Essex Asset Advisors, LLC Information

Essex is a corporation organized under the laws of the State of Delaware on November 22, 2011. Essex is wholly owned by Daniel C. Shane, who is also the Chairman of the Board and Chief Compliance Officer ("CCO") of the Company. We have chosen to register as an investment adviser with the SEC and to notice file with the state of Connecticut, in order to provide the investment advisory products and services described within this document. As of March 31st, 2013 we have two (2) clients with $105,000,000 of assets under management. We offer investment advisory services primarily to private funds, individuals including high net worth individuals (typically family and friends), pension plans, charitable organizations, insurance companies and other corporations or entities that qualify as Qualified Institutional Buyers ("QIBs") as that term is defined in the Securities Act of 1933. This Brochure provides you with information regarding our qualifications, business practices, and the nature of advisory services that should be considered before becoming our advisory client. Please contact Daniel C. Shane, Chairman and CCO, at 860-581-8437, or via email at chris.shane@essexassetadvisors.com, if you have any questions about this Brochure. Mr. Shane is appropriately licensed and qualified as Investment Advisor Representatives ("IARs") to provide advisory services on our behalf. Below is a description of our services, including, but not limited to, our basic fee schedules; a description of how fees are charged, whether fees are negotiable, when compensation is payable, refund policies and other applicable information. For more detail on any product or service please reference the advisory agreement or speak with us. Description of Advisory Services Essex provides fixed income investment supervisory services and manages investment portfolios tailored to achieve its clients' objectives and risk tolerance. How Advisory Services are Tailored to Individual Client Needs Essex manages portfolios in a manner that is consistent ...