EMERGENT FINANCIAL SERVICES, LLC.
Adviser information for EMERGENT FINANCIAL SERVICES, LLC. last updated from Form ADV on March 25th, 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 | Virginia, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 163 | $193.7M |
| Non-Discretionary | 4 | $915.6M |
| Total | 167 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 150 | $26.0M |
| HNW Individuals | 10 | $16.0M |
| 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 | <5 | $1,000 |
| State or municipal gov entities | <5 | $187.3M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $880.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-114160 |
|---|---|
| SEC ERA File Number | 801-114160 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288434 |
| Legal Entity Identifier | 254900CM0YQA2D1ZFW36 |
Principal Office
310 OLD IVY WAY STE 302SUITE 302
CHARLOTTESVILLE
VA
United States
Monday - Friday, 8:30 AM - 5:30 PM
Tel: 434-260-1690, Fax: 434-529-6536
Websites
Chief Compliance Officer
ALEXANDER X URPI
CEO
310 OLD IVY WAY
SUITE 302
CHARLOTTESVILLE
VA
United States
Tel:
4342601690
Fax:
434-529-6536
A***@*************M
(Full email address available in API data)
Regulatory Contact
XAVIER J URPI
CIO/ARC
310 OLD IVY WAY
SUITE 302
CHARLOTTESVILLE
VA
United States
Tel:
4342601690
X*****@*************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 |
|---|---|---|---|---|---|
| URPI, XAVIER, JOSE | Individual | – | CIO/MANAGING PARTNER | 10/2017 | 25-50% |
| URPI, ALEXANDER, XAVIER | Individual | – | CEO/CCO/MANAGING PARTNER | 04/2017 | 10-25% |
| Urpi, Nickolas, Xavier | Individual | – | RESEARCHER/NONMANAGING PARTNER | 04/2017 | 10-25% |
| Urpi, Michael, Xavier | Individual | – | RESEARCHER/NONMANAGING PARTNER | 04/2017 | 10-25% |