ESSEX FINANCIAL SERVICES, INC.

CRD

127549

SEC file #

801-62242

EIN

371565070

DBA names

—

Economics

AUM

$4.17B

AUM band

$1B+

AUM trajectory

'20 · $2.85B

'21 · $2.27B

'22 · $3.08B

'23 · $2.77B

'25 · $4.17B

'26 · $4.17B

'20'26

$2.85B → $4.17B▲ +46%

sec adv history

Client mix

Individuals Other	1,885
Individuals High Net Worth	895
Pension Profit Sharing Plans	108
Charitable Organizations	60
Corporations	15

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 34 advisors

'21 · 34 advisors

'22 · 38 advisors

'23 · 40 advisors

'25 · 42 advisors

'26 · 42 advisors

'20'26

34 advisors → 42 advisors▲ +24%

sec adv history

Primary office

ESSEX CT

Branches

—

Custodian & Brokerage

Primary custodian

Fidelitylow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting

Fee basis

% of AUMHourly chargesFixed fees

Filings

Latest ADV filing

12/24/2025

essexfinancialservices.net

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

ESSEX BANK

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

ESSEX BANK

ARNOLD, DIANE, HADLEY

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

ESSEXFINANCIALSERVICES.NET

Rdap Domain Creation Date

2003-03-04T21:49:16Z

Rdap Firm Age Years

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

Yes

Form 5500 Plan Count

Form 5500 Total Compensation

100,632

Form 5500 Compensation Trajectory 3y

2025

100,632

Form 5500 Plan Count Trajectory 3y

2025

Schedule C Total Compensation

100,632

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001443661

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2008-08-18

Edgar Last Filing Date

2011-03-15

Edgar Form D Count

Edgar Form D Offerings

2011-03-152011-03-15 · 0001443661-11-000001

2010-09-272010-09-27 · 0001443661-10-000005

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (16)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Fidelity	4
Pershing	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

805 THIRD AVENUE, 18TH FLOORNew York, NY 10022

Business

805 THIRD AVENUE, 18TH FLOORNew York, NY 10022

Edgar EIN

371565070

Edgar Recent Filings

D/A2011-03-15 · 0001443661-11-000001

D/A2010-09-27 · 0001443661-10-000005

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2027-03-04T21:49:16Z

Rdap Domain Last Changed

2025-09-29T15:39:33Z

Rdap Nameservers

Conrad.ns.cloudflare.comJen.ns.cloudflare.com

Rdap Secure Dns Enabled

Rdap Status

Client Transfer Prohibited

Trust Company Affiliate

IAR · Executive Officer · 2.5%

People (38)

ROTH, SUSAN, K

2574898

Cumello, Charles, Robert

IAR · Executive Officer · 2.5%

2120572

Stillman, Nancy

IAR · Executive Officer · 2.5%

2325104

ARNOLD, DIANE, HADLEY

1483719

BAUER, JOHN

7031583

BOONE, MARY EMELIA

6281326

STEPHEN DEANE GRESHAM

1126592

Ronald Clark Nelson

Anthony Gennaro Russo

William Timothy Furgueson

1302987

ANTHONY JOSEPH VOCALINA

1754872

NICHOLAS LUKE NAUMANN

Courtney Hughes Walsh

DAVID CUMMINGS DONALDSON

James Michael Sullivan

Anthony Joseph Fortuna

Elizabeth Antoinette Haas

3136064

Kristin Elizabeth Green

6072278

JEFFREY WENDELL JONES