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ESSEX FINANCIAL SERVICES, INC.
CRD 127549File 801-62242
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Aug 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.17B
Top 25% of cohort (national)
Discretionary AUM
$3.25B
Non-discretionary $922.7M
Clients
2,963
7,143 accounts
Employees
46
Top 25% of cohort in CT
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Aug 7, 2003
- Principal office
- 176 WESTBROOK ROAD, ESSEX, CT, 06426
- Phone
- 860-767-4300
- Website
- HTTP://WWW.ESSEX.FINANCIAL
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.17B
- Discretionary AUM
- $3.25B
- Non-discretionary AUM
- $922.7M
- Discretionary accounts
- 6,417
- Non-discretionary accounts
- 726
- Total accounts
- 7,143
- AUM per client
- $1.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 15 | $43.5M |
| Charitable organizations | 60 | $104.3M |
| High net worth individuals | 895 | $2.87B |
| Pension and profit sharing plans | 108 | $565.3M |
| State or municipal government entities | Fewer than 5 | $5.5M |
| Individuals (other than high net worth individuals) | 1,885 | $580.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- Yes
- 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 11- Q11
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Dec 1, 2025 vs May 1, 2025 | Employees | 45 | 46 | increased by1 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 2,967 | 2,963 | decreased by4 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $3,774,949,288 | $4,169,984,114 | increased by$395,034,826 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 6,985 | 7,143 | increased by158 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 39 | 45 | increased by6 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 2,555 | 2,967 | increased by412 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,084,924,290 | $3,774,949,288 | increased by$690,024,998 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 5,621 | 6,985 | increased by1,364 |
| Jan 1, 2022 | Employees | 41 | 39 | decreased by2 |
| Jan 1, 2022 | Clients | 2,499 | 2,555 | increased by56 |
| Jan 1, 2022 | AUM | $2,272,726,892 | $3,084,924,290 | increased by$812,197,398 |
| Jan 1, 2022 | Accounts | 5,212 | 5,621 | increased by409 |
| Sep 1, 2021 | Employees | 36 | 41 | increased by5 |
| 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 FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“ESSEX FINANCIAL” 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.