ESS Capital Services
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
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
Expertise
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
Newton MA
Advisors at this office
1
Most active in
Massachusetts
Also doing business as
Ess Capital Services · Ess Capital Services, LLC
Disclosures
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Business activities & affiliations
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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