Essex Investment Management Company, LLC

RIASEC Registered

Total AUM

$713M

Discretionary

$713M

100% of AUM

Avg account

$6.1M

Accounts

117

Employees

13

Advisory reps

6

Firm details

Headquarters: Boston, Massachusetts
CRD number: 109962
Website: www.essexinvest.com
Custodians: STATE STREET BANK AND TRUST COMPANY, J.P. MORGAN SECURITIES INC., FNZ TRUST COMPANY, THE BANK OF NEW YORK MELLON
Fee structure: Percentage of AUM
Client types: State / Municipal Government31.83%
HNWI18.3%
Investment Companies17.26%
Charitable Organizations11.1%
Individuals11%

Firm profile

FINTRX

Overview

Essex Investment Management Company, LLC is registered as an institutional registered investment adviser that serves both individual/family and institutional clients. The firm bills on a percentage-of-assets basis and identifies itself as a capital allocator with an active ESG stance. It is organized domestically and appears to be owned at the entity/individual level. The firm is not classified as a multi-state or newly formed adviser, and it does not present itself as a pension consultant or as a related adviser.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities93%
Cash & Cash Equivalents4%
US Government Bonds3%

Owners & executives

3 of 3

Nancy Prial
Co-CEO, Portfolio ManagerCRD 2473105
Michael Mccarthy
Chief Operating Officer & Chief Compliance OfficerCRD 6134044
Robert Uek
Co-CEO, Portfolio ManagerCRD 2887858

Contacts

3 of 3

Joseph Mcnay
ChairmanCRD 4042143
Saralyn Sacks
Senior Vice President, Portfolio ManagerCRD 2452377
Annemarie Mcmichael
Senior Vice President, Research AnalystCRD 7706059

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 4

Active vs passive

$3.3M in ETFs

Passive

100%

$3.3M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 2000 GROWTH ETF (IWO)	BlackRock	Passive	Small Growth	$2.8M	7,212	84.96%

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Primary office

Boston, MA

Suffolk

Location

Boston, MA

Headquartered in Boston, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area: Boston-Worcester-Providence, MA-RI-NH-CT
Region: Northeast
County: Suffolk
Address: 125 High St
Time zone: ET (UTC-5)
Office locations

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