-AUM, hourly, and fixed-fee arrangements. Advisory capabilities listed include financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, and selection of sub-advisers. The firm also operates as an insurance broker. Essex is not positioned as an ESG investor and is classified as a single-state adviser. The firm appeared on Forbes’ lists of Top RIA Firms in 2022, 2023, and 2024.
Assets & Accounts
Public Holdings
Investments & Alternatives
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities45%
- Public Funds/Mutual Funds44%
- Cash & Cash Equivalents8%
- US Government Bonds2%
- State & Local Bonds1%
Owners & executives
2 of 2
Charles Cumello
President, Chief Executive OfficerCRD 2120572
Ronald Nelson
Chief Operating OfficerCRD 1137618
Contacts
3 of 36Dennis Cadwell
Investment AdvisorCRD 5746374
Dave Delfino
Financial AdvisorCRD 5785723
Sean Flynn
Financial AdvisorCRD 5264521
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 419Active vs passive
$1.2B in ETFs
67%
$780M
25%
$384M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| INVESCO QQQ TRUST SERIES 1 (QQQ) | Invesco | Passive | Large Growth | $71.2M | 96,658 | 6.12% |
Location
Essex, CT
Middlesex
Location
Essex, CT
Headquartered in Essex, CT, anchoring the Hartford-East Hartford, CT metro in the Northeast.
- Metro area
- Hartford-East Hartford, CT
- Region
- Northeast
- County
- Middlesex
- Address
- 176 Westbrook Rd
- Time zone
- ET (UTC-5)
- Office locations
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