SourcingSourcing

ESSEX INVESTMENT MANAGEMENT COMPANY, LLC

C47
CRD 109962·SEC 801-55496·BOSTON, MA
AUM
$712.7M
$500M-$1B
Est. Revenue
$7.1M
@ 1% on AUM
Est. EBITDA
$2.1M
@ 30% margin
Est. Deal Value
$17.1M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
ESSEX INVESTMENT MANAGEMENT COMPANY, LLC
CRD
109962
SEC file #
801-55496
EIN
000000000
DBA names
—

Economics

AUM
$712.7M
AUM band
$500M-$1B
AUM trajectory
'20'26
$631.7M → $712.7M▲ +13%
Client mix
Individuals High Net Worth55
Individuals Other35
Charitable Organizations14
State Or Municipal Govt8
Investment Companies2

Operations

Employees (total)
13
Advisory staff (per ADV)
9
Advisory staff (5-yr trend)
'20'26
11 advisors → 9 advisors▼ -18%
Primary office
BOSTON MA
Branches
—

Custodian & Brokerage

Primary custodian
State Streetlow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
essexinvest.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
MCNAY, JOSEPH, CLAUDIUS
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
11
Control Persons
MCNAY, JOSEPH, CLAUDIUS
PRIAL, NANCY, BETH
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
ESSEXINVEST.COM
Rdap Domain Creation Date
1995-03-13T05:00:00Z
Rdap Firm Age Years
31
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001510301
Edgar Registered
Yes
Edgar Filing Count
2
Edgar First Filing Date
2011-01-13
Edgar Last Filing Date
2011-10-20
Edgar Form D Count
2
Edgar Form D Offerings
2011-10-202011-10-20 · 0000943663-11-000112
2011-01-132011-01-13 · 0000945621-11-000008

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
State Street4
E*trade4
Bny Mellon2
Jpmorgan2
Edgar Addresses
Mailing
C/O ESSEX INVESTMENT MANAGEMENT COMPANY125 HIGH STREETBOSTON, MA 02110
Business
C/O ESSEX INVESTMENT MANAGEMENT COMPANY125 HIGH STREETBOSTON, MA 02110
Edgar EIN
000000000
Edgar Recent Filings
D/A2011-10-20 · 0000943663-11-000112
D2011-01-13 · 0000945621-11-000008
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2031-03-14T05:00:00Z
Rdap Domain Last Changed
2026-03-03T07:37:03Z
Rdap Nameservers
Ns81.worldnic.comNs82.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
4042143
Trust Company Affiliate
No

People (6)

6
MCNAY, JOSEPH, CLAUDIUS
Direct Owner · 37.5%
4042143
PRIAL, NANCY, BETH
Direct Owner · 17.5%
2473105
MCMICHAEL, ANNEMARIE, GELATA
Direct Owner · 7.5%
7706059
SACKS, SARALYN, NMI
Direct Owner · 7.5%
2452377
MCCARTHY, MICHAEL, STEPHEN
Executive Officer · 2.5%
6134044
UEK, ROBERT, JOSEPH
Executive Officer · 2.5%
2887858