9AT: ESSEX RIDGE CAPITAL GROUP, LLC

ESSEX RIDGE CAPITAL GROUP, LLC

other names

ESSEX RIDGE CAPITAL GROUP, LLC

Adviser Profile

As of Date	02/18/2025
ADV Location	ST. LOUIS, MO, United States
Adviser Type - Large advisory firm
Number of Employees	2
of those in investment advisory functions	2
Registration	SEC, Approved, 01/03/2008

AUM^*	137,376,843 7%
of that, discretionary	137,376,843 7%
Private Fund GAV^*	0 -100%
Avg Account Size	2,693,664 84%
% High Net Worth	100.00%
SMA’s	Yes
Private Funds	0 4
Contact Info	314 xxxxxxx

Client Types

- High net worth individuals

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

152M 130M 108M 87M 65M 43M 22M

2016 2017 2018 2019 2020 2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Brochure Summary

Overview

Firm Description Essex Ridge Capital Group, LLC (“Adviser”) is an investment adviser currently registered with the SEC pursuant to Section 203 of the Investment Advisers Act of 1940, as amended (the “Advisers Act”). Adviser was organized as a limited liability company in 2007. Principal Owners Adviser’s principal owner is the David T. Printup Exempt Trust. Types of Advisory Services Adviser provides investment supervisory services, and on more than an occasional basis, furnishes advice to clients on matters not involving securities. Adviser primarily offers advice on the following types of investments: equity securities, warrants, corporate debt securities, commercial paper, certificates of deposit, municipal securities, mutual

fund shares, U.S. government securities, and option contracts on securities. Adviser’s investment advisory services for high net worth individual and other institutional accounts include assisting clients with establishing the appropriate portfolio asset allocation, selecting investment managers for various strategies, and monitoring the selected investment managers (which includes an evaluation and performance analysis of the investment managers). Assets Under Management Adviser provides investment advisory services on a discretionary basis to institutions, high-net worth individuals and investment companies. As of December 31, 2023, Adviser’s total assets under management are as follows: Discretionary Clients = $143,841,895 Non-Discretionary Clients = $0