PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:34 AM ET

Sponsor Check › Sponsor group

E

Essex

One sponsor team, 14 deal companies · Boston, MA

Grouped because: 14 shared people, 1 shared management entity, same business address (13 issuers), similar issuer names (14) (automatic match from the filings) · not the same sponsor?

14deal companies
$118.9Mreported sold
80investors
62Form D filings
2010–2019active
0new, last 12 mo
Follow this sponsor groupLook further ↓

Data last updated Oct 23, 2026, 5:45 PM ET · Latest filing in this group Jan 14, 2019 · Courts (RECAP) last checked: Oct 24, 2026, 2:16 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Essex is a sponsor group of 14 issuers that PartnerFacts links to one sponsor (shared people, shared management entity, same business address, similar issuer names; automatic match from the filings), filing 62 Form D filings between Oct 2010 and Jan 2019.

What this means One team, 14 deal companies, about 9 years of track record in SEC filings. We link the companies because the same people or address appear on their forms — tap "Request a correction" if that is wrong.

Combined reported sold: $118.9M to 80 investors (latest filing per issuer). Industries as reported: Pooled Investment Fund (13), Investing (1). Issuers are based in MA (14).

What this means $118.9M raised across the group, about $1.49M per investor. Amounts come from each company's latest Form D; they are what the sponsor reported, not audited figures.

Principal people: Essex Investment Management Company, LLC (14 issuers, executive officer and promoter, entity), Joseph C. McNay (14 issuers, executive officer), Nancy B. Prial (14 issuers, executive officer), Stephen D. Cutler (14 issuers, executive officer), Christopher P. McConnell (13 issuers, executive officer) and 13 more.

What this means The person on the most companies is usually the one running the show; their page lists every deal.

Activity: 0 new offerings in the last 12 months; latest filing Jan 14, 2019.

What this means No new raise filed in the past year.

Adviser registration (Form ADV) on record: ESSEX INVESTMENT MANAGEMENT COMPANY, LLC.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY), property records (NYC, FL, IL and TX counties) — 5 court cases matching the name, 3 bankruptcy cases matching the name listed in Key records below.

What this means 8 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared the newest 50 of 62 public filings for Essex and found 15 differences, 7 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Essex has not run yet — it is joining a line of 36,110 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

5 cases: 2 dismissed, 3 closed (disposition not in docket feed)

PDC3PF v. Essex Corporation dismissed matched at sponsor-group level (Essex)
District Court, W.D. Missouri · No. 4:98-cv-01128 · Filed Oct 26, 1998 · Closed Feb 15, 2000 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Essex Corporation: Defendant · Outcome: Terminated 2000-02-15 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MO (not the issuer's state); filed 1998, issuer incorporated 2007
Heines v. Essex Corporation closed matched at sponsor-group level (Essex)
District Court, E.D. New York · No. 9:98-cv-03774 · Filed May 26, 1998 · Closed Sep 25, 2001
Role of Essex Corporation: Defendant · Outcome: Terminated 2001-09-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NY (not the issuer's state); filed 1998, issuer incorporated 2007
ESSEX CORPORATION v. WACKENHUT SERVICES closed matched at sponsor-group level (Essex)
District Court, District of Columbia · No. 1:94-mc-00324 · Filed Oct 17, 1994 · Closed Apr 7, 1997
Role of ESSEX CORPORATION: Plaintiff · Outcome: Terminated 1997-04-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in DC (not the issuer's state); filed 1994, issuer incorporated 2007
Essex Corporation v. Wackenhut Services dismissed matched at sponsor-group level (Essex)
District Court, D. New Mexico · No. 1:94-cv-00908 · Filed Aug 8, 1994 · Closed Mar 29, 1996 · Nature of suit: 380 Other personal property damage
Role of Essex Corporation: Plaintiff · Outcome: Terminated 1996-03-29 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
exact company name; name has one distinctive word; court in NM (not the issuer's state); filed 1994, issuer incorporated 2007
Essex Corporation v. Wackenhut Services closed matched at sponsor-group level (Essex)
District Court, D. Maryland · No. 1:94-cv-01088 · Filed Apr 26, 1994 · Closed Jul 27, 1994 · Nature of suit: 380 Other personal property damage
Role of Essex Corporation: Plaintiff · Outcome: Terminated 1994-07-27 — FJC Integrated Database disposition: Transfer to another district Docket on CourtListener ↗
exact company name; name has one distinctive word; court in MD (not the issuer's state); filed 1994, issuer incorporated 2007
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Essex..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

3 cases: 3 closed (disposition not in docket feed)

Gary A Plotkin Chapter 7 v. Essex Corporation closed matched at sponsor-group level (Essex)
United States Bankruptcy Court, C.D. California · No. 1:95-ap-01253 · Filed Apr 18, 1995 · Closed May 31, 1995
Role of Essex Corporation: Defendant · Outcome: Case closed 1995-05-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
exact company name; name has one distinctive word; court in CA (not the issuer's state); filed 1995, issuer incorporated 2007
Bumper Specialties, Inc. v. Essex Specialty Products, Inc. closed
United States Bankruptcy Court, D. New Jersey · No. 94-01320 · Filed Aug 26, 1994 · Closed May 20, 1997
Role of Bumper Specialties, Inc. v. Essex Specialty Products, Inc.: Party · Outcome: Case closed 1997-05-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in NJ (not the issuer's state)
Whitaker v. Essex Specialty Products Inc. closed
United States Bankruptcy Court, M.D. Florida · No. 3:92-ap-17280 · Filed Aug 21, 1992 · Closed Dec 11, 1997
Role of Whitaker v. Essex Specialty Products Inc.: Party · Outcome: Case closed 1997-12-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
company name words appear in the caption; court in FL (not the issuer's state)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:16 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

No comparisons published

What is compared

No public statement by this sponsor group has been collected yet, so there is nothing to compare. Sources compared: the sponsor's own website (known from the issuer's own filings — Form C issuer website, EDGAR company profile — an approved profile claim or Form ADV Item 1.I of its matched adviser) · SEC Form D · SEC Form ADV (IAPD) · Internet Archive · No website is on file for this sponsor group yet.

15 differences found between the filings for Essex — 7 worth asking about (compared the newest 50 of 62 filings on Oct 24, 2026; older filings not covered)

Worth asking · Nov 16, 2010 – Nov 17, 2010

Amount sold went down between filings — Essex Global Life Sciences Fund, LP

The Nov 16, 2010 filing says $2,767,000 sold; the Nov 17, 2010 Form D/A says $1,363,466 sold — $1,403,534 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · Nov 16, 2010 ↗Form D/A (later) · Nov 17, 2010 ↗Essex Global Life Sciences Fund, LP — PartnerFacts page ↗
Sources
Worth asking · Oct 29, 2010 – Oct 20, 2011

Investor count went down between filings — ESSEX PERFORMANCE FUND, LP

The Oct 29, 2010 filing reports 22 investors; the Oct 20, 2011 Form D/A reports 21 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Oct 29, 2010 ↗Form D/A (later) · Oct 20, 2011 ↗ESSEX PERFORMANCE FUND, LP — PartnerFacts page ↗
Sources
Worth asking · Oct 1, 2010 – Oct 20, 2011

Investor count went down between filings — Essex Micro Cap Growth Fund, LLC

The Oct 1, 2010 filing reports 7 investors; the Oct 20, 2011 Form D/A reports 6 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Oct 1, 2010 ↗Form D/A (later) · Oct 20, 2011 ↗Essex Micro Cap Growth Fund, LLC — PartnerFacts page ↗
Sources
Worth asking · Oct 29, 2010 – Oct 20, 2011

Investor count went down between filings — Essex Flexport Fund, L.P.

The Oct 29, 2010 filing reports 7 investors; the Oct 20, 2011 Form D/A reports 6 investors.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Oct 29, 2010 ↗Form D/A (later) · Oct 20, 2011 ↗Essex Flexport Fund, L.P. — PartnerFacts page ↗
Sources
Note · Nov 2, 2012

Essex includes 2 deals that stopped filing before reaching their target

Essex Vision Fund, LLC (last filing Nov 2, 2012; $1,773,850 sold of $100,000,000); Essex Global Emerging Growth Fund, LLC (last filing Nov 2, 2012; $1,000,000 sold of $100,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Essex Vision Fund, LLC — PartnerFacts page ↗Essex Global Emerging Growth Fund, LLC — PartnerFacts page ↗
Sources
Worth asking · Jan 14, 2019

23 other issuers file from the same address — Essex Evolution Long/Short Fund, LLC

The address on file, 125 High St., Boston, MA, is used by 24 issuers in our index across 6 sponsor groups; 23 are outside this group. It is not on our registered-agent list, so it may be a shared office or administrator.

What this means Many unrelated companies file from this address. Often a registered agent or a fund administrator; sometimes a shared office. Ask where the team actually works.

Essex Evolution Long/Short Fund, LLC — PartnerFacts page ↗EDGAR filer page · Essex Evolution Long/Short Fund, LLC ↗
Sources
Worth asking · Jun 3, 1986 – Jan 14, 2019

9 Form Ds were filed more than 15 days after the first sale

Form D filed 74 days after the first sale — Essex Evolution Long/Short Fund, LLC · Form D filed 5,689 days after the first sale — Essex Global Life Sciences Fund, LP · Form D filed 857 days after the first sale — Essex Climate Change Fund, LLC · Form D filed 6,780 days after the first sale — Essex Flexport Fund, L.P. · Form D filed 2,258 days after the first sale — Essex Micro Cap Growth Fund, LLC · and 4 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Jan 14, 2019 ↗Essex Evolution Long/Short Fund, LLC — PartnerFacts page ↗Form D · Nov 4, 2013 ↗Essex Global Life Sciences Fund, LP — PartnerFacts page ↗
Sources
Note · Jun 3, 1986 – Jan 14, 2019

20 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Essex Evolution Long/Short Fund, LLC (latest filing Jan 14, 2019) · No amendment in the last 12 months on an offering that may still be open — ESSEX PERFORMANCE FUND, LP (latest filing Feb 11, 2016) · No amendment in the last 12 months on an offering that may still be open — Essex Global Life Sciences Fund, LP (latest filing Feb 11, 2016) · No amendment in the last 12 months on an offering that may still be open — Essex Micro Cap Growth Fund, LLC (latest filing Feb 11, 2016) · No amendment in the last 12 months on an offering that may still be open — Essex Climate Change Fund, LLC (latest filing Feb 11, 2016) · and 15 more

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Jan 14, 2019 ↗Essex Evolution Long/Short Fund, LLC — PartnerFacts page ↗Form D/A · Feb 11, 2016 ↗ESSEX PERFORMANCE FUND, LP — PartnerFacts page ↗
Sources
Worth asking · Oct 1, 2010 – Feb 11, 2016

22 people are no longer listed on a later amendment

Stephen D. Cutler is no longer listed on the Feb 11, 2016 amendment — ESSEX PERFORMANCE FUND, LP · Stephen D. Cutler is no longer listed on the Feb 11, 2016 amendment — Essex Global Life Sciences Fund, LP · Stephen D. Cutler is no longer listed on the Feb 11, 2016 amendment — Essex Micro Cap Growth Fund, LLC · Stephen D. Cutler is no longer listed on the Feb 11, 2016 amendment — Essex Climate Change Fund, LLC · Stephen D. Cutler is no longer listed on the Feb 11, 2016 amendment — Essex Scout Fund, LLC · and 17 more

What this means People leave; the issuer lists only current officers, directors and promoters. Ask why and who replaced them.

Form D/A · Nov 21, 2014 ↗Form D/A · Feb 11, 2016 ↗Stephen D. Cutler — PartnerFacts page ↗ESSEX PERFORMANCE FUND, LP — PartnerFacts page ↗
Sources
Note · Oct 27, 2010 – Feb 11, 2016

8 role changes for the same people across filings

Essex Investment Management Company, LLC's role changed at Essex Micro Cap Growth Fund, LLC: executive officer, promoter → promoter · Essex Investment Management Company, LLC's role changed at ESSEX PERFORMANCE FUND, LP: executive officer, promoter → promoter · Essex Investment Management Company, LLC's role changed at Essex Climate Change Fund, LLC: executive officer, promoter → promoter · Essex Investment Management Company, LLC's role changed at Essex Scout Fund, LLC: executive officer, promoter → promoter · Essex Investment Management Company, LLC's role changed at Essex Vision Fund, LLC: promoter → executive officer, promoter · and 3 more

What this means Roles on Form D are self-reported. Ask who runs the company today.

Form D/A · Nov 21, 2014 ↗Form D/A · Feb 11, 2016 ↗Essex Investment Management Company, LLC — PartnerFacts page ↗Essex Micro Cap Growth Fund, LLC — PartnerFacts page ↗
Sources
Note · Oct 1, 2010 – Jan 14, 2019

6 people are written more than one way across the filings

Michael McCarthy is written 2 different ways on the filings · Joseph C. McNay is written 2 different ways on the filings · Nancy B. Prial is written 2 different ways on the filings · Essex Investment Management Company, LLC is written 2 different ways on the filings · Stephen D. Cutler is written 2 different ways on the filings · and 1 more

What this means Middle names and suffixes come and go on these forms. Check full legal names against your documents.

Form D · Nov 4, 2013 ↗Form D · Jan 14, 2019 ↗Michael McCarthy — PartnerFacts page ↗Form D/A · Oct 27, 2010 ↗
Sources
Note · Oct 20, 2011 – Jan 14, 2019

Member companies were formed in 2 different states

Delaware (12), Massachusetts (2) — out of 14 member issuers. The odd ones out: Essex Flexport Fund, L.P. (Massachusetts); ESSEX PERFORMANCE FUND, LP (Massachusetts).

What this means Sponsors often form each deal company in Delaware or Wyoming no matter where the property is. A mix is common; it just tells you which state's rules each company lives under.

Essex — sponsor group page ↗Essex Flexport Fund, L.P. — PartnerFacts page ↗ESSEX PERFORMANCE FUND, LP — PartnerFacts page ↗
Sources
Note · Oct 29, 2010 – Feb 11, 2016

Issuer used a different name before — ESSEX PERFORMANCE FUND, LP

SEC records list prior names for this filer: Essex Performance Fund Ltd Partnership; ESSEX PERFORMANCE FUND LTD PARTNERSHIP. The current name on file is "ESSEX PERFORMANCE FUND, LP".

What this means A name change is normal, but your documents may show the old name. Match the CIK, not just the name.

EDGAR filer page ↗ESSEX PERFORMANCE FUND, LP — PartnerFacts page ↗
Sources
Note · Nov 16, 2010 – Feb 11, 2016

Issuer used a different name before — Essex Global Life Sciences Fund, LP

SEC records list prior names for this filer: Essex Global Life Sciences Fund, LP (a Series of Essex Specialty Pooled Funds, L.P.); Essex Global Life Science Fund (a Series of Essex Specialty Pooled Funds, L.P.); Essex Specialty Funds, L.P.. The current name on file is "Essex Global Life Sciences Fund, LP".

What this means A name change is normal, but your documents may show the old name. Match the CIK, not just the name.

EDGAR filer page ↗Essex Global Life Sciences Fund, LP — PartnerFacts page ↗
Sources
Note · Nov 16, 2010 – Nov 2, 2012

Issuer used a different name before — Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)

SEC records list prior names for this filer: Essex Alpa Fund (a series of Essex Qualified Purchaser Funds, LLC); Essex Qualified Purchasers Funds, LLC. The current name on file is "Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)".

What this means A name change is normal, but your documents may show the old name. Match the CIK, not just the name.

EDGAR filer page ↗Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC) — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. We compared the newest 50 of 62 filings (work cap); older filings are not covered here. As of Oct 24, 2026.

5. Money to insiders

None reported on 20 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 14, 2019 D
Essex Evolution Long/Short Fund, LLC
File 021-330476
$0$0$0None listed on this filingEDGAR ↗
Feb 11, 2016 D/A
Essex Micro Cap Growth Fund, LLC
File 021-148413
$0$0$0 (est.)
The Issuer's Managing Member will receive a management fee based on each member's capital account. The Issuer's Managing Member may also receive a performance allocation. These amounts cannot be estimated at this time.
None listed on this filingEDGAR ↗
Feb 11, 2016 D/A
ESSEX PERFORMANCE FUND, LP
File 021-149786
$0$0$0 (est.)
The Issuer's Managing Member will receive a management fee based on each member's capital account. The Issuer's Managing Member may also receive a performance allocation. These amounts cannot be estimated at this time.
None listed on this filingEDGAR ↗
Feb 11, 2016 D/A
Essex Global Life Sciences Fund, LP
File 021-150594
$0$0$0 (est.)
The Issuer's Managing Member will receive a management fee based on each member's capital account. The Issuer's Managing Member may also receive a performance allocation. These amounts cannot be estimated at this time.
None listed on this filingEDGAR ↗
Feb 11, 2016 D/A
Essex Scout Fund, LLC
File 021-167612
$0$0$0 (est.)
The Issuer's Managing Member will receive a management fee based on each member's capital account. The Issuer's Managing Member may also receive a performance allocation. These amounts cannot be estimated at this time.
None listed on this filingEDGAR ↗
Feb 11, 2016 D/A
Essex Climate Change Fund, LLC
File 021-167614
$0$0$0 (est.)
The Issuer's Managing Member will receive a management fee based on each member's capital account. The Issuer's Managing Member may also receive a performance allocation. These amounts cannot be estimated at this time.
None listed on this filingEDGAR ↗
Nov 26, 2013 D/A
Essex Flexport Fund, L.P.
File 021-149787
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2013 D
Essex Scout Fund, LLC
File 021-205748
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2013 D
ESSEX PERFORMANCE FUND, LP
File 021-205749
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2013 D
Essex Micro Cap Growth Fund, LLC
File 021-205751
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2013 D
Essex Flexport Fund, L.P.
File 021-205752
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2013 D
Essex Climate Change Fund, LLC
File 021-205753
$0$0$0None listed on this filingEDGAR ↗
Nov 4, 2013 D
Essex Global Life Sciences Fund, LP
File 021-205754
$0$0$0None listed on this filingEDGAR ↗
Nov 2, 2012 D/A
ESSEX NATURAL RESOURCES FUND LLC
File 021-80464
$0$0$0None listed on this filingEDGAR ↗
Nov 2, 2012 D/A
Essex Global Emerging Growth Fund, LLC
File 021-149648
$0$0$0None listed on this filingEDGAR ↗
Nov 2, 2012 D/A
Essex Vision Fund, LLC
File 021-149649
$0$0$0None listed on this filingEDGAR ↗
Nov 2, 2012 D/A
Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)
File 021-150596
$0$0$0None listed on this filingEDGAR ↗
Nov 2, 2012 D/A
Essex Income & Growth Fund, LLC
File 021-153699
$0$0$0None listed on this filingEDGAR ↗
Oct 20, 2011 D/A
ESSEX CONCENTRATED GROWTH FUND LS LLC
File 021-80463
$0$0$0None listed on this filingEDGAR ↗
Oct 20, 2011 D/A
Essex Long Short Fund, LLC
File 021-153700
$0$0$0None listed on this filingEDGAR ↗

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across all 14 issuers in this group — every filing in our index, latest filing per offering (SEC file number).

Property records 0 documents · 0 ownership records · last checked Oct 24, 2026, 9:34 AM ET · NYC and Cook County lookup still to run

0 recorded documents and 0 ownership records matched to Essex in the sources searched.

Not found in sources searched as of Oct 24, 2026, 9:34 AM ET: Hillsborough County FL Clerk of Court Official Records daily index (publicrec.hillsclerk.com D/P/M files), 2 daily files (Oct 14, 2026 to Oct 15, 2026) — loaded Oct 23, 2026, 8:59 PM ET; Harris County TX (HCAD ownership rolls 2005–2026) — 1,032,426 records, loaded Oct 24, 2026, 8:00 AM ET; Dallas County TX (DCAD ownership rolls 2021–2027) — 285,535 records, loaded Oct 24, 2026, 8:20 AM ET; Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll) — 514,336 records, loaded Oct 24, 2026, 8:25 AM ET; King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published) — 538,619 records, loaded Oct 24, 2026, 8:27 AM ET; Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026) — 1,031,843 records, loaded Oct 24, 2026, 9:05 AM ET. Still to be looked up for this group: NYC ACRIS via NYC Open Data (Real Property Parties 636b-3b5g, Master bnx9-e6tj, Legals 8h5j-fqxa, Document Control Codes 7isb-wh4c) · NYC PLUTO ownership via NYC Open Data (64uk-42ks) · Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp). Records in other counties, and recorder indexes we do not yet cover, were not searched.

Property records coverage: New York City (ACRIS recorded documents and PLUTO ownership, looked up per issuer when its page is viewed; re-checked when the page is viewed again more than 30 days after the last check); Harris County TX (ownership only, no deed, mortgage or sale records; HCAD ownership rolls 2005–2026); Dallas County TX (ownership only, no deed, mortgage or sale records; DCAD ownership rolls 2021–2027); Hillsborough County FL (FL DOR 2026 ownership roll + Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026), Miami-Dade County FL (FL DOR 2026 ownership roll), Broward County FL (FL DOR 2026 ownership roll), Palm Beach County FL (FL DOR 2026 ownership roll); King County WA (Assessor sale records 0000-00-00–2026-10-14; no owner-of-record names published); Cook County IL (Assessor sale records 1982–2026 + ownership rolls 2014–2026); also looked up per issuer when its page is viewed. Recorder indexes (party names on deeds, mortgages and liens) in TX, AZ, NV, CA and WA counties and outside the Clerk index in FL, mortgages and liens outside NYC and Hillsborough County, lis pendens and foreclosure notices everywhere, Los Angeles County CA, Clark County NV, New York City bulk pass (not finished; per-issuer lookups only so far), Maricopa County AZ (loader ready; commercial-purpose statement not yet filed), Salt Lake County UT, and all other counties are not covered — not searched. Last refresh by source: Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 9:05 AM ET; Cook County IL Assessor via Cook County Open Data (Parcel Sales wvhk-k5uv; Parcel Addresses 3723-97qp) Oct 24, 2026, 8:30 AM ET; King County WA Assessor Real Property Sales extract (EXTR_RPSale.csv) Oct 24, 2026, 8:27 AM ET; Florida DOR NAL roll (Palm Beach 60) Oct 24, 2026, 8:25 AM ET; Florida DOR NAL roll (Broward 16) Oct 24, 2026, 8:24 AM ET; Florida DOR NAL roll (Dade 23) Oct 24, 2026, 8:23 AM ET; Florida DOR NAL roll (Hillsborough 39) Oct 24, 2026, 8:21 AM ET; Dallas Central Appraisal District ACCOUNT_INFO.CSV Oct 24, 2026, 8:20 AM ET; Harris County Appraisal District real_acct.txt Oct 24, 2026, 8:00 AM ET; Hillsborough County FL Clerk daily index Oct 23, 2026, 8:59 PM ET. NYC and Cook County are also looked up per issuer when its page is viewed; the most recent such lookup on this site finished Oct 24, 2026, 3:30 AM ET. Parties are named as the recorder's index names them (role suffixes as recorded); no address, account number or trust date is shown for an individual, and individual owners of record (home ownership) are not matched or shown. Items still in human review are not shown.

Issuers in this group

Why each issuer is here is stated in the "Linked by" column. Low-confidence links are never shown — they wait for human review.

SourceIssuerLinked byLocationIndustryFilingsSold (max)InvestorsMin. investment (latest filing)Active
EDGAR ↗EN ESSEX NATURAL RESOURCES FUND LLCshared people, shared management entity, similar issuer namesBOSTON, MAPooled Investment Fund3$7,704,0895$500,0002010–2012
EDGAR ↗EC ESSEX CONCENTRATED GROWTH FUND LS LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund2$2,452,7193$500,0002010–2011
EDGAR ↗EM Essex Micro Cap Growth Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund7$6,772,277
offering Indefinite · similar: $155,000–$5,250,000
12
similar: 4–27
$500,000
similar: $1,000–$100,000
2010–2016
EDGAR ↗EG Essex Global Emerging Growth Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund4$1,000,0001$500,0002010–2012
EDGAR ↗EV Essex Vision Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund4$1,773,8501$500,0002010–2012
EDGAR ↗EP ESSEX PERFORMANCE FUND, LPshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund7$66,868,573
offering Indefinite · similar: $155,000–$5,250,000
23
similar: 4–27
$500,000
similar: $1,000–$100,000
2010–2016
EDGAR ↗EF Essex Flexport Fund, L.P.shared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund5$5,122,282
offering Indefinite · similar: $155,000–$5,250,000
7
similar: 4–27
$500,000
similar: $1,000–$100,000
2010–2013
EDGAR ↗EG Essex Global Life Sciences Fund, LPshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund8$4,738,957
offering Indefinite · similar: $155,000–$5,250,000
7
similar: 4–27
$500,000
similar: $1,000–$100,000
2010–2016
EDGAR ↗EA Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)shared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund4$4,050,0003$1,000,0002010–2012
EDGAR ↗EI Essex Income & Growth Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund3$5,050,0002$500,0002011–2012
EDGAR ↗EL Essex Long Short Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund2$5,050,0002$500,0002011–2011
EDGAR ↗ES Essex Scout Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund6$1,459,346
offering Indefinite · similar: $155,000–$5,250,000
5
similar: 4–27
$500,000
similar: $1,000–$100,000
2011–2016
EDGAR ↗EC Essex Climate Change Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAPooled Investment Fund6$5,750,000
offering Indefinite · similar: $155,000–$5,250,000
7
similar: 4–27
$500,000
similar: $1,000–$100,000
2011–2016
EDGAR ↗EE Essex Evolution Long/Short Fund, LLCshared people, shared management entity, same business address, similar issuer namesBOSTON, MAInvesting1$1,150,000
offering Indefinite · similar: $763,000–$10,000,000
2
similar: 4–23
$500,000
similar: $10,000–$78,388
2019–2019

"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); Investing / 506(b) (2,521 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Timeline of offerings

SourceFiledIssuerFormIndustryOfferedSold
EDGAR ↗Jan 14, 2019Essex Evolution Long/Short Fund, LLCDInvestingIndefinite$1,150,000
EDGAR ↗Feb 11, 2016ESSEX PERFORMANCE FUND, LPD/APooled Investment FundIndefinite$66,868,573
EDGAR ↗Feb 11, 2016Essex Global Life Sciences Fund, LPD/APooled Investment FundIndefinite$4,738,957
EDGAR ↗Feb 11, 2016Essex Micro Cap Growth Fund, LLCD/APooled Investment FundIndefinite$6,772,277
EDGAR ↗Feb 11, 2016Essex Climate Change Fund, LLCD/APooled Investment FundIndefinite$5,750,000
EDGAR ↗Feb 11, 2016Essex Scout Fund, LLCD/APooled Investment FundIndefinite$1,459,346
EDGAR ↗Nov 21, 2014Essex Scout Fund, LLCD/APooled Investment FundIndefinite$1,459,346
EDGAR ↗Nov 21, 2014ESSEX PERFORMANCE FUND, LPD/APooled Investment FundIndefinite$66,868,573
EDGAR ↗Nov 21, 2014Essex Micro Cap Growth Fund, LLCD/APooled Investment FundIndefinite$6,772,277
EDGAR ↗Nov 21, 2014Essex Global Life Sciences Fund, LPD/APooled Investment FundIndefinite$4,088,957
EDGAR ↗Nov 21, 2014Essex Climate Change Fund, LLCD/APooled Investment FundIndefinite$5,750,000
EDGAR ↗Nov 26, 2013Essex Global Life Sciences Fund, LPD/APooled Investment FundIndefinite$3,988,957
EDGAR ↗Nov 26, 2013Essex Climate Change Fund, LLCD/APooled Investment FundIndefinite$750,000
EDGAR ↗Nov 26, 2013ESSEX PERFORMANCE FUND, LPD/APooled Investment FundIndefinite$66,868,573
EDGAR ↗Nov 26, 2013Essex Micro Cap Growth Fund, LLCD/APooled Investment FundIndefinite$1,649,995
EDGAR ↗Nov 26, 2013Essex Flexport Fund, L.P.D/APooled Investment FundIndefinite$5,122,282
EDGAR ↗Nov 26, 2013Essex Scout Fund, LLCD/APooled Investment FundIndefinite$1,459,346
EDGAR ↗Nov 4, 2013Essex Global Life Sciences Fund, LPDPooled Investment FundIndefinite$3,988,957
EDGAR ↗Nov 4, 2013Essex Climate Change Fund, LLCDPooled Investment FundIndefinite$750,000
EDGAR ↗Nov 4, 2013Essex Flexport Fund, L.P.DPooled Investment FundIndefinite$5,122,282
EDGAR ↗Nov 4, 2013Essex Micro Cap Growth Fund, LLCDPooled Investment FundIndefinite$1,649,995
EDGAR ↗Nov 4, 2013ESSEX PERFORMANCE FUND, LPDPooled Investment FundIndefinite$66,868,573
EDGAR ↗Nov 4, 2013Essex Scout Fund, LLCDPooled Investment FundIndefinite$1,459,346
EDGAR ↗Nov 2, 2012Essex Income & Growth Fund, LLCD/APooled Investment FundIndefinite$5,050,000
EDGAR ↗Nov 2, 2012Essex Vision Fund, LLCD/APooled Investment FundIndefinite$1,773,850
EDGAR ↗Nov 2, 2012Essex Scout Fund, LLCD/APooled Investment FundIndefinite$1,459,346
EDGAR ↗Nov 2, 2012ESSEX PERFORMANCE FUND, LPD/APooled Investment FundIndefinite$44,868,573
EDGAR ↗Nov 2, 2012ESSEX NATURAL RESOURCES FUND LLCD/APooled Investment FundIndefinite$7,704,089
EDGAR ↗Nov 2, 2012Essex Micro Cap Growth Fund, LLCD/APooled Investment FundIndefinite$1,649,995
EDGAR ↗Nov 2, 2012Essex Global Life Sciences Fund, LPD/APooled Investment FundIndefinite$3,988,957
EDGAR ↗Nov 2, 2012Essex Global Emerging Growth Fund, LLCD/APooled Investment FundIndefinite$1,000,000
EDGAR ↗Nov 2, 2012Essex Flexport Fund, L.P.D/APooled Investment FundIndefinite$5,122,282
EDGAR ↗Nov 2, 2012Essex Climate Change Fund, LLCD/APooled Investment FundIndefinite$750,000
EDGAR ↗Nov 2, 2012Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)D/APooled Investment FundIndefinite$4,050,000
EDGAR ↗Oct 20, 2011Essex Flexport Fund, L.P.D/APooled Investment FundIndefinite$5,122,282
EDGAR ↗Oct 20, 2011Essex Micro Cap Growth Fund, LLCD/APooled Investment FundIndefinite$1,649,995
EDGAR ↗Oct 20, 2011Essex Global Emerging Growth Fund, LLCD/APooled Investment FundIndefinite$1,000,000
EDGAR ↗Oct 20, 2011Essex Vision Fund, LLCD/APooled Investment FundIndefinite$1,023,850
EDGAR ↗Oct 20, 2011Essex Income & Growth Fund, LLCD/APooled Investment FundIndefinite$5,050,000
EDGAR ↗Oct 20, 2011Essex Long Short Fund, LLCD/APooled Investment FundIndefinite$5,050,000
EDGAR ↗Oct 20, 2011Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)D/APooled Investment FundIndefinite$4,050,000
EDGAR ↗Oct 20, 2011Essex Global Life Sciences Fund, LPD/APooled Investment FundIndefinite$3,966,957
EDGAR ↗Oct 20, 2011Essex Climate Change Fund, LLCDPooled Investment FundIndefinite$750,000
EDGAR ↗Oct 20, 2011Essex Scout Fund, LLCDPooled Investment FundIndefinite$1,459,346
EDGAR ↗Oct 20, 2011ESSEX PERFORMANCE FUND, LPD/APooled Investment FundIndefinite$44,668,573
EDGAR ↗Oct 20, 2011ESSEX NATURAL RESOURCES FUND LLCD/APooled Investment FundIndefinite$7,704,089
EDGAR ↗Oct 20, 2011ESSEX CONCENTRATED GROWTH FUND LS LLCD/APooled Investment FundIndefinite$2,452,719
EDGAR ↗Jan 13, 2011Essex Long Short Fund, LLCDPooled Investment FundIndefinite$5,050,000
EDGAR ↗Jan 13, 2011Essex Income & Growth Fund, LLCDPooled Investment FundIndefinite$5,050,000
EDGAR ↗Nov 17, 2010Essex Global Life Sciences Fund, LPD/APooled Investment FundIndefinite$1,363,466
EDGAR ↗Nov 17, 2010Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)D/APooled Investment FundIndefinite$4,050,000
EDGAR ↗Nov 16, 2010Essex Alpha Fund LLC (a series of Essex Qualified Purchaser Funds, LLC)DPooled Investment FundIndefinite$2,010,000
EDGAR ↗Nov 16, 2010Essex Global Life Sciences Fund, LPDPooled Investment FundIndefinite$2,767,000
EDGAR ↗Oct 29, 2010Essex Flexport Fund, L.P.DPooled Investment FundIndefinite$5,122,282
EDGAR ↗Oct 29, 2010ESSEX PERFORMANCE FUND, LPDPooled Investment FundIndefinite$44,318,573
EDGAR ↗Oct 27, 2010Essex Vision Fund, LLCD/APooled Investment FundIndefinite$1,023,850
EDGAR ↗Oct 27, 2010Essex Global Emerging Growth Fund, LLCD/APooled Investment FundIndefinite$1,000,000
EDGAR ↗Oct 27, 2010Essex Vision Fund, LLCDPooled Investment Fund$100,000,000$1,000,000
EDGAR ↗Oct 27, 2010Essex Global Emerging Growth Fund, LLCDPooled Investment Fund$100,000,000$1,000,000
EDGAR ↗Oct 1, 2010ESSEX CONCENTRATED GROWTH FUND LS LLCD/APooled Investment FundIndefinite$1,352,719
EDGAR ↗Oct 1, 2010ESSEX NATURAL RESOURCES FUND LLCD/APooled Investment FundIndefinite$7,704,089
EDGAR ↗Oct 1, 2010Essex Micro Cap Growth Fund, LLCDPooled Investment FundIndefinite$1,649,995

Activity: 0 new offerings in the last 12 months across all issuers in this group (new offering = a Form D that is not an amendment, D/A) · most recent filing Jan 14, 2019. Industry history, as reported on each offering's latest filing: Previous offerings: Pooled Investment Fund (2010–2013). Latest offering: Investing (Jan 14, 2019).

People across the group

NameRolesIssuers hereFirst → last listed
JM Joseph C. McNayExecutive Officer14Oct 27, 2010 → Jan 14, 2019
SC Stephen D. CutlerExecutive Officer14Oct 1, 2010 → Jan 14, 2019
EI Essex Investment Management Company, LLC entityPromoter, Executive Officer14Oct 1, 2010 → Jan 14, 2019
NP Nancy B. PrialExecutive Officer14Oct 20, 2011 → Jan 14, 2019
CM Christopher P. McConnellExecutive Officer13Oct 1, 2010 → Oct 20, 2011
MM Michael McCarthyExecutive Officer7Nov 4, 2013 → Jan 14, 2019
LC Luis CortezExecutive Officer5Feb 11, 2016 → Feb 11, 2016
MC Martin CournanExecutive Officer5Feb 11, 2016 → Feb 11, 2016
WP William PageExecutive Officer5Feb 11, 2016 → Feb 11, 2016
AF Alexander ForseExecutive Officer5Feb 11, 2016 → Feb 11, 2016
SS Saralyn SacksExecutive Officer5Feb 11, 2016 → Feb 11, 2016
EG Elizabeth GirouxExecutive Officer5Feb 11, 2016 → Feb 11, 2016
AM Anne Marie McMichaelExecutive Officer5Feb 11, 2016 → Feb 11, 2016
RU Robert UekExecutive Officer5Feb 11, 2016 → Feb 11, 2016
JM Joe McNayExecutive Officer5Oct 1, 2010 → Jan 13, 2011
EI Essex Investment Managment Company, LLC entityExecutive Officer, Promoter1Nov 16, 2010 → Nov 21, 2014
SC Stephen C. ClarkExecutive Officer1Nov 16, 2010 → Nov 16, 2010
SC Stephen R. ClarkExecutive Officer1Nov 16, 2010 → Nov 16, 2010

Business registration (state registry / Secretary of State)

None of the 14 issuers has a record in the registries searched.

Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file). A registry listing is the state's own record of the entity; it says nothing about the offering itself.

Adviser registration (Form ADV)

ESSEX INVESTMENT MANAGEMENT COMPANY, LLC — SEC-registered investment adviser · SEC registration status as reported: “Approved” since Mar 20, 1998 · SEC file 801-55496 · Main office: BOSTON, MA · IAPD record ↗ · Form ADV filing (PDF) ↗

Regulatory assets under management: $712,676,443 as reported on Form ADV filed Mar 30, 2026 (Item 5.F(2)(c)) · 117 accounts (Item 5.F(2)(f))

Websites listed on Form ADV (Item 1.I): WWW.ESSEXINVEST.COM ↗

Item 11 disclosure questions as answered on Form ADV filed Mar 30, 2026: 0 of 24 answered “Yes”
  • No — Form ADV Item 11 asks: “Do any of the events below involve you or any of your supervised persons?”
  • No — Form ADV Item 11A(1) asks: “A. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to any felony?”
  • No — Form ADV Item 11A(2) asks: “A. (2) been charged with any felony?”
  • No — Form ADV Item 11B(1) asks: “B. In the past ten years, have you or any advisory affiliate: (1) been convicted of or pled guilty or nolo contendere ("no contest") in a domestic, foreign, or military court to a misdemeanor involving: investments or an investment-related business, or any fraud, false statements, or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these offenses?”
  • No — Form ADV Item 11B(2) asks: “B. (2) been charged with a misdemeanor listed in Item 11.B(1)?”
  • No — Form ADV Item 11C(1) asks: “C. Has the SEC or the Commodity Futures Trading Commission (CFTC) ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11C(2) asks: “C. (2) found you or any advisory affiliate to have been involved in a violation of SEC or CFTC regulations or statutes?”
  • No — Form ADV Item 11C(3) asks: “C. (3) found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11C(4) asks: “C. (4) entered an order against you or any advisory affiliate in connection with investment-related activity?”
  • No — Form ADV Item 11C(5) asks: “C. (5) imposed a civil money penalty on you or any advisory affiliate, or ordered you or any advisory affiliate to cease and desist from any activity?”
  • No — Form ADV Item 11D(1) asks: “D. Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: (1) ever found you or any advisory affiliate to have made a false statement or omission, or been dishonest, unfair, or unethical?”
  • No — Form ADV Item 11D(2) asks: “D. (2) ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?”
  • No — Form ADV Item 11D(3) asks: “D. (3) ever found you or any advisory affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11D(4) asks: “D. (4) in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?”
  • No — Form ADV Item 11D(5) asks: “D. (5) ever denied, suspended, or revoked your or any advisory affiliate's registration or license, or otherwise prevented you or any advisory affiliate, by order, from associating with an investment-related business or restricted your or any advisory affiliate's activity?”
  • No — Form ADV Item 11E(1) asks: “E. Has any self-regulatory organization or commodities exchange ever: (1) found you or any advisory affiliate to have made a false statement or omission?”
  • No — Form ADV Item 11E(2) asks: “E. (2) found you or any advisory affiliate to have been involved in a violation of its rules (other than a violation designated as a "minor rule violation" under a plan approved by the SEC)?”
  • No — Form ADV Item 11E(3) asks: “E. (3) found you or any advisory affiliate to have been the cause of an investment-related business having its authorization to do business denied, suspended, revoked, or restricted?”
  • No — Form ADV Item 11E(4) asks: “E. (4) disciplined you or any advisory affiliate by expelling or suspending you or the advisory affiliate from membership, barring or suspending you or the advisory affiliate from association with other members, or otherwise restricting your or the advisory affiliate's activities?”
  • No — Form ADV Item 11F asks: “F. Has an authorization to act as an attorney, accountant, or federal contractor granted to you or any advisory affiliate ever been revoked or suspended?”
  • No — Form ADV Item 11G asks: “G. Are you or any advisory affiliate now the subject of any regulatory proceeding that could result in a "yes" answer to any part of Item 11.C., 11.D., or 11.E.?”
  • No — Form ADV Item 11H(1)(a) asks: “H. (1) Has any domestic or foreign court: (a) in the past ten years, enjoined you or any advisory affiliate in connection with any investment-related activity?”
  • No — Form ADV Item 11H(1)(b) asks: “H. (1)(b) ever found that you or any advisory affiliate were involved in a violation of investment-related statutes or regulations?”
  • No — Form ADV Item 11H(1)(c) asks: “H. (1)(c) ever dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or any advisory affiliate by a state or foreign financial regulatory authority?”
  • No — Form ADV Item 11H(2) asks: “H. (2) Are you or any advisory affiliate now the subject of any civil proceeding that could result in a "yes" answer to any part of Item 11.H(1)?”

Answers as filed by the adviser on Form ADV Part 1A, Item 11; question text quoted from the form. Details of each “Yes” are in the Disclosure Reporting Pages of the Form ADV (PDF) ↗.

Matched on management entity listed on Form D = adviser name, business address on Form ADV = address on Form D · Form ADV data: SEC Investment Adviser Information Report (SEC-registered advisers), file dated 2026-10-02, loaded Oct 23, 2026, 8:39 PM ET · IAPD record last checked Oct 23, 2026, 8:36 PM ET

Meta advertising

No Meta Pixel ids or Facebook / Instagram page links on file for Essex as of Oct 24, 2026 — the sponsor website is read for them once it is on file (runs automatically). Meta Ad Library: not searched by PartnerFacts (no API access); a one-tap Ad Library search is under Look further.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Public profiles and social

No website or social profile named in Essex's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #291,110 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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Courts

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Business registries

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