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Essex Advisory

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Client assets under management

$7,830,000

Clients

2

0% high-net worth

Advisors

2

of 2 employees

Firm type

Supported

1-3 advisors or $200M+ in AUM

More info

Clients per advisor

1

Very Low

Average account size

$3,915,000

About

Essex Advisory provides financial planning and fee-based investment advisory services primarily to individual and high-net-worth clients, and also works with businesses and institutional retirement plans. The firm reports approximately $7.83 million in assets under management and manages a very small number of client relationships.

Investment strategies are tailored to each client’s goals, time horizon, and risk tolerance and are implemented through asset allocation across mutual funds, ETFs, individual securities and, when appropriate, options and other derivatives; holdings are generally maintained for the long term but may be traded more actively for rebalancing or cash needs. The firm also offers pension and retirement-plan consulting and, when engaged for ongoing monitoring and recommendations, serves in an ERISA fiduciary capacity.

Noteworthy distinctions include an affiliation with a broker-dealer (Essex Securities, LLC) and disclosure that certain investment adviser representatives are dually registered and may receive commission or insurance compensation when acting in those capacities, which the firm documents and addresses as a potential conflict. The firm custodians client assets at RBC Clearing & Custody (using RBC’s UMASS for fee billing) and explicitly discloses the use of options and other derivatives in managed accounts, a capability the firm highlights in its Form ADV.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers
Retirement plan consulting including fee comparison, investment options, vendor analysis, etc.

Expertise

General retirement planning Cash flow / budgeting Life insurance needs analysis Retirement income strategy

Fee options

Fixed

Fixed fees for financial planning range from $500 to $5,000, generally paid 50% in advance and 50% upon completion.

Percentage

$0 - $1,000,000: Up to 2.00% $1,000,000 - $2,000,000: Up to 1.75% $2,000,000 - $5,000,000: Up to 1.50% $5,000,000 - $10,000,000: Up to 1.25% $10,000,000+: Up to 1.00%

Commissions

Certain representatives are licensed insurance agents and broker-dealers and may receive commissions for insurance or securities products separate from advisory fees.

Project-based

Financial planning hourly fees range from $200 to $400 per hour.

Other

Fee-only: Financial planning fees are charged separately; no commissions for advisory services.

Main office location

Essex Advisory

130 Dumont Av, Unit 1

Brooklyn NY 11212, United States

Number of offices

2

Most active in

More info

California · Florida · New Jersey · New York

Disclosures

More info

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

More info

Forms ADV

Form ADV Part 2: Client Brochure

Quick links

LinkedIn Website 2018503364

Advisors at this firm

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user avatar

Prakash G

Series 63, Series 66

Brooklyn, NY

Essex Advisory

Prakash Gupta is a financial advisor with Essex Advisory, holding Series 63 and Series 66 designations and 15 years of industry experience. His prior work includes roles at San Blas Securities, LLC and International Financial Solutions, Inc. He is also the owner of SG Trading & Services, where he provides financial analysis, modeling, and consulting services. Essex Advisory offers financial planning and fee-based investment advisory services primarily to individual and high-net-worth clients, as well as businesses and institutional retirement plans. The firm tailors investment strategies to client goals and risk tolerance, utilizing a range of securities including mutual funds, ETFs, and derivatives.

General retirement planning Cash flow / budgeting Life insurance needs analysis Retirement income strategy
user avatar

John W

ChFC®, Series 63, Series 65

Canyon Lake, CA

Essex Advisory

John Watson IV is a financial advisor with Essex Advisory in Canyon Lake, CA, holding the ChFC® designation and Series 63 and 65 licenses. He has eight years of industry experience, including prior roles at Northwestern Mutual and Commonwealth Financial Network. Watson also spends part of his time involved in fixed insurance sales. Essex Advisory provides financial planning and fee-based investment advisory services primarily to individual and high-net-worth clients, as well as businesses and institutional retirement plans. The firm employs tailored investment strategies using asset allocation across mutual funds, ETFs, individual securities, and derivatives, and offers pension and retirement-plan consulting with ERISA fiduciary services.

General retirement planning Cash flow / budgeting Life insurance needs analysis Retirement income strategy
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