EMSTONE ADVISERS, LLC
Adviser information for EMSTONE ADVISERS, LLC last updated from Form ADV on March 29th, 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 | Pennsylvania, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 2 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5 | $42.0M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $42.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 5 | $41.5M |
| 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 | <5 | $466,501 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-65994 |
|---|---|
| SEC ERA File Number | 801-65994 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139061 |
| Legal Entity Identifier | None |
Principal Office
3175 OREGON PIKELEOLA
PA
United States
Monday - Friday, 8:00 A.M. - 6:00 P.M.
Tel: 484-254-5401, Fax: 610-260-6241
Websites
Chief Compliance Officer
JAMES A. MEEHAN
CCO
3175 OREGON PIKE
LEOLA
PA
United States
Tel:
717-556-8900
Fax:
717-556-8899
J******@**************M
(Full email address available in API data)
Regulatory Contact
MITCH KRAHE
VICE PRESIDENT & GENERAL COUNSEL
3175 OREGON PIKE
LEOLA
PA
United States
Tel:
216-357-7412
Fax:
717-556-8899
M*****@**************M
(Full email address available in API data)
Industry Affiliates
| CONSERVATION RESOURCE PARTNERS, LLC | Other investment adviser, including financial planners |
| EMERALD ADVISERS, LLC | Other investment adviser, including financial planners |
| EMERALD FINANCIAL SERVICES PRIVATE EQUITY PARTNERS LLC | Sponsor, GP, manager of pooled investment vehicles |
| EMERALD MUTUAL FUND ADVISERS TRUST | Other investment adviser, including financial planners |
| EMERALD SEPARATE ACCOUNT MANAGEMENT LLC | Other investment adviser, including financial planners |
| F/M INVESTMENTS LLC | Other investment adviser, including financial planners |
| GIA PARTNERS, LLC. | Other investment adviser, including financial planners |
| MAR VISTA INVESTMENT PARTNERS, LLC | Other investment adviser, including financial planners |
| ZIEGLER CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EMERALD ADVISERS, LLC | Domestic Entity | – | PARENT COMPANY | 12/2005 | > 75% |
| MEEHAN, JAMES, ANDREW | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2005 | < 5% |
| EMERALD ASSET MANAGEMENT PA, LLC | Domestic Entity | EMERALD ADVISERS, LLC | MEMBER | 10/2018 | > 75% |
| EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | Domestic Entity | EMERALD ASSET MANAGEMENT, INC. | SHAREHOLDER | 09/2012 | > 75% |
| REHR, SCOTT, LAMBERT | Individual | – | CEO, BOARD OF MANAGERS | 09/2015 | < 5% |
| JULIANO, RICHARD | Individual | – | CFO, BOARD OF MANAGERS | 09/2015 | < 5% |
| EMERALD ASSET MANAGEMENT, INC. | Domestic Entity | EMERALD ASSET MANAGEMENT PA, LLC | MEMBER | 01/1995 | 25-50% |
| MOYER, DANIEL, WEBSTER | Individual | EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 09/2012 | |
| WARE, PAUL, WILLARD | Individual | EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 09/2012 | |
| DIFFRACTIVE MANAGERS GROUP PAYCO, LLC | Domestic Entity | F/M MANAGERS GROUP, LLC | MEMBER | 10/2018 | > 75% |
| 1251 FINANCING COMPANY, LLC | Domestic Entity | DIFFRACTIVE MANAGERS GROUP PAYCO, LLC | MEMBER | 10/2018 | > 75% |
| 1251 CAPITAL GROUP, INC. | Domestic Entity | 1251 FINANCING COMPANY, LLC | MANAGING MEMBER | 10/2018 | > 75% |
| 1251 CAPITAL GROUP HOLDINGS, LLC | Domestic Entity | 1251 CAPITAL GROUP, INC. | SHAREHOLDER | 10/2018 | |
| BRIZIUS, CHARLES, ALBERT | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MEMBER/MANAGER | 06/2016 | |
| HAILER, JOHN, THOMAS | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MEMBER/MANAGER | 01/2018 | 50-75% |
| Wilson, Michael, Arthur Ross | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MANAGER | 07/2016 | |
| Maguire, Christopher | Individual | 1251 CAPITAL GROUP HOLDINGS, LLC | MANAGER | 07/2016 | |
| F/M MANAGERS GROUP, LLC | Domestic Entity | EMERALD ASSET MANAGEMENT PA, LLC | MEMBER | 10/2018 | 50-75% |
| REHR, SCOTT, LAMBERT | Individual | EMERALD ASSET MANAGEMENT EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE | 02/2024 |