E
ESS Capital Services
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$3,200,000
Clients
2
100% high-net worth
Advisors
1
of 1 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
2
Very LowAverage account size
$1,600,000
About
ESS Capital Services is an independent, single‑advisor investment adviser that provides discretionary portfolio management and creates individualized Investment Policy Statements for its clients. The firm reports approximately $3.2 million in discretionary assets under management across two client accounts and serves individuals (with an emphasis on high‑net‑worth clients) and business entities.
The adviser combines fundamental, quantitative and technical analysis and generally implements portfolios focused on sustainable growth with income using fixed income, equities, REITs, ETFs (including precious‑metal ETFs), TIPS and commodities. Investment implementation may include both long‑ and short‑term trading and, when appropriate, the use of short sales, margin and options, with ESS Capital operating under discretionary trading authority for client accounts.
Noteworthy for a solo independent firm, ESS Capital accepts performance‑based fee arrangements for qualified clients and uses a high‑water mark mechanism, a feature that is uncommon among peers. The firm also concentrates on higher‑net‑worth and institutional clients rather than serving non‑HNW retail individuals, requires use of a specified institutional custodian, and discloses potential side‑by‑side management and higher‑risk trading activity that may affect its comparative risk profile.
Client services
Portfolio management
Expertise
Options & derivatives strategies
Real estate investing
ESG / Sustainable investing
Fee options
$50,000 - $499,999: 1.75% $500,000 - $999,999: 1.50% $1,000,000+: 1.20%
0.75% annual fee plus 20% performance fee on capital appreciation with high water mark
Account minimum: $50,000
Main office location
ESS Capital Services
Newton MA, United States
Number of offices
1
Most active in
ESS Capital Services has reported serving >5 clients in these states in the last 12 months.
Massachusetts
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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