SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Essex Investment Management Company, LLC
Boston, MA
CRD 109962
Firm filing updated March 30, 2026 ·
- $712.7MAssets
- 9Advisory staff
- 117Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals55
- Individuals35
- Charities14
- State or municipal government entities (including government pension plans)8
- Investment companies2
- and 1 more2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 35 | $78.4 million |
| High net worth individuals | 55 | $130.4 million |
| Investment companies | 2 | $123.0 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 2 | $68.8 million |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | Fewer than 5 clients | $6.2 million |
| Charitable organizations | 14 | $79.1 million |
| State or municipal government entities (including government pension plans) | 8 | $226.9 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$712.7 million
- Accounts117
- DiscretionaryAll accounts
People
- Employees13
- Advisory staff9
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 109962, SEC file 801-55496.
- Registered with the SEC as an investment advisor (status date on record: March 20, 1998).
Is Essex Investment Management Company, LLC a fiduciary?
Short answer: Essex Investment Management Company, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.