Essex Llc
- Regulatory AUM
- $649M
- Discretionary
- $619M
- Clients
- 608
- Avg AUM / client
- $1.1M
- Accounts
- 2,294
- Employees
- 9
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 414 | $75.3M | 11.6% |
| High net worth individuals | 162 | $532M | 81.9% |
| Pension and profit sharing plans | 31 | $37.0M | 5.7% |
| Charitable organizations | 1 | $5.4M | 0.83% |
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Hartwell, James, Walter | President/Ceo Managing Member | Jan 1991 (36y) | 75% or more | |
| Benjamin A. Cairns | Chief Operating Officer Managing Member | CFP | Jan 2015 (12y) | 5% – 10% |
| Robert Carey Tutela | Chief Compliance Officer Member | Nov 2016 (10y) | Less than 5% | |
| Arthur Allen Freedman | Registered representative | Jan 2015 (12y) | ||
| James Walter Hartwell | Registered representative | Jan 2015 (12y) | ||
| Edward Connolly | Registered representative | CFP | Jul 2021 (5y) | |
| Justin Nolan | Registered representative | Jul 2023 (3y) | ||
| Nancy Ann Effert | Registered representative | Oct 2023 (3y) |
Undisclosed: 0% – 20% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/29/2026 | 937 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $639M (98% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 29, 2026.
View current Form ADV (SEC/IAPD) ↗