Essex Financial Services, Inc. — 13F Holdings & Portfolio
CIK 1315785 · latest 13F-HR filed 2026-08-10
Essex Financial Services, Inc. manages $2.01B in 13F-reported U.S. long-equity assets across 836 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are AAPL (4.62%), QQQ (3.55%), VOOG (2.20%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 86 new positions and exited 44; 424 existing positions rose in reported value and 157 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$2.01B
Long-equity book
Holdings
836
Distinct positions
Period
2026-06-30
Filed 2026-08-10
Q/Q Activity
+86 / −44 / ↑424 / ↓157
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26AAPL4.6% · -1%QQQ3.5% · -2%VOOG2.2% · +497%MSFT2.0% · +1%GOOGL2.0% · -2%NVDA1.8% · -3%SPY1.7% · -1%IVV1.5% · +5%GLD1.4% · -2%VYM1.4% · +0%LLY1.4% · -2%AMZN1.3% · +2%PYLD1.3% · +5%ITOT1.1% · -0%JPM1.0% · -1%TPL1.0% · -1%XOM0.9% · +1%JPST0.9% · +5%VTV0.9% · -1%RSP0.9% · +1%GOOG0.9% · -1%RECS0.8% · -7%BRK.B0.8% · +2%JNJ0.8% · -2%PRF0.7% · +1%CGDV0.7% · +3%RTX0.7% · -3%CGUS0.7% · +19%CODI0.7% · -0%VTI0.7% · +1%CAT0.7% · -3%MINT0.6% · -1%VIG0.6% · +0%NOBL0.6% · +96%ALAB0.6% · -6%SPHQ0.6% · -0%PHYS0.6% · +1%GE0.6% · +12%TSLA0.6% · -0%VEA0.6% · +4%VUG0.6% · +498%DGRO0.5% · -1%JCPB0.5% · +63%IBM0.5% · +4%TCAF0.5% · +2%GEV0.5% · +10%VO0.5% · +302%META0.5% · +1%CGBL0.5% · +10%ABBV0.4% · -5%JBND0.4% · -3%PG0.4% · -2%VB0.4% · +4%BILZ0.4% · -6%VOO0.4% · 0%V0.4% · -8%PVAL0.4% · +6%CSCO0.4% · -4%VYMI0.4% · +2%CVX0.4% · -3%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
3 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 22.2%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Aug 25, 2026.
Assets Under Management
$4.17B
Discretionary
$3.25B
Employees
46
Accounts
7,143
Address
176 WESTBROOK ROAD
ESSEX, CT 06426
ESSEX, CT 06426
Phone
(860) 767-4300
This firm reports 3 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BAUER, JOHN Control | DIRECTOR since Sep 2018 | Less than 5% | Individual |
| BOONE, MARY EMELIA Control | DIRECTOR since Nov 2013 | Less than 5% | Individual |
| Cumello, Charles, Robert Control | PRESIDENT & CHIEF EXECUTIVE OFFICER, DIRECTOR since Dec 2013 | Less than 5% | Individual |
| ESSEX BANK Control | SHAREHOLDER since Apr 2003 | 75% or more | Domestic Entity |
| GIROUX, LYNN, KAREN Control | DIRECTOR since Aug 2026 | Less than 5% | Individual |
| GLOWAC, BRUCE MICHAEL Control | DIRECTOR since Oct 2013 | Less than 5% | Individual |
| GRESHAM, STEPHEN DEANE Control | DIRECTOR since Mar 2020 | Less than 5% | Individual |
| JACOBSON, GEOFFREY LEE Control | DIRECTOR since Sep 2018 | Less than 5% | Individual |
| Nelson, Ronald, Clark Control | DIRECTOR since Oct 2025 | Less than 5% | Individual |
| PAUL, DOUGLAS WILLIAMS Control | CHAIRMAN since Aug 2013 | Less than 5% | Individual |
| ROTH, SUSAN, K Control | CHIEF OPERATING OFFICER, TREASURER, SECRETARY since Oct 2025 | Less than 5% | Individual |
| Stillman, Nancy Control | CHIEF COMPLIANCE OFFICER since Jun 2025 | Less than 5% | Individual |
Ownership & leadership changes · 20 filings with changes since Dec 23, 2011
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Aug 25, 2026 filing
- No longer listedARNOLD, DIANE, HADLEY · DIRECTOR · Less than 5% · control person · listed since Sep 2021
- AddedGIROUX, LYNN, KAREN · DIRECTOR · Less than 5% · control person
Oct 30, 2025 filing
- No longer listedESSEX SAVINGS BANK · SHAREHOLDER · 75% or more · control person · listed since Apr 2003
- AddedESSEX BANK · SHAREHOLDER · 75% or more · control person
- AddedROTH, SUSAN, K · CHIEF OPERATING OFFICER, TREASURER, SECRETARY · Less than 5% · control person
- ChangedNelson, Ronald, Clark · title CHIEF OPERATING OFFICER, TREASURER, SECRETARY → DIRECTOR
Jun 2, 2025 filing
- No longer listedKRAKOWER, JENNIFER, CARLY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Apr 2024
- AddedStillman, Nancy · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
May 14, 2024 filing
- No longer listedOROURKE, MICHAEL DENNIS · CHIEF COMPLIANCE OFFICER · Less than 5% · listed since Aug 2004
- AddedKRAKOWER, JENNIFER, CARLY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedCumello, Charles, Robert · title PRESIDENT & CEO, DIRECTOR → PRESIDENT & CHIEF EXECUTIVE OFFICER, DIRECTOR
Jan 3, 2023 filing
- No longer listedTERRIBILE, WILLIAM JOHN JR · FINANCIAL AND OPERATIONS PRINCIPAL, ROSFP · Less than 5% · listed since Dec 2004
Dec 26, 2021 filing
- No longer listedSHOOK, GREGORY RALPH · DIRECTOR · Less than 5% · control person · listed since Apr 2003
Sep 29, 2021 filing
- AddedARNOLD, DIANE, HADLEY · DIRECTOR · Less than 5% · control person
Apr 16, 2021 filing
- No longer listedKANTROW, MELISSA SUE · SECRETARY · Less than 5% · control person · listed since Sep 2018
- ChangedNelson, Ronald, Clark · title CHIEF OPERATING OFFICER, TREASURER → CHIEF OPERATING OFFICER, TREASURER, SECRETARY
Apr 2, 2020 filing
- No longer listedMARTIN, LINDA MARIE · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Jan 2017
- No longer listedOLIVIER, LEON JOSEPH · DIRECTOR · Less than 5% · control person · listed since Jul 2009
- AddedGRESHAM, STEPHEN DEANE · DIRECTOR · Less than 5% · control person
Jan 2, 2019 filing
- No longer listedMATHER, JAYNE GRIFFIN · DIRECTOR · Less than 5% · control person · listed since Apr 2003
- No longer listedMORRIS, GRANVILLE ROY · DIRECTOR · Less than 5% · control person · listed since Apr 2003
- No longer listedSPEIRS, DAVID REYNOLDS · DIRECTOR · Less than 5% · control person · listed since Apr 2013
- AddedBAUER, JOHN · DIRECTOR · Less than 5% · control person
- AddedJACOBSON, GEOFFREY LEE · DIRECTOR · Less than 5% · control person
- AddedKANTROW, MELISSA SUE · SECRETARY · Less than 5% · control person
Older changes (11 more filings)
Jan 3, 2018 filing
- No longer listedGINGRAS, PATRICK FRANCIS XAVIER · SENIOR VICE PRESIDENT, DIRECTOR · Less than 5% · control person · listed since Jul 2016
- No longer listedPAOLUCCI, ROBERT · SENIOR VICE PRESIDENT, DIRECTOR · Less than 5% · control person · listed since Jul 2016
Feb 6, 2017 filing
- No longer listedGLOWAC, BRUCE · DIRECTOR · Less than 5% · control person · listed since Oct 2013
- No longer listedPAUL, DOUGLAS · CHAIRMAN · Less than 5% · control person · listed since Aug 2013
- No longer listedSPEIRS, DAVID · DIRECTOR · Less than 5% · control person · listed since Apr 2013
- AddedGLOWAC, BRUCE MICHAEL · DIRECTOR · Less than 5% · control person
- AddedMARTIN, LINDA MARIE · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- AddedPAUL, DOUGLAS WILLIAMS · CHAIRMAN · Less than 5% · control person
- AddedSPEIRS, DAVID REYNOLDS · DIRECTOR · Less than 5% · control person
Dec 27, 2016 filing
- ChangedGINGRAS, PATRICK FRANCIS XAVIER · title SENIOR VICE PRESIDENT → SENIOR VICE PRESIDENT, DIRECTOR; now a control person
- ChangedPAOLUCCI, ROBERT · title SENIOR VICE PRESIDENT → SENIOR VICE PRESIDENT, DIRECTOR; now a control person
Jul 25, 2016 filing
- ChangedGINGRAS, PATRICK FRANCIS XAVIER · title DIRECTOR → SENIOR VICE PRESIDENT
- ChangedPAOLUCCI, ROBERT · title DIRECTOR → SENIOR VICE PRESIDENT
Jul 14, 2016 filing
- AddedGINGRAS, PATRICK FRANCIS XAVIER · DIRECTOR · Less than 5%
- AddedPAOLUCCI, ROBERT · DIRECTOR · Less than 5%
Jun 3, 2016 filing
- ChangedNelson, Ronald, Clark · title CHIEF OPERATING OFFICER → CHIEF OPERATING OFFICER, TREASURER
Dec 17, 2015 filing
- No longer listedRAFAL, JOHN WILLIAM · DIRECTOR · Less than 5% · control person · listed since Apr 2003
- No longer listedWOODSTOCK, ALISON LESLIE · ROSFP · Less than 5% · listed since Jul 2007
Dec 18, 2014 filing
- AddedBOONE, MARY EMELIA · DIRECTOR · Less than 5% · control person
- ChangedCumello, Charles, Robert · title INTERIM CEO → PRESIDENT & CEO, DIRECTOR
- ChangedNelson, Ronald, Clark · title CHIEF OPERATIONS OFFICER → CHIEF OPERATING OFFICER
- ChangedRAFAL, JOHN WILLIAM · title DIRECTOR/TREASURER → DIRECTOR
Dec 24, 2013 filing
- No longer listedGIBBLE, KENNETH · CHAIRMAN · Less than 5% · control person · listed since Jul 2009
- No longer listedMACOMB, ROMAINE ANNE · VICE PRESIDENT, REGISTERED PRINCIPAL · Less than 5% · control person · listed since Apr 2003
- No longer listedPENDERGAST, PAUL FRANCIS · DIRECTOR · Less than 5% · control person · listed since Oct 2009
- No longer listedREYNOLDS, GARY HAYDEN · DIRECTOR · Less than 5% · control person · listed since Apr 2003
- AddedCumello, Charles, Robert · INTERIM CEO · Less than 5% · control person
- AddedGLOWAC, BRUCE · DIRECTOR · Less than 5% · control person
- AddedNelson, Ronald, Clark · CHIEF OPERATIONS OFFICER · Less than 5% · control person
- AddedPAUL, DOUGLAS · CHAIRMAN · Less than 5% · control person
- AddedSPEIRS, DAVID · DIRECTOR · Less than 5% · control person
- ChangedRAFAL, JOHN WILLIAM · title SHAREHOLDER/PRESIDENT/DIRECTOR/TREASURER → DIRECTOR/TREASURER; ownership 10–25% → Less than 5%
Dec 21, 2012 filing
- ChangedESSEX SAVINGS BANK · ownership 50–75% → 75% or more
- ChangedRAFAL, JOHN WILLIAM · ownership 25–50% → 10–25%
Dec 23, 2011 filing (earliest on record)
- ListedESSEX SAVINGS BANK · SHAREHOLDER · 50–75% · control person
- ListedGIBBLE, KENNETH · CHAIRMAN · Less than 5% · control person
- ListedMACOMB, ROMAINE ANNE · VICE PRESIDENT, REGISTERED PRINCIPAL · Less than 5% · control person
- ListedMATHER, JAYNE GRIFFIN · DIRECTOR · Less than 5% · control person
- ListedMORRIS, GRANVILLE ROY · DIRECTOR · Less than 5% · control person
- ListedOLIVIER, LEON JOSEPH · DIRECTOR · Less than 5% · control person
- ListedOROURKE, MICHAEL DENNIS · CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedPENDERGAST, PAUL FRANCIS · DIRECTOR · Less than 5% · control person
- ListedRAFAL, JOHN WILLIAM · SHAREHOLDER/PRESIDENT/DIRECTOR/TREASURER · 25–50% · control person
- ListedREYNOLDS, GARY HAYDEN · DIRECTOR · Less than 5% · control person
- ListedSHOOK, GREGORY RALPH · DIRECTOR · Less than 5% · control person
- ListedTERRIBILE, WILLIAM JOHN JR · FINANCIAL AND OPERATIONS PRINCIPAL, ROSFP · Less than 5%
- ListedWOODSTOCK, ALISON LESLIE · ROSFP · Less than 5%
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- INVESCO QQQ TR$14.0M +24.4%
- APPLE INC$10.6M +12.9%
- ASTERA LABS INC$9.4M +316.4%
- VANGUARD ADMIRAL FDS INC$7.7M +21.1%
- ALPHABET INC$7.1M +22.1%
Top Trims
- SPDR GOLD TR-$5.4M -15.7%
- EXXON MOBIL CORP-$4.4M -18.6%
- CHEVRON CORPORATION-$2.1M -22.2%
- SPROTT ASSET MANAGEMENT LP-$2.1M -14.3%
- TEXAS PACIFIC LAND CORPORATI-$2.0M -8.6%
New Positions
- FULTON FINL CORP PA$4.1M
- FIDELITY COVINGTON TRUST$1.8M
- FIDELITY COVINGTON TRUST$1.7M
- HONEYWELL INTL INC$1.3M
- HONEYWELL AEROSPACE INC$1.3M
Exited Positions
- BLUE FOUNDRY BANCORP$4.3M
- HONEYWELL INTL INC$2.7M
- CLEARWAY ENERGY INC$1.0M
- FIDELITY COVINGTON TRUST$739.0K
- GLOBAL X FDS$619.5K
Essex Financial Services, Inc. Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | APPLE INC | AAPL | 037833100 | $92.7M | 4.62% | 320,429 | SH |
| 2 | INVESCO QQQ TR | QQQ | 46090E103 | $71.2M | 3.55% | 96,658 | SH |
| 3 | VANGUARD ADMIRAL FDS INC | VOOG | 921932505 | $44.2M | 2.20% | 534,985 | SH |
| 4 | MICROSOFT CORP | MSFT | 594918104 | $39.7M | 1.98% | 106,428 | SH |
| 5 | ALPHABET INC | GOOGL | 02079K305 | $39.2M | 1.95% | 109,786 | SH |
| 6 | NVIDIA CORPORATION | NVDA | 67066G104 | $35.8M | 1.78% | 179,035 | SH |
| 7 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $34.8M | 1.73% | 46,595 | SH |
| 8 | ISHARES TR | IVV | 464287200 | $31.0M | 1.54% | 41,363 | SH |
| 9 | SPDR GOLD TR | GLD | 78463V107 | $28.9M | 1.44% | 78,415 | SH |
| 10 | VANGUARD WHITEHALL FDS | VYM | 921946406 | $27.3M | 1.36% | 172,522 | SH |
| 11 | ELI LILLY & CO | LLY | 532457108 | $27.3M | 1.36% | 22,725 | SH |
| 12 | AMAZON COM INC | AMZN | 023135106 | $27.1M | 1.35% | 113,638 | SH |
| 13 | PIMCO ETF TR | PYLD | 72201R585 | $26.5M | 1.32% | 998,121 | SH |
| 14 | ISHARES TR | ITOT | 464287150 | $21.6M | 1.08% | 131,764 | SH |
| 15 | JPMORGAN CHASE & CO | JPM | 46625H100 | $20.8M | 1.03% | 63,447 | SH |
| 16 | TEXAS PACIFIC LAND CORPORATI | TPL | 88262P102 | $20.7M | 1.03% | 47,379 | SH |
| 17 | EXXON MOBIL CORP | XOM | 30231G102 | $19.0M | 0.95% | 139,123 | SH |
| 18 | J P MORGAN EXCHANGE TRADED F | JPST | 46641Q837 | $19.0M | 0.95% | 375,686 | SH |
| 19 | VANGUARD INDEX FDS | VTV | 922908744 | $18.5M | 0.92% | 84,871 | SH |
| 20 | INVESCO EXCHANGE TRADED FD T | RSP | 46137V357 | $18.0M | 0.89% | 84,447 | SH |
| 21 | ALPHABET INC | GOOG | 02079K107 | $17.9M | 0.89% | 50,702 | SH |
| 22 | COLUMBIA ETF TR I | RECS | 19761L706 | $17.0M | 0.84% | 391,776 | SH |
| 23 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $16.9M | 0.84% | 33,868 | SH |
| 24 | JOHNSON & JOHNSON | JNJ | 478160104 | $15.3M | 0.76% | 60,120 | SH |
| 25 | INVESCO EXCHANGE TRADED FD T | PRF | 46137V613 | $15.0M | 0.75% | 278,290 | SH |
| 26 | CAPITAL GROUP DIVIDEND VALUE | CGDV | 14020W106 | $13.7M | 0.68% | 277,936 | SH |
| 27 | RTX CORPORATION | RTX | 75513E101 | $13.5M | 0.67% | 71,156 | SH |
| 28 | CAPITAL GROUP CORE EQUITY ET | CGUS | 14020V108 | $13.5M | 0.67% | 302,902 | SH |
| 29 | COMPASS DIVERSIFIED | CODI | 20451Q104 | $13.3M | 0.66% | 1,247,166 | SH |
| 30 | VANGUARD INDEX FDS | VTI | 922908769 | $13.2M | 0.66% | 35,669 | SH |
| 31 | CATERPILLAR INC | CAT | 149123101 | $13.2M | 0.66% | 12,363 | SH |
| 32 | PIMCO ETF TR | MINT | 72201R833 | $12.9M | 0.64% | 128,162 | SH |
| 33 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $12.9M | 0.64% | 54,436 | SH |
| 34 | PROSHARES TR | NOBL | 74348A467 | $12.5M | 0.63% | 223,444 | SH |
| 35 | ASTERA LABS INC | ALAB | 04626A103 | $12.4M | 0.62% | 25,672 | SH |
| 36 | INVESCO EXCHANGE TRADED FD T | SPHQ | 46137V241 | $12.3M | 0.61% | 136,617 | SH |
| 37 | SPROTT ASSET MANAGEMENT LP | PHYS | 85207H104 | $12.3M | 0.61% | 407,507 | SH |
| 38 | GE AEROSPACE | GE | 369604301 | $11.7M | 0.58% | 31,397 | SH |
| 39 | TESLA INC | TSLA | 88160R101 | $11.7M | 0.58% | 27,802 | SH |
| 40 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $11.5M | 0.57% | 161,295 | SH |
| 41 | VANGUARD INDEX FDS | VUG | 922908736 | $11.4M | 0.57% | 132,865 | SH |
| 42 | ISHARES TR | DGRO | 46434V621 | $10.8M | 0.54% | 142,925 | SH |
| 43 | J P MORGAN EXCHANGE TRADED F | JCPB | 46641Q670 | $10.6M | 0.53% | 226,368 | SH |
| 44 | INTERNATIONAL BUSINESS MACHS | IBM | 459200101 | $9.9M | 0.49% | 35,032 | SH |
| 45 | T ROWE PRICE EXCHANGE-TRADED | TCAF | 87283Q867 | $9.4M | 0.47% | 229,787 | SH |
| 46 | GE VERNOVA INC | GEV | 36828A101 | $9.4M | 0.47% | 8,014 | SH |
| 47 | VANGUARD INDEX FDS | VO | 922908629 | $9.2M | 0.46% | 114,345 | SH |
| 48 | META PLATFORMS INC | META | 30303M102 | $9.1M | 0.45% | 16,186 | SH |
| 49 | CAPITAL GROUP CORE BALANCED | CGBL | 14021D107 | $9.1M | 0.45% | 239,613 | SH |
| 50 | ABBVIE INC | ABBV | 00287Y109 | $9.0M | 0.45% | 35,746 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-10 | $2.01B | 836 | 0001951757-26-001201 |
| 2026-03-31 | 2026-04-24 | $1.78B | 794 | 0001951757-26-000732 |
| 2025-12-31 | 2026-02-10 | $1.76B | 784 | 0001951757-26-000399 |
Filer Information
Address
P.O. BOX 999176 WESTBROOK RD
ESSEX, CT 064260999
Phone
(860) 767-4300
Filing Manager
Essex Financial Services, Inc.
ESSEX, CT
Signatory
Nancy Stillman
Chief Compliance Officer