EMERGENT WEALTH ADVISORS, LLC
Adviser information for EMERGENT WEALTH ADVISORS, LLC last updated from Form ADV on January 24th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 888 | $170.9M |
| Non-Discretionary | 0 | $0 |
| Total | 888 | $170.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 277 | $92.2M |
| HNW Individuals | 58 | $78.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 20 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-106909 |
|---|---|
| SEC ERA File Number | 801-106909 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 174845 |
| Legal Entity Identifier | None |
Principal Office
5500 MAIN STREET, SUITE 260WILLIAMSVILLE
NY
United States
Monday - Friday, 9-5
Tel: 716-828-8390, Fax: 716-828-8395
Websites
Chief Compliance Officer
NICHOLAS EFTHEMIS
MEMBER
5500 MAIN STREET
SUITE 260
WILLIAMSVILLE
NY
United States
Tel:
716-828-8390
Fax:
716-828-8395
N***@*************M
(Full email address available in API data)
Regulatory Contact
CHARLES HANNY
MEMBER
5500 MAIN STREET
SUITE 260
WILLIAMSVILLE
NY
United States
Tel:
716-828-8390
Fax:
716-828-8395
C******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EFTHEMIS, NICHOLAS, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2015 | < 5% |
| NICHOLAS EFTHEMIS INC | Domestic Entity | – | MEMBER | 01/2023 | 50-75% |
| CHARLES HANNY ADVISORY, LLC | Domestic Entity | – | MEMBER | 01/2023 | 50-75% |
| EFTHEMIS, NICHOLAS, JOHN | Individual | NICHOLAS EFTHEMIS INC | MEMBER | 01/2023 | > 75% |
| HANNY, CHARLES, EDGAR | Individual | CHARLES HANNY ADVISORY, LLC | MEMBER | 01/2023 | > 75% |