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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

ESSEX INVESTMENT MANAGEMENT COMPANY, LLC

CRD 109962

BOSTON, MA

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Search this name across graphsid dfx:ria:550eaf23-47b3-672b-942e-9739179156fc

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 8
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
31 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: mixed wealth managerderivedprivate_client_share=0.29 fund_share=0.27 institutional_share=0.44 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $713MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $713M
Private client RAUM: $209MderivedItem 5.D individuals plus high net worth individuals
Private client share: 29%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 117
Individual clients: 35
High net worth clients: 55
SEC number: 801-55496
CIK: 201772
CRD: 109962
Filings on the tape: 31
First filed: Mar 30, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, DE
Website: essexinvest.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
ESSEX GLOBAL LIFE SCIENCES FUND, LP	Hedge Fund	$16.7M	Dec 16, 2019	5	Mar 30, 2012	dropped	021-150594
ESSEX PERFORMANCE FUND, LP	Hedge Fund	$13.7M	Apr 24, 2024	7	Mar 30, 2012	reported	021-149786
ESSEX EVOLUTION LONG/SHORT FUND, LLC	Hedge Fund	$12.8M	Dec 7, 2023	2	Mar 24, 2014	reported	021-330476
ESSEX MICRO CAP GROWTH FUND, LLC	Hedge Fund	$7.4M	Apr 24, 2024	8	Mar 30, 2012	reported	021-148413
ESSEX CLIMATE CHANGE FUND, LLC	Hedge Fund	$4.9M	May 24, 2017	5	Mar 30, 2012	dropped	021-167614
ESSEX LONG SHORT FUND, LLC	Hedge Fund	$3.7M	Nov 5, 2012	2	Mar 30, 2012	dropped	021-153700
ESSEX NATURAL RESOURCES FUND, LLC	Hedge Fund	$3.7M	May 27, 2014	2	Mar 30, 2012	dropped	021-80464
ESSEX FLEXPORT FUND, LP	Hedge Fund	$2.3M	May 27, 2014	5	Mar 30, 2012	dropped	021-149787
ESSEX U.S. ENERGY RENAISSANCE FUND, LLC	Hedge Fund	$1.8M	May 24, 2017	2	Mar 24, 2014	dropped	n/a
ESSEX CONCENTRATED GROWTH FUND LS, LLC	Hedge Fund	$1.7M	Nov 5, 2012	3	Mar 30, 2012	dropped	021-80463
ESSEX SCOUT FUND, LLC	Hedge Fund	$1.3M	Mar 29, 2018	3	Mar 30, 2012	dropped	021-167612
ESSEX GEOS LONG SHORT FUND, LLC	Hedge Fund	$1.3M	Mar 29, 2018	2	Mar 29, 2018	dropped	n/a
ESSEX PRIVATE PLACEMENT FUND III-B, LP	Hedge Fund	$912,868	May 6, 2015	96	Mar 30, 2012	dropped	021-999999
ESSEX ALPHA FUND, A SEP. SERIES OF ESSEX QUALIFIED PURCHASERS FUND, LLC	Hedge Fund	$430,528	May 27, 2014	3	Mar 30, 2012	dropped	021-150596
ESSEX PRIVATE PLACEMENT FUND III-A, LP	Hedge Fund	$168,904	May 6, 2015	59	Mar 30, 2012	dropped	021-999999
ESSEX INCOME & GROWTH FUND, LLC	Hedge Fund	$29,802	May 27, 2014	2	Mar 30, 2012	dropped	021-153699
ESSEX VISION FUND, LLC	Hedge Fund	$16,125	May 27, 2014	1	Mar 30, 2012	dropped	021-149649
ESSEX GLOBAL EMERGING GROWTH FUND	Hedge Fund	$1	May 27, 2014	3	Mar 30, 2012	dropped	021-149648

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
COURNAN, MARTIN, PIERCE	Owner	E	yes	02/2015	Mar 15, 2019	Apr 24, 2024
Giroux, Elizabeth, Ferns	Owner	E	yes	02/2015	Mar 15, 2019	Apr 24, 2024
MCCARTHY, MICHAEL, STEPHEN	CCO/COO/MANAGING MEMBER	Na	yes	10/2012	Nov 5, 2012	Apr 24, 2024
MCCARTHY, MICHAEL, STEPHEN	Owner	E	yes	02/2015	Nov 5, 2012	Apr 24, 2024
MCNAY, JOSEPH, CLAUDIUS	CHAIRMAN & MANAGING MEMBER	C	yes	10/2012	Mar 30, 2012	Apr 24, 2024
PAGE, WILLIAM, HURD	Owner	E	yes	02/2015	Mar 31, 2023	Apr 24, 2024
PRIAL, NANCY, BETH	CO-CEO & MANAGING MEMBER	B	yes	03/2015	Mar 26, 2015	Apr 24, 2024
UEK, ROBERT, JOSEPH	CO-CEO & MANAGING MEMBER	Na	yes	03/2015	Mar 26, 2015	Apr 24, 2024
UEK, ROBERT, JOSEPH	Owner	E	yes	02/2015	Mar 26, 2015	Apr 24, 2024
BURNT MOUNTAIN INVESTMENTS LLC	NON-MANAGING MEMBER	A	no	02/2015	Mar 31, 2023	Apr 24, 2024
COURCAP LLC	NON-MANAGING MEMBER	A	no	02/2015	Mar 15, 2019	Apr 24, 2024
DRAKES MAINE LLC	NON-MANAGING MEMBER	A	no	02/2015	Mar 15, 2019	Apr 24, 2024
HIPPOGRIFFE INVESTMENT LLC	NON-MANAGING MEMBER	B	no	02/2015	Mar 15, 2019	Apr 24, 2024
LOCKES INVESTMENT LLC	NON-MANAGING MEMBER	A	no	02/2015	Mar 15, 2019	Apr 24, 2024
MCMICHAEL, ANNEMARIE, GELATA	RESEARCH ANALYST, NON-MANAGING MEMBER	A	no	02/2015	Mar 31, 2023	Apr 24, 2024
SACKS, SARALYN, NMI	SENIOR PORTFOLIO MANAGER & NON-MANAGING MEMBER	A	no	03/2015	Mar 26, 2015	Apr 24, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Evanston	IL	United States	5	no

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$713M	$713M	13	9	1	n/a	n/a
2024	Mar 28, 2025	$610M	$610M	12	8	1	1	n/a
2023	Mar 29, 2024	$627M	$610M	12	9	1	2	$21.1M
2022	Mar 31, 2023	$627M	$618M	15	10	1	3	$77.8M
2021	Mar 31, 2022	$845M	$837M	15	9	1	3	$127M
2020	Mar 31, 2021	$799M	$786M	14	8	1	3	$139M
2019	Mar 30, 2020	$724M	$713M	18	10	1	3	$139M
2018	Mar 15, 2019	$632M	$622M	18	11	1	4	$128M
2017	Mar 29, 2018	$774M	$765M	19	11	1	6	$156M
2016	Mar 29, 2017	$617M	$606M	19	11	n/a	7	$132M
2015	Mar 29, 2016	$679M	$677M	20	11	n/a	7	$131M
2014	Mar 26, 2015	$684M	$683M	20	10	n/a	9	$148M
2013	Mar 24, 2014	$740M	$740M	20	9	n/a	15	$139M
2012	Mar 27, 2013	$612M	$612M	29	13	n/a	13	$88.3M
2011	Mar 30, 2012	$1.1B	$1.1B	n/a	n/a	n/a	15	$86.4M

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	$713M	$610M	16.8%	$627M	4.4%	13	12	1	1

Relationships

Advises (18)

→ ESSEX PERFORMANCE FUND, LPPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ESSEX MICRO CAP GROWTH FUND, LLCPrivate fundHedge Fund, IA
Mar 30, 2012 to presentfactForm ADV
→ ESSEX EVOLUTION LONG/SHORT FUND, LLCPrivate fundHedge Fund, IA
Mar 24, 2014 to presentfactForm ADV
→ ESSEX GLOBAL LIFE SCIENCES FUND, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Dec 16, 2019factForm ADV
→ ESSEX SCOUT FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Mar 29, 2018factForm ADV
→ ESSEX GEOS LONG SHORT FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 29, 2018 to Mar 29, 2018factForm ADV
→ ESSEX CLIMATE CHANGE FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 24, 2017factForm ADV
→ ESSEX U.S. ENERGY RENAISSANCE FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 24, 2014 to May 24, 2017factForm ADV
→ ESSEX PRIVATE PLACEMENT FUND III-B, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 6, 2015factForm ADV
→ ESSEX PRIVATE PLACEMENT FUND III-A, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 6, 2015factForm ADV
→ ESSEX INCOME & GROWTH FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 27, 2014factForm ADV
→ ESSEX GLOBAL EMERGING GROWTH FUNDPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 27, 2014factForm ADV
→ ESSEX NATURAL RESOURCES FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 27, 2014factForm ADV
→ ESSEX ALPHA FUND, A SEP. SERIES OF ESSEX QUALIFIED PURCHASERS FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 27, 2014factForm ADV
→ ESSEX VISION FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 27, 2014factForm ADV
→ ESSEX FLEXPORT FUND, LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 27, 2014factForm ADV
→ ESSEX LONG SHORT FUND, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Nov 5, 2012factForm ADV
→ ESSEX CONCENTRATED GROWTH FUND LS, LLCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Nov 5, 2012factForm ADV

Controls (7)

← PAGE, WILLIAM, HURDOwnerOWNER, ownership code E, individual
Mar 31, 2023 to Apr 24, 2024factForm ADV
← COURNAN, MARTIN, PIERCEOwnerOWNER, ownership code E, individual
Mar 15, 2019 to Apr 24, 2024factForm ADV
← PRIAL, NANCY, BETHOwnerCO-CEO & MANAGING MEMBER, ownership code B, individual
Mar 26, 2015 to Apr 24, 2024factForm ADV
← UEK, ROBERT, JOSEPHOwnerOWNER, ownership code E, individual
Mar 26, 2015 to Apr 24, 2024factForm ADV
← MCNAY, JOSEPH, CLAUDIUSOwnerCHAIRMAN & MANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to Apr 24, 2024factForm ADV
← MCCARTHY, MICHAEL, STEPHENOwnerOWNER, ownership code E, individual
Nov 5, 2012 to Apr 24, 2024factForm ADV
← Giroux, Elizabeth, FernsOwnerOWNER, ownership code E, individual
Mar 15, 2019 to Apr 24, 2024factForm ADV

Owns (7)

← SACKS, SARALYN, NMIOwnerSENIOR PORTFOLIO MANAGER & NON-MANAGING MEMBER, ownership code A, individual
Mar 26, 2015 to Apr 24, 2024factForm ADV
← MCMICHAEL, ANNEMARIE, GELATAOwnerRESEARCH ANALYST, NON-MANAGING MEMBER, ownership code A, individual
Mar 31, 2023 to Apr 24, 2024factForm ADV
← BURNT MOUNTAIN INVESTMENTS LLCOwnerNON-MANAGING MEMBER, ownership code A, domestic entity
Mar 31, 2023 to Apr 24, 2024factForm ADV
← COURCAP LLCOwnerNON-MANAGING MEMBER, ownership code A, domestic entity
Mar 15, 2019 to Apr 24, 2024factForm ADV
← DRAKES MAINE LLCOwnerNON-MANAGING MEMBER, ownership code A, domestic entity
Mar 15, 2019 to Apr 24, 2024factForm ADV
← HIPPOGRIFFE INVESTMENT LLCOwnerNON-MANAGING MEMBER, ownership code B, domestic entity
Mar 15, 2019 to Apr 24, 2024factForm ADV
← LOCKES INVESTMENT LLCOwnerNON-MANAGING MEMBER, ownership code A, domestic entity
Mar 15, 2019 to Apr 24, 2024factForm ADV

Dated events

Occurred
Mar 31, 2023
Regulatory AUM changed
Essex Investment Management Company, Llc reported RAUM $627.1M, down 26% from $845.3M (2022-03-31 to 2023-03-31)
Form ADVobserved 6 days ago
$-218M
Occurred
Mar 31, 2023
Control person joined
Hurd William Page (Owner) appeared on Schedule A of Essex Investment Management Company, Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person left
D Stephen Cutler (President And Managing Member) no longer on Schedule A of Essex Investment Management Company, Llc (listed 2020-06-30, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2021
Control person left
Armour Alexander Forse (Owner) no longer on Schedule A of Essex Investment Management Company, Llc (listed 2020-06-30, absent 2021-03-31)
Form ADVobserved 6 days ago
Occurred
Mar 15, 2019
Control person joined
Pierce Martin Cournan (Owner) appeared on Schedule A of Essex Investment Management Company, Llc
Form ADVobserved 6 days ago
Occurred
Mar 15, 2019
Control person joined
Ferns Elizabeth Giroux (Owner) appeared on Schedule A of Essex Investment Management Company, Llc
Form ADVobserved 6 days ago
Occurred
Mar 15, 2019
Control person joined
Armour Alexander Forse (Owner) appeared on Schedule A of Essex Investment Management Company, Llc
Form ADVobserved 6 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Essex Investment Management Company, Llc reported RAUM $774.4M, up 26% from $616.6M (2017-05-24 to 2018-03-29)
Form ADVobserved 6 days ago
$158M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:550eaf23-47b3-672b-942e-9739179156fc
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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 INVESTMENT MANAGEMENT COMPANY, LLC

CRD 109962

BOSTON, MA

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:550eaf23-47b3-672b-942e-9739179156fc

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

ESSEX GLOBAL LIFE SCIENCES FUND, LP

Hedge Fund

$16.7M

Dec 16, 2019

Mar 30, 2012

dropped

021-150594

ESSEX PERFORMANCE FUND, LP

Hedge Fund

$13.7M

Apr 24, 2024

Mar 30, 2012

reported

021-149786

ESSEX EVOLUTION LONG/SHORT FUND, LLC

Hedge Fund

$12.8M

Dec 7, 2023

Mar 24, 2014

reported

021-330476

ESSEX MICRO CAP GROWTH FUND, LLC

Hedge Fund

$7.4M

Apr 24, 2024

Mar 30, 2012

reported

021-148413

ESSEX CLIMATE CHANGE FUND, LLC

Hedge Fund

$4.9M

May 24, 2017

Mar 30, 2012

dropped

021-167614

ESSEX LONG SHORT FUND, LLC

Hedge Fund

$3.7M

Nov 5, 2012

Mar 30, 2012

dropped

021-153700

ESSEX NATURAL RESOURCES FUND, LLC

Hedge Fund

$3.7M

May 27, 2014

Mar 30, 2012

dropped

021-80464

ESSEX FLEXPORT FUND, LP

Hedge Fund

$2.3M

May 27, 2014

Mar 30, 2012

dropped

021-149787

ESSEX U.S. ENERGY RENAISSANCE FUND, LLC

Hedge Fund

$1.8M

May 24, 2017

Mar 24, 2014

dropped

n/a

ESSEX CONCENTRATED GROWTH FUND LS, LLC

Hedge Fund

$1.7M

Nov 5, 2012

Mar 30, 2012

dropped

021-80463

ESSEX SCOUT FUND, LLC

Hedge Fund

$1.3M

Mar 29, 2018

Mar 30, 2012

dropped

021-167612

ESSEX GEOS LONG SHORT FUND, LLC

Hedge Fund

$1.3M

Mar 29, 2018

dropped

n/a

ESSEX PRIVATE PLACEMENT FUND III-B, LP

Hedge Fund

$912,868

May 6, 2015

Mar 30, 2012

dropped

021-999999

ESSEX ALPHA FUND, A SEP. SERIES OF ESSEX QUALIFIED PURCHASERS FUND, LLC

Hedge Fund

$430,528

May 27, 2014

Mar 30, 2012

dropped

021-150596

ESSEX PRIVATE PLACEMENT FUND III-A, LP

Hedge Fund

$168,904

May 6, 2015

Mar 30, 2012

dropped

021-999999

ESSEX INCOME & GROWTH FUND, LLC

Hedge Fund

$29,802

May 27, 2014

Mar 30, 2012

dropped

021-153699

ESSEX VISION FUND, LLC

Hedge Fund

$16,125

May 27, 2014

Mar 30, 2012

dropped

021-149649

ESSEX GLOBAL EMERGING GROWTH FUND

Hedge Fund

May 27, 2014

Mar 30, 2012

dropped

021-149648

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

COURNAN, MARTIN, PIERCE

Owner

yes

02/2015

Mar 15, 2019

Apr 24, 2024

Giroux, Elizabeth, Ferns

Owner

yes

02/2015

Mar 15, 2019

Apr 24, 2024

MCCARTHY, MICHAEL, STEPHEN

CCO/COO/MANAGING MEMBER

yes

10/2012

Nov 5, 2012

Apr 24, 2024

MCCARTHY, MICHAEL, STEPHEN

Owner

yes

02/2015

Nov 5, 2012

Apr 24, 2024

MCNAY, JOSEPH, CLAUDIUS

CHAIRMAN & MANAGING MEMBER

yes

10/2012

Mar 30, 2012

Apr 24, 2024

PAGE, WILLIAM, HURD

Owner

yes

02/2015

Mar 31, 2023

Apr 24, 2024

PRIAL, NANCY, BETH

CO-CEO & MANAGING MEMBER

yes

03/2015

Mar 26, 2015

Apr 24, 2024

UEK, ROBERT, JOSEPH

CO-CEO & MANAGING MEMBER

yes

03/2015

Mar 26, 2015

Apr 24, 2024

UEK, ROBERT, JOSEPH

Owner

yes

02/2015

Mar 26, 2015

Apr 24, 2024

BURNT MOUNTAIN INVESTMENTS LLC

NON-MANAGING MEMBER

02/2015

Mar 31, 2023

Apr 24, 2024

COURCAP LLC

NON-MANAGING MEMBER

02/2015

Mar 15, 2019

Apr 24, 2024

DRAKES MAINE LLC

NON-MANAGING MEMBER

02/2015

Mar 15, 2019

Apr 24, 2024

HIPPOGRIFFE INVESTMENT LLC

NON-MANAGING MEMBER

02/2015

Mar 15, 2019

Apr 24, 2024

LOCKES INVESTMENT LLC

NON-MANAGING MEMBER

02/2015

Mar 15, 2019

Apr 24, 2024

MCMICHAEL, ANNEMARIE, GELATA

RESEARCH ANALYST, NON-MANAGING MEMBER

02/2015

Mar 31, 2023

Apr 24, 2024

SACKS, SARALYN, NMI

SENIOR PORTFOLIO MANAGER & NON-MANAGING MEMBER

03/2015

Mar 26, 2015

Apr 24, 2024

City

State

Country

Employees

Also broker-dealer

Evanston

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$713M

n/a

2024

Mar 28, 2025

$610M

n/a

2023

Mar 29, 2024

$627M

$610M

$21.1M

2022

Mar 31, 2023

$627M

$618M

$77.8M

2021

Mar 31, 2022

$845M

$837M

$127M

2020

Mar 31, 2021

$799M

$786M

$139M

2019

Mar 30, 2020

$724M

$713M

$139M

2018

Mar 15, 2019

$632M

$622M

$128M

2017

Mar 29, 2018

$774M

$765M

$156M

2016

Mar 29, 2017

$617M

$606M

n/a

$132M

2015

Mar 29, 2016

$679M

$677M

n/a

$131M

2014

Mar 26, 2015

$684M

$683M

n/a

$148M

2013

Mar 24, 2014

$740M

n/a

$139M

2012

Mar 27, 2013

$612M

n/a

$88.3M

2011

Mar 30, 2012

$1.1B

n/a

$86.4M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$713M

$610M

16.8%

$627M

4.4%