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Essex Financial Services, Inc.

Essex Financial Services, Inc.. CRD 127549

Essex Financial Services, Inc. logo

CRD: 127549

Essex Financial Services, Inc.

Essex, CT, 06426
8607674300
www.essex.financial
$4.2B Total AUM
$3.2B Disc. AUM
-- 3Y CAGR
46 Employees
2,964 ADV. Clients
22 yrs Firm Age

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Firm Details

Custodian
Fidelity/NFS ยท Pershing
Clients
Retail and Institutional
Platforms
--
Established Date
08-07-2003
Office Locations
4

Office Locations

10 Waterside DR, Suite 100 Farmington CT
176 Westbrook Road Essex CT
30 Jelliff LN Southport CT

About Essex Financial Services, Inc.

Essex Financial is a Connecticut-based wealth management firm with offices in Essex, Farmington, Madison, and Southport. The team delivers comprehensive, personalized financial planning and retirement-focused strategies, helping individuals, families, and business owners coordinate multiple accounts to build and protect long-term wealth and legacy goals. Portfolios are commonly implemented with ETFs and public funds, with custody through Fidelity/NFS and Pershing.

Team overview

43 AVG AGE
$99.3M AVG AUM / ADVISOR
$1.4M AVG AUM / CLIENT
9.4 yrs AVG TENURE
46 Employees
42 Advisory Reps
30 RIA Reps
22yrs Firm Age

Insights

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Asset Classes

Summit unison Alpha Ember ridge Zenith

Client Personas

Beacon Element horizon

Custodian

Signal Radial Element eagle Summit Quantum

Investment Themes

Capital Delta radial Fusion vital Delta frontier

Investment Vehicles

Wave peak

Platform

Zenith

Services

Matrix foundation Atlas Catalyst Horizon eagle Fusion vector Vital Beacon Optima Optima radial Delta beacon Horizon value Beacon Oak vector Vector atlas

Owner & Executives

D

DIANE HADLEY ARNOLD

DIRECTOR, Vice President

CRD
--
Ownership
Less than 5%
(845) 332-5113
capital.zenith@alphacapital.com
in linkedin.com/in/radial-value
J

JOHN BAUER

Chairman, DIRECTOR

CRD
--
Ownership
Less than 5%
(404) 233-8908
zenith.focus@crestcapital.com
in linkedin.com/in/capital-vertex
V

Vector momentum

Vector quantum

CRD
#31580
Ownership
9.3%
(359) 341-2590
eagle.element@insightcapital.com
in linkedin.com/in/foundation-ridge

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Contacts

S

STEPHEN WORTH BATES

Financial Advisor, General Partner

CRD
#2373075
(776) 888-1360
pioneer.quantum@focuscapital.com
in linkedin.com/in/fusion-foundation
Julie Belknap Bauman

Julie Belknap Bauman

Financial Advisor, General Partner

CRD
#3018508
(715) 528-8063
foundation.foundation@ridgecapital.com
in linkedin.com/in/focus-meridian
T

Timber element

Capital harbor meridian

CRD
#34824
(223) 801-3822
eagle.vertex@deltacapital.com
in linkedin.com/in/unison-pathway

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
06-30-2020
12-26-2021
12-26-2023
12-03-2024
12-24-2025
Category Assets AVG. Account size
Discretionary $3,247,330,333 $506,051
Non-Discretionary $922,653,781 $1,270,873
Total $4,169,984,114 $583,786

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Separately Managed Accounts

Total SMA Asset: $4,169,984,114

$4.2B Total SMA
Equity - Exchange:
37.2%
Public Funds:
9.2%
Cash:
12.8%
U.S. Government/Agency:
17.9%
Municipal Bonds:
22.9%
Asset class Assets Assets %
Equity - Exchange $1,996,080,233 37.2%
Public Funds $493,654,251 9.2%
Cash $686,823,306 12.8%
U.S. Government/Agency $960,479,467 17.9%
Municipal Bonds $1,228,769,821 22.9%
Total $5,365,807,078 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
SIGNAL ATLAS OPTIMA ZENITH MERIDIAN 15599Z0Y2 AHM 5.62% $97,876,601
WAVE MOMENTUM EAGLE PEAK 5G4E47V2S UHRB 11.09% $29,972,620
BRIDGE RADIAL FUSION MATRIX CREST 0DKSSP8CU PPA 9.30% $26,791,598
FOCUS EMBER SUMMIT UNISON DELTA B4PEVBGUJ HRPJL 8.63% $108,283,416
BRIDGE LEGACY VALUE NORTH TIMBER P14XC2QDI FZS 2.16% $58,957,273
VITAL VECTOR PEAK FRONTIER MSRSU9UP9 ZJJ 8.76% $17,743,758
BEACON GLACIER HORIZON RADIAL B3XV5TOR3 CVMM 1.61% $78,944,811
VALUE RIDGE FUSION ELEMENT UNISON TWJMXG8UM DKTX 10.81% $112,296,260

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