Hedge Fund Database

ESSEX LLC

Adviser information for ESSEX LLC last updated from Form ADV on February 9th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Illinois, United States

Employees

Total Number of Employees 10
Investment Advisory/Research 7
Registered Broker-Dealer Representatives 0
Registered State Investment Advisers 7
Licensed Agents of an Insurance Company 1
No. of Firms/People that Solicit Clients 1

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,895 $448.1M
Non-Discretionary 24 $26.2M
Total 1,919 $474.3M

Clients

Type Number RAUM
Individuals 428 $112.2M
HNW Individuals 127 $354.4M
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 0 $0
Charitable organizations 1 $7.8M
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 251-500

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businesses
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-54274
SEC ERA File Number 801-54274
SEC CIK Numbers 1889147
SEC CRD Numbers 108352
Legal Entity Identifier None

Principal Office

21805 FIELD PARKWAY
SUITE 340
DEER PARK
IL
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 847-777-7800, Fax: 847-777-7810

Websites

www.linkedin.com/company/essex-llc www.alignable.com/barrington-il/essex-llc www.essexllc.com

Chief Compliance Officer

ROBERT C. TUTELA
COMPLIANCE OFFICER
21805 FIELD PARKWAY
SUITE 340
DEER PARK
IL
United States
Tel: 847-777-7847
Fax: 847-777-7810
(Full email address available in API data)

Regulatory Contact

JAMES W. HARTWELL
PRESIDENT
21805 FIELD PARKWAY
SUITE 340
DEER PARK
IL
United States
Tel: 847-777-7820
Fax: 847-777-7810
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
HARTWELL, JAMES, WALTER Individual – PRESIDENT/CEO - MANAGING MEMBER 01/1991 > 75%
TUTELA, ROBERT, CARREY Individual – CHIEF COMPLIANCE OFFICER - MEMBER 11/2016 < 5%
CAIRNS, BENJAMIN, A. Individual – CHIEF OPERATING OFFICER - MANAGING MEMBER 01/2017 5-10%

No. Employees, Historic

10502020202120222023202420256 on 2/18/20206 on 5/28/20206 on 2/11/20216 on 3/12/20217 on 2/11/20227 on 5/16/20227 on 5/16/20227 on 6/29/20227 on 7/18/20227 on 2/10/20237 on 5/5/20237 on 7/21/202310 on 10/12/202310 on 2/5/202410 on 2/9/2024

RAUM, Historic

500M250M0202020212022202320242025344540946 on 2/18/2020344540946 on 5/28/2020419824578 on 2/11/2021419824578 on 3/12/2021439771084 on 2/11/2022439771084 on 5/16/2022439771084 on 5/16/2022439771084 on 6/29/2022439771084 on 7/18/2022392397145 on 2/10/2023392397145 on 5/5/2023392397145 on 7/21/2023392397145 on 10/12/2023474349933 on 2/5/2024474349933 on 2/9/2024

No. Clients, Historic

6003000202020212022202320242025402 on 2/18/2020402 on 5/28/2020422 on 2/11/2021422 on 3/12/2021405 on 2/11/2022405 on 5/16/2022405 on 5/16/2022405 on 6/29/2022405 on 7/18/2022442 on 2/10/2023442 on 5/5/2023442 on 7/21/2023442 on 10/12/2023556 on 2/5/2024556 on 2/9/2024

Holdings

From latest 13F, filed July 22nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 467K 3K 0
ADOBE INC COM 327K 588 0
ADVANCED MICRO DEVICES INC COM 8M 49K 0
AGNC INVT CORP COM 97K 10K 0
AIR PRODS & CHEMS INC COM 298K 1K 0
ALPHABET INC CAP STK CL A 5M 26K 0
ALPHABET INC CAP STK CL C 5M 27K 0
AMAZON COM INC COM 3M 13K 0
AMERICAN TOWER CORP NEW COM 263K 1K 0
AMGEN INC COM 258K 824 0
APPLE INC COM 7M 33K 0
ARISTA NETWORKS INC COM 1M 3K 0
AT&T INC COM 2M 88K 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 949K 2K 0
BLACKSTONE INC COM 271K 2K 0
BOSTON PROPERTIES INC COM 2M 37K 0
BRISTOL-MYERS SQUIBB CO COM 350K 8K 0
C H ROBINSON WORLDWIDE INC COM NEW 253K 3K 0
CASSAVA SCIENCES INC COM 683K 55K 0
CHEVRON CORP NEW COM 385K 2K 0
CHURCHILL DOWNS INC COM 388K 3K 0
CISCO SYS INC COM 3M 61K 0
CME GROUP INC COM 324K 2K 0
COLGATE PALMOLIVE CO COM 257K 3K 0
CONSOLIDATED EDISON INC COM 2M 20K 0
CORTEVA INC COM 731K 14K 0
COSTCO WHSL CORP NEW COM 777K 914 0
CVS HEALTH CORP COM 318K 5K 0
DECKERS OUTDOOR CORP COM 227K 235 0
DEERE & CO COM 5M 14K 0
DISNEY WALT CO COM 3M 26K 0
DOCUSIGN INC COM 378K 7K 0
DOW INC COM 778K 15K 0
DUPONT DE NEMOURS INC COM 1M 14K 0
ELI LILLY & CO COM 2M 2K 0
EMERSON ELEC CO COM 3M 31K 0
EXELON CORP COM 1M 35K 0
EXXON MOBIL CORP COM 2M 19K 0
FIRST TR EXCH TRADED FD III INSTL PFD SECS 16M 884K 0
FIRST TR EXCH TRADED FD III PFD SECS INC ETF 1M 68K 0
FIRST TR EXCHANGE-TRADED FD FST LOW OPPT EFT 256K 5K 0
GE AEROSPACE COM NEW 3M 21K 0
GE VERNOVA INC COM 832K 5K 0
GENERAL DYNAMICS CORP COM 4M 13K 0
GENWORTH FINL INC COM SHS 68K 11K 0
GLOBAL X FDS GLB X MLP ENRG I 3M 64K 0
GLOBAL X FDS CYBRSCURTY ETF 1M 35K 0
GLOBAL X FDS ARTIFICIAL ETF 1M 41K 0
GOLDMAN SACHS GROUP INC COM 11M 25K 0
HEICO CORP NEW COM 258K 1K 0
HENNESSY FDS TR STANCE ESG ETF 4M 134K 0
HOME DEPOT INC COM 307K 892 0
HONEYWELL INTL INC COM 3M 16K 0
INTERDIGITAL INC COM 302K 3K 0
INTERNATIONAL BUSINESS MACHS COM 2M 13K 0
INVESCO EXCHANGE TRADED FD T FINL PFD ETF 298K 20K 0
INVESCO QQQ TR UNIT SER 1 683K 1K 0
ISHARES TR 0-5YR HI YL CP 2M 49K 0
ISHARES TR S&P MC 400VL ETF 1M 10K 0
ISHARES TR U.S. UTILITS ETF 2M 17K 0
ISHARES TR U.S. BAS MTL ETF 574K 4K 0
ISHARES TR US CONSM STAPLES 897K 14K 0
ISHARES TR U.S. FINLS ETF 1M 12K 0
ISHARES TR US INDUSTRIALS 1M 11K 0
ISHARES TR U.S. TECH ETF 7M 43K 0
ISHARES TR ISHARES BIOTECH 269K 2K 0
ISHARES TR ISHARES SEMICDTR 403K 2K 0
ISHARES TR CORE S&P500 ETF 2M 4K 0
ISHARES TR S&P SML 600 GWT 290K 2K 0
ISHARES TR US HLTHCARE ETF 2M 31K 0
ISHARES TR DOW JONES US ETF 287K 2K 0
ISHARES TR CORE DIV GRWTH 263K 5K 0
ISHARES TR FLTG RATE NT ETF 410K 8K 0
J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 8M 164K 0
JOHNSON & JOHNSON COM 5M 31K 0
JPMORGAN CHASE & CO. COM 8M 38K 0
KINDER MORGAN INC DEL COM 872K 44K 0
LINDE PLC SHS 4M 8K 0
MARSH & MCLENNAN COS INC COM 5M 23K 0
MASTERCARD INCORPORATED CL A 849K 2K 0
MERCK & CO INC COM 4M 36K 0
META PLATFORMS INC CL A 2M 5K 0
MICROSOFT CORP COM 7M 16K 0
NETFLIX INC COM 813K 1K 0
NOVARTIS AG SPONSORED ADR 261K 2K 0
NOVO-NORDISK A S ADR 694K 5K 0
NVIDIA CORPORATION COM 4M 36K 0
ORACLE CORP COM 405K 3K 0
PALO ALTO NETWORKS INC COM 277K 817 0
PAYPAL HLDGS INC COM 2M 32K 0
PEPSICO INC COM 3M 21K 0
PFIZER INC COM 2M 77K 0
PINTEREST INC CL A 1M 29K 0
PROCTER AND GAMBLE CO COM 4M 23K 0
PROSHARES TR S&P 500 DV ARIST 265K 3K 0
RTX CORPORATION COM 3M 33K 0
SALESFORCE INC COM 451K 2K 0
SCHWAB CHARLES CORP COM 326K 4K 0
SCHWAB STRATEGIC TR FUNDAMENTAL EMER 4M 145K 0
SCHWAB STRATEGIC TR INTL EQTY ETF 13M 345K 0
SCHWAB STRATEGIC TR US LRG CAP ETF 16M 253K 0
SCHWAB STRATEGIC TR US MID-CAP ETF 14M 176K 0
SCHWAB STRATEGIC TR US SML CAP ETF 9M 193K 0
SCHWAB STRATEGIC TR US BRD MKT ETF 2M 33K 0
SCHWAB STRATEGIC TR US LCAP GR ETF 872K 9K 0
SCHWAB STRATEGIC TR 1 5YR CORP BD 3M 64K 0
SCHWAB STRATEGIC TR US LCAP VA ETF 204K 3K 0
SCHWAB STRATEGIC TR 5 10YR CORP BD 2M 56K 0
SELECT SECTOR SPDR TR COMMUNICATION 4M 49K 0
SELECT SECTOR SPDR TR ENERGY 1M 16K 0
SELECT SECTOR SPDR TR FINANCIAL 5M 126K 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 4M 26K 0
SELECT SECTOR SPDR TR INDL 4M 33K 0
SELECT SECTOR SPDR TR SBI MATERIALS 1M 14K 0
SELECT SECTOR SPDR TR TECHNOLOGY 23M 104K 0
SELECT SECTOR SPDR TR SBI CONS STPLS 1M 18K 0
SELECT SECTOR SPDR TR SBI INT-UTILS 737K 11K 0
SELECT SECTOR SPDR TR SBI CONS DISCR 535K 3K 0
SHARKNINJA INC COM SHS 246K 3K 0
SHOPIFY INC CL A 307K 5K 0
SKYWORKS SOLUTIONS INC COM 3M 30K 0
SOUNDHOUND AI INC CLASS A COM 45K 11K 0
SOUTHERN CO COM 2M 27K 0
SPDR GOLD TR GOLD SHS 397K 2K 0
SPDR S&P 500 ETF TR TR UNIT 3M 6K 0
SPDR SER TR BLOOMBERG SHT TE 25M 993K 0
SPDR SER TR S&P KENSHO NEW 694K 15K 0
SPDR SER TR S&P BIOTECH 967K 10K 0
STARBUCKS CORP COM 3M 42K 0
THERMO FISHER SCIENTIFIC INC COM 403K 729 0
TILRAY BRANDS INC COM 33K 20K 0
TJX COS INC NEW COM 409K 4K 0
TRANE TECHNOLOGIES PLC SHS 872K 3K 0
TRANSOCEAN LTD REGISTERED SHS 693K 130K 0
UNION PAC CORP COM 493K 2K 0
VALE S A SPONSORED ADS 321K 29K 0
VANECK ETF TRUST FALLEN ANGEL HG 4M 146K 0
VANGUARD BD INDEX FDS SHORT TRM BOND 453K 6K 0
VANGUARD INDEX FDS SMALL CP ETF 447K 2K 0
VANGUARD INDEX FDS S&P 500 ETF SHS 643K 1K 0
VANGUARD INDEX FDS TOTAL STK MKT 914K 3K 0
VANGUARD INDEX FDS REAL ESTATE ETF 454K 5K 0
VANGUARD INDEX FDS GROWTH ETF 266K 710 0
VANGUARD INDEX FDS VALUE ETF 953K 6K 0
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 760K 17K 0
VANGUARD SCOTTSDALE FDS INT-TERM CORP 37M 463K 0
VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 33M 428K 0
VANGUARD SPECIALIZED FUNDS DIV APP ETF 962K 5K 0
VANGUARD STAR FDS VG TL INTL STK F 1M 21K 0
VERISIGN INC COM 1M 7K 0
VIATRIS INC COM 222K 21K 0
VISA INC COM CL A 299K 1K 0
WALMART INC COM 242K 4K 0
WASTE MGMT INC DEL COM 2M 8K 0
WEYERHAEUSER CO MTN BE COM NEW 232K 8K 0