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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ESSEX LLC

CRD 108352

DEER PARK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:27bb8701-762a-fb3d-ecad-700131151665

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 20, 2012 to Jan 29, 2026
35 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $649MItem 5.F on the latest filing (2026-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $619M
Private client RAUM: $607MderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $81.2Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 7
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2,294
Individual clients: 414
High net worth clients: 162
Custody, client assets: $165M
SEC number: 801-54274
CRD: 108352
Filings on the tape: 35
First filed: Mar 20, 2012
Latest filed: Jan 29, 2026
Organised: Limited Liability Company, IL

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
BENJAMIN A. CAIRNS	Certified Financial Planner	SPRING LAKE, MI \| DEER PARK, IL	11	12	1	no
JAMES WALTER HARTWELL	n/a	DEER PARK, IL	11	32	1	no
ARTHUR ALLEN FREEDMAN	n/a	DEER PARK, IL	11	26	1	no
ROBERT CAREY TUTELA	n/a	DEER PARK, IL	9	10	n/a	no
EDWARD CONNOLLY	Certified Financial Planner	DEER PARK, IL	5	19	1	no
JUSTIN NOLAN	n/a	DEER PARK, IL	3	11	n/a	no
NANCY ANN EFFERT	n/a	DEER PARK, IL	2	24	7	no
Erik Lee Miller	n/a	DEER PARK, IL	0	10	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
HARTWELL, JAMES, WALTER	PRESIDENT/CEO - MANAGING MEMBER	E	yes	01/1991	Mar 20, 2012	Nov 19, 2024
CAIRNS, BENJAMIN, A.	CHIEF OPERATING OFFICER - MANAGING MEMBER	A	no	01/2017	Feb 1, 2018	Nov 19, 2024
TUTELA, ROBERT, CARREY	CHIEF COMPLIANCE OFFICER - MEMBER	Na	no	11/2016	Feb 10, 2017	Nov 19, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 15 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 29, 2026	$649M	$619M	9	7	2	n/a	n/a
2024	Apr 9, 2025	$563M	$533M	10	7	1	n/a	n/a
2023	Feb 5, 2024	$474M	$448M	10	7	0	n/a	n/a
2022	Feb 10, 2023	$392M	$364M	7	6	0	n/a	n/a
2021	Feb 11, 2022	$440M	$389M	7	6	0	n/a	n/a
2020	Feb 11, 2021	$420M	$363M	6	5	0	n/a	n/a
2019	Feb 18, 2020	$345M	$310M	6	5	0	n/a	n/a
2018	Feb 1, 2019	$285M	$244M	6	5	1	n/a	n/a
2017	Feb 1, 2018	$296M	$253M	7	6	1	n/a	n/a
2016	Feb 10, 2017	$255M	$222M	7	6	n/a	n/a	n/a
2015	Mar 18, 2016	$237M	$213M	5	4	n/a	n/a	n/a
2014	Feb 20, 2015	$225M	$179M	4	4	n/a	n/a	n/a
2013	Mar 6, 2014	$198M	$167M	4	3	n/a	n/a	n/a
2012	Mar 13, 2013	$164M	$126M	4	3	n/a	n/a	n/a
2011	Mar 20, 2012	$146M	$111M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$649M	$563M	15.3%	$392M	18.3%	9	10	2	1

Relationships

Registered with (8)

← Erik Lee MillerAdvisorregistration: current employment
Aug 18, 2026 to presentfactForm ADV
← NANCY ANN EFFERTAdvisorregistration: current employment
Oct 8, 2023 to presentfactForm ADV
← JUSTIN NOLANAdvisorregistration: current employment
Jul 13, 2023 to presentfactForm ADV
← EDWARD CONNOLLYAdvisorregistration: current employment
Jul 21, 2021 to presentfactForm ADV
← ROBERT CAREY TUTELAAdvisorregistration: current employment
Jan 27, 2017 to presentfactForm ADV
← JAMES WALTER HARTWELLAdvisorregistration: previous registration
Feb 7, 2001 to Dec 31, 2014factForm ADV
← ARTHUR ALLEN FREEDMANAdvisorregistration: previous registration
Oct 8, 2002 to Dec 31, 2014factForm ADV
← BENJAMIN A. CAIRNSAdvisorregistration: previous registration
Apr 9, 2014 to Dec 31, 2014factForm ADV

Controls (1)

← HARTWELL, JAMES, WALTEROwnerPRESIDENT/CEO - MANAGING MEMBER, ownership code E, individual
Mar 20, 2012 to Nov 19, 2024factForm ADV

Owns (2)

← TUTELA, ROBERT, CARREYOwnerCHIEF COMPLIANCE OFFICER - MEMBER, ownership code NA, individual
Feb 10, 2017 to Nov 19, 2024factForm ADV
← CAIRNS, BENJAMIN, A.OwnerCHIEF OPERATING OFFICER - MANAGING MEMBER, ownership code A, individual
Feb 1, 2018 to Nov 19, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:27bb8701-762a-fb3d-ecad-700131151665
First observed: Mar 20, 2012
Last observed: Jan 29, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

ESSEX LLC

CRD 108352

DEER PARK, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:27bb8701-762a-fb3d-ecad-700131151665

Data as of Jan 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:07 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

BENJAMIN A. CAIRNS

Certified Financial Planner

SPRING LAKE, MI | DEER PARK, IL

JAMES WALTER HARTWELL

n/a

DEER PARK, IL

ARTHUR ALLEN FREEDMAN

n/a

DEER PARK, IL

ROBERT CAREY TUTELA

n/a

DEER PARK, IL

n/a

EDWARD CONNOLLY

Certified Financial Planner

DEER PARK, IL

JUSTIN NOLAN

n/a

DEER PARK, IL

n/a

NANCY ANN EFFERT

n/a

DEER PARK, IL

Erik Lee Miller

n/a

DEER PARK, IL

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HARTWELL, JAMES, WALTER

PRESIDENT/CEO - MANAGING MEMBER

yes

01/1991

Mar 20, 2012

Nov 19, 2024

CAIRNS, BENJAMIN, A.

CHIEF OPERATING OFFICER - MANAGING MEMBER

01/2017

Feb 1, 2018

Nov 19, 2024

TUTELA, ROBERT, CARREY

CHIEF COMPLIANCE OFFICER - MEMBER

11/2016

Feb 10, 2017

Nov 19, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Jan 29, 2026

$649M

$619M

n/a

2024

Apr 9, 2025

$563M

$533M

n/a

2023

Feb 5, 2024

$474M

$448M

n/a

2022

Feb 10, 2023

$392M

$364M

n/a

2021

Feb 11, 2022

$440M

$389M

n/a

2020

Feb 11, 2021

$420M

$363M

n/a

2019

Feb 18, 2020

$345M

$310M

n/a

2018

Feb 1, 2019

$285M

$244M

n/a

2017

Feb 1, 2018

$296M

$253M

n/a

2016

Feb 10, 2017

$255M

$222M

n/a

2015

Mar 18, 2016

$237M

$213M

n/a

2014

Feb 20, 2015

$225M

$179M

n/a

2013

Mar 6, 2014

$198M

$167M

n/a

2012

Mar 13, 2013

$164M

$126M

n/a

2011

Mar 20, 2012

$146M

$111M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$649M

$563M

15.3%

$392M

18.3%