EMERSON EQUITY LLC
Adviser information for EMERSON EQUITY LLC last updated from Form ADV on March 28th, 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 | California, United States |
Employees
| Total Number of Employees | 222 |
|---|---|
| Investment Advisory/Research | 72 |
| Registered Broker-Dealer Representatives | 216 |
| Registered State Investment Advisers | 72 |
| 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 | 495 | $140.9M |
| Non-Discretionary | 542 | $35.2M |
| Total | 1,037 | $176.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 451 | $148.7M |
| HNW Individuals | 144 | $24.0M |
| 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 | <5 | $3.4M |
| 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 | 39 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Educational seminars/workshopsMANAGEMENT OF PRIVATE PLACEMENT LIFE INSURANCE / INSURANCE DEDICATED FUNDS (SINGLE INVESTOR PRIVATE FUNDS) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-120835 |
|---|---|
| SEC ERA File Number | 801-120835 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 130032 |
| Legal Entity Identifier | None |
Principal Office
155 BOVET ROAD, SUITE 725SAN MATEO
CA
United States
Monday - Friday, 6:00 AM TO 5:00 PM
Tel: 650-312-0200, Fax: 650-312-0206
Websites
Chief Compliance Officer
DOMINIC BALDINI
MANAGING MEMBER, CHIEF COMPLIANCE OFFICER
155 BOVET ROAD, SUITE 725
SAN MATEO
CA
United States
Tel:
650.312.0202
Fax:
650.312.0206
D******@****************M
(Full email address available in API data)
Regulatory Contact
KATHLEEN MORRISSEY
GENERAL SECURITIES PRINCIPAL
155 BOVET ROAD, SUITE 725
SAN MATEO
CA
United States
Tel:
(650) 312-0236
Fax:
(650) 312-0206
K*********@****************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 |
|---|---|---|---|---|---|
| BALDINI, DOMINIC JULIO | Individual | – | MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP | 12/2003 | > 75% |
| SULLIVAN, TIMOTHY EVAN | Individual | OCEANIC PARTNERS, INC. | DIRECT OWNER IN OCEANIC PARTNERS, INC. | 09/2014 | 50-75% |
| STRIFE, JACLYN DEANNE | Individual | OCEANIC PARTNERS, INC. | DIRECT OWNER IN OCEANIC PARTNERS, INC. | 09/2014 | 50-75% |
| MORRISSEY, KATHLEEN FRANCES | Individual | – | CHIEF OPERATIONS OFFICER | 08/2016 | < 5% |
| SNYDER, SEAN KRISTIAN | Individual | – | CHIEF STRATEGY OFFICER | 04/2017 | < 5% |