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ESSEX INVESTMENT MANAGEMENT COMPANY, LLC
CRD 109962File 801-55496
APPROVED
Retail clients
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$712.7M
Above cohort median (national)
Discretionary AUM
$712.7M
Clients
117
117 accounts
Employees
13
Below cohort median in MA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Mar 20, 1998
- Principal office
- 125 HIGH STREET, SUITE 1803, BOSTON, MA, 02110
- Phone
- 617-342-3200
- Website
- HTTPS://WWW.ESSEXINVEST.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $712.7M
- Discretionary AUM
- $712.7M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 117
- Non-discretionary accounts
- 0
- Total accounts
- 117
- AUM per client
- $6.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 2 | $123.0M |
| Charitable organizations | 14 | $79.1M |
| High net worth individuals | 55 | $130.4M |
| Pooled investment vehicles | 2 | $68.8M |
| Pension and profit sharing plans | Fewer than 5 | $6.2M |
| State or municipal government entities | 8 | $226.9M |
| Individuals (other than high net worth individuals) | 35 | $78.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 12 | 13 | increased by1 |
| Apr 1, 2026 | Custody | Yes | No | |
| Apr 1, 2026 | Clients | 110 | 117 | increased by7 |
| Apr 1, 2026 | AUM | $610,160,466 | $712,676,443 | increased by$102,515,977 |
| Apr 1, 2026 | Accounts | 124 | 117 | decreased by7 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 12 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 169 | 110 | decreased by59 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $845,341,141 | $610,160,466 | decreased by$235,180,675 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 169 | 124 | decreased by45 |
| Apr 1, 2022 | Employees | 14 | 15 | increased by1 |
| Apr 1, 2022 | Clients | 172 | 169 | decreased by3 |
| Apr 1, 2022 | AUM | $799,426,613 | $845,341,141 | increased by$45,914,528 |
| Apr 1, 2022 | Accounts | 172 | 169 | decreased by3 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “ESSEX INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ESSEX INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.