Essex Investment Management Company, Llc
- Regulatory AUM
- $713M
- Discretionary
- $713M
- Clients
- 117
- Avg AUM / client
- $6.1M
- Accounts
- 117
- Employees
- 13
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Investments (13F portfolio — 305 positions, $631,736,853)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Tower Semiconductor Ltd | COM | $20,343,923 | 115,933 | 3.22% | 2.85% |
| 2 | Lincoln Edl Svcs Corp | COM | $14,453,767 | 355,304 | 2.29% | 2.03% |
| 3 | Sterling Infrastructure Inc | COM | $13,055,854 | 32,057 | 2.07% | 1.83% |
| 4 | Kiniksa Pharmaceuticals Intl P | COM | $12,002,736 | 249,278 | 1.9% | 1.68% |
| 5 | Ligand Pharmaceuticals Inc | COM | $11,671,539 | 58,460 | 1.85% | 1.64% |
| 6 | Leonardo Drs Inc | COM | $11,639,932 | 261,454 | 1.84% | 1.63% |
| 7 | Kratos Defense & Sec Solutions | COM | $11,200,090 | 158,844 | 1.77% | 1.57% |
| 8 | Globalstar Inc | COM | $11,003,469 | 165,665 | 1.74% | 1.54% |
| 9 | Insmed Inc | COM | $10,248,780 | 62,676 | 1.62% | 1.44% |
| 10 | Graham Corp | COM | $10,124,962 | 128,294 | 1.6% | 1.42% |
| 11 | Mirum Pharmaceuticals Inc | COM | $10,008,264 | 108,338 | 1.58% | 1.4% |
| 12 | Ceco Environmental Corp | COM | $9,368,717 | 157,246 | 1.48% | 1.31% |
| 13 | Hci Group Inc | COM | $8,910,793 | 57,634 | 1.41% | 1.25% |
| 14 | Argan Inc | COM | $8,767,776 | 16,098 | 1.39% | 1.23% |
| 15 | Apple Inc | COM | $8,268,478 | 32,580 | 1.31% | 1.16% |
| 16 | Brainsway Ltd | ADR | $8,220,569 | 618,553 | 1.3% | 1.15% |
| 17 | Agnico Eagle Mines Ltd | COM | $7,843,756 | 38,643 | 1.24% | 1.1% |
| 18 | American Superconductor Corp | COM | $7,702,838 | 227,558 | 1.22% | 1.08% |
| 19 | Amprius Technologies Inc | COM | $7,510,135 | 445,441 | 1.19% | 1.05% |
| 20 | Ge Vernova Inc | COM | $7,261,655 | 8,319 | 1.15% | 1.02% |
| 21 | Primoris Svcs Corp | COM | $6,891,238 | 48,177 | 1.09% | 0.97% |
| 22 | Adaptive Biotechnologies Corp | COM | $6,848,434 | 493,403 | 1.08% | 0.96% |
| 23 | Tetra Technologies Inc Del | COM | $6,595,323 | 774,099 | 1.04% | 0.93% |
| 24 | Goldman Sachs Group Inc | COM | $6,392,300 | 7,556 | 1.01% | 0.9% |
| 25 | Willdan Group Inc | COM | $5,994,036 | 78,292 | 0.95% | 0.84% |
Top 25 of 305 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 35 | $78.4M | 11.0% |
| High net worth individuals | 55 | $130M | 18.3% |
| Investment companies | 2 | $123M | 17.3% |
| Pooled investment vehicles (non-investment companies) | 2 | $68.8M | 9.65% |
| Pension and profit sharing plans | 1 | $6.2M | 0.87% |
| Charitable organizations | 14 | $79.1M | 11.1% |
| State or municipal government entities | 8 | $227M | 31.8% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Apr 2024 · $21.1M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Essex Performance Fund, Lp | Hedge Fund | Massachusetts | $13.7M | 7 |
| Essex Micro Cap Growth Fund, Llc | Hedge Fund | Delaware | $7.4M | 8 |
People (9)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mccarthy, Michael, Stephen | Cco/Coo/Managing Member | Oct 2012 (14y) | ≈ 3.75% – 10% via Drakes Maine Llc | |
| Mcnay, Joseph, Claudius | Chairman & Managing Member | Oct 2012 (14y) | 25% – 50% | |
| Cournan, Martin, Pierce | Owner | Feb 2015 (12y) | ≈ 3.75% – 10% via Courcap Llc | |
| Giroux, Elizabeth, Ferns | Owner | Feb 2015 (12y) | ≈ 3.75% – 10% via Lockes Investment Llc | |
| Mcmichael, Annemarie, Gelata | Research Analyst, Non Managing Member | Feb 2015 (12y) | 5% – 10% | |
| Page, William, Hurd | Owner | Feb 2015 (12y) | ≈ 3.75% – 10% via Burnt Mountain Investments Llc | |
| Uek, Robert, Joseph | Co Ceo & Managing Member | Feb 2015 (12y) | ≈ 7.5% – 25% via Hippogriffe Investment Llc | |
| Prial, Nancy, Beth | Co Ceo & Managing Member | Mar 2015 (11y) | 10% – 25% | |
| Sacks, Saralyn, Nmi | Senior Portfolio Manager & Non Managing Member | Mar 2015 (11y) | 5% – 10% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hippogriffe Investment Llc | Non Managing Member | Feb 2015 | A | 10% – 25% |
| Drakes Maine Llc | Non Managing Member | Feb 2015 | A | 5% – 10% |
| Courcap Llc | Non Managing Member | Feb 2015 | A | 5% – 10% |
| Lockes Investment Llc | Non Managing Member | Feb 2015 | A | 5% – 10% |
| Burnt Mountain Investments Llc | Non Managing Member | Feb 2015 | A | 5% – 10% |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Mccarthy, Michael, Stephen: 75% – 100% of Drakes Maine Llc × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Cournan, Martin, Pierce: 75% – 100% of Courcap Llc × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Giroux, Elizabeth, Ferns: 75% – 100% of Lockes Investment Llc × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Page, William, Hurd: 75% – 100% of Burnt Mountain Investments Llc × 5% – 10% direct ≈ 3.75% – 10% of the firm
- Uek, Robert, Joseph: 75% – 100% of Hippogriffe Investment Llc × 10% – 25% direct ≈ 7.5% – 25% of the firm
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.
Private funds (2, $21.1M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Essex Performance Fund, Lp | Hedge Fund | $13.7M | $500K | 7 |
| Essex Micro Cap Growth Fund, Llc | Hedge Fund | $7.4M | $500K | 8 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.07 MB | 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
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $223M (31% of AUM) Mar 2026
- J.P. Morgan $103M (14% of AUM) Mar 2026
- Fnz Trust Company $102M (14% of AUM) Mar 2026
- Morgan Stanley $93.2M (15% of AUM) Dec 2023
- BNY Mellon $74.0M (10% of AUM) Mar 2026
- Umb Bank $67.7M (11% of AUM) Apr 2024
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗