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CRD 127549
ESSEX, CT
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| Lisa B McMinn | n/a | ESSEX, CT | 22 | 23 | 1 | no |
| STEPHEN WORTH BATES | n/a | ESSEX, CT | 18 | 22 | 1 | no |
| Charles Robert Cumello | n/a | ESSEX, CT | 17 | 35 | 3 | no |
| James Michael Sullivan | Certified Financial Planner | ESSEX, CT | 17 | 25 | 1 | yes |
| DENNIS M CADWELL | n/a | n/a | 16 | 27 | n/a | no |
| DAVID CUMMINGS DONALDSON | n/a | Farmington, CT | ESSEX, CT | 16 | 43 | 3 | no |
| Anthony Gennaro Russo | n/a | ESSEX, CT | Farmington, CT | 16 | 37 | 3 | yes |
| David Francis LaMay | Certified Financial Planner | ESSEX, CT | 16 | 34 | 1 | no |
| Elizabeth Antoinette Haas | n/a | ESSEX, CT | 15 | 39 | n/a | no |
| Anthony Joseph Fortuna | n/a | Farmington, CT | ESSEX, CT | 15 | 25 | 3 | no |
| William Timothy Furgueson | n/a | ESSEX, CT | 15 | 31 | 2 | yes |
| Nathaniel Francis Morris | Certified Financial Planner | ESSEX, CT | Farmington, CT | 13 | 14 | 1 | no |
| Robert J. Marcinek | Certified Financial Planner | ESSEX, CT | 13 | 27 | 2 | yes |
| Michael R LaRiviere | Certified Financial Planner | ESSEX, CT | 13 | 26 | 1 | no |
| KEVIN JOSEPH NOLAN | Certified Financial Planner | ESSEX, CT | Southport, CT | 12 | 31 | 2 | no |
| Kristin Elizabeth Green | n/a | ESSEX, CT | 10 | 14 | n/a | no |
| Cherish Lyn Genova | n/a | ESSEX, CT | 10 | 25 | n/a | yes |
| William Michael Tait | Certified Financial Planner | ESSEX, CT | 10 | 10 | n/a | yes |
| SEAN FRANCIS FLYNN | n/a | ESSEX, CT | Southport, CT | 9 | 18 | 3 | no |
| DAVE RICHARD DELFINO | Certified Financial Planner | ESSEX, CT | 8 | 16 | 1 | no |
| NICHOLAS LUKE NAUMANN | n/a | Southport, CT | ESSEX, CT | 7 | 15 | 1 | no |
| Courtney Hughes Walsh | n/a | ESSEX, CT | SOUTHPORT, CT | 5 | 29 | 1 | yes |
| ANTHONY JOSEPH VOCALINA | n/a | ESSEX, CT | 5 | 36 | 2 | no |
| KEVIN JOSEPH LOOBY | Certified Financial Planner | ESSEX, CT | Madison, CT | 4 | 29 | 4 | no |
| Owen W Bregman | n/a | Southport, CT | ESSEX, CT | 4 | 26 | 3 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BAUER, JOHN | Director | Na | yes | 09/2018 | Aug 25, 2026 | Aug 25, 2026 |
| BOONE, MARY EMELIA | Director | Na | yes | 11/2013 | Aug 25, 2026 | Aug 25, 2026 |
| Cumello, Charles, Robert | PRESIDENT & CHIEF EXECUTIVE OFFICER, DIRECTOR | Na | yes | 12/2013 | Aug 25, 2026 | Aug 25, 2026 |
| ESSEX BANK | Shareholder | E | yes | 04/2003 | Aug 25, 2026 | Aug 25, 2026 |
| GIROUX, LYNN, KAREN | Director | Na | yes | 08/2026 | Aug 25, 2026 | Aug 25, 2026 |
| GRESHAM, STEPHEN DEANE | Director | Na | yes | 03/2020 | Aug 25, 2026 | Aug 25, 2026 |
| Nelson, Ronald, Clark | Director | Na | yes | 10/2025 | Aug 25, 2026 | Aug 25, 2026 |
| ROTH, SUSAN, K | CHIEF OPERATING OFFICER, TREASURER, SECRETARY | Na | yes | 10/2025 | Aug 25, 2026 | Aug 25, 2026 |
| Stillman, Nancy | CHIEF COMPLIANCE OFFICER | Na | yes | 06/2025 | Aug 25, 2026 | Aug 25, 2026 |
| ARNOLD, DIANE, HADLEY | Director | Na | yes | 09/2021 | Sep 29, 2021 | Dec 3, 2024 |
| ESSEX SAVINGS BANK | Shareholder | E | yes | 04/2003 | Dec 23, 2011 | Dec 3, 2024 |
| GLOWAC, BRUCE MICHAEL | Director | Na | yes | 10/2013 | Feb 6, 2017 | Dec 3, 2024 |
| JACOBSON, GEOFFREY LEE | Director | Na | yes | 09/2018 | Jan 2, 2019 | Dec 3, 2024 |
| KRAKOWER, JENNIFER, CARLY | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2024 | May 14, 2024 | Dec 3, 2024 |
| PAUL, DOUGLAS WILLIAMS | Chairman | Na | yes | 08/2013 | Feb 6, 2017 | Dec 3, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| ESSEX SAVINGS BANK | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Southport | Ct | United States | 7 | no |
| Farmington | Ct | United States | 6 | yes |
| Madison | Ct | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2024 | Jan 24, 2025 | $3.8B | $2.9B | 45 | 43 | 3 | n/a | n/a |
| 2023 | Dec 26, 2023 | $2.9B | $2.2B | 41 | 39 | 2 | n/a | n/a |
| 2022 | Jan 3, 2023 | $2.8B | $2.1B | 41 | 40 | 2 | n/a | n/a |
| 2021 | Dec 26, 2021 | $3.1B | $2.3B | 39 | 38 | 2 | n/a | n/a |
| 2020 | Jan 3, 2021 | $2.3B | $1.5B | 36 | 34 | 2 | n/a | n/a |
| 2019 | Jan 3, 2020 | $2.3B | $1.4B | 37 | 34 | 2 | n/a | n/a |
| 2018 | Jan 2, 2019 | $2.8B | $1.7B | 39 | 34 | 6 | n/a | n/a |
| 2017 | Jan 3, 2018 | $2.7B | $1.5B | 43 | 37 | 7 | n/a | n/a |
| 2016 | Dec 27, 2016 | $2.9B | $1.2B | 46 | 41 | n/a | n/a | n/a |
| 2015 | Dec 17, 2015 | $2.7B | $1.1B | 44 | 39 | n/a | n/a | n/a |
| 2014 | Dec 18, 2014 | $2.5B | $1.1B | 43 | 39 | n/a | n/a | n/a |
| 2013 | Dec 24, 2013 | $2.2B | $864M | 37 | 36 | n/a | n/a | n/a |
| 2012 | Dec 21, 2012 | $2.1B | $740M | 44 | 43 | n/a | n/a | n/a |
| 2011 | Dec 23, 2011 | $1.8B | $454M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 7 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2024 | $4.2B | $2.9B | 42.6% | $3.1B | 10.6% | 46 | 41 | 3 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| PRINCIPLE WEALTH | 4 | Oct 30, 2017 | Oct 31, 2017 | ESSEX, CT | Team lift out | Other | 13.8% |