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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

EMERSON INVESTMENT MANAGEMENT LLC

CRD 104659

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:20ca6925-d615-d42f-d448-c02e78edad64

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Mar 30, 2016
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $701MItem 5.F on the latest filing (2016-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $675M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees: 8
Accounts: 911
Custody, client assets: $44.9M
SEC number: 801-24250
CRD: 104659
Filings on the tape: 8
First filed: Mar 29, 2012
Latest filed: Mar 30, 2016
Organised: Limited Liability Company, Massachusetts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CASE, KRISTIN, VESPUCCI	CHIEF COMPLIANCE OFFICER	Na	yes	03/2010	Mar 29, 2012	Mar 30, 2016
GARDNER, BRADFORD	PRESIDENT/MANAGING DIRECTOR	C	yes	04/1986	Mar 29, 2012	Mar 30, 2016
HURD, NICHOLAS, J	Director	Na	yes	10/2000	Mar 29, 2012	Mar 30, 2016
KING, CLARENCE, HOPKINS	MANAGING DIRECTOR	B	yes	03/2003	Mar 29, 2012	Mar 30, 2016
OATES, JAMES, MACLAY	Director	B	yes	03/1996	Mar 29, 2012	Mar 30, 2016
REINHART, STACY, AUSTIN	MANAGING DIRECTOR	A	yes	07/2011	Mar 29, 2012	Mar 30, 2016
TRYON, PAUL, A	DIRECTOR OF INVESTMENTS	Na	yes	12/2011	Mar 29, 2012	Mar 30, 2016
WELDON, WILLIAM, MICHAEL	Director	Na	yes	04/2004	Mar 29, 2012	Mar 30, 2016

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Greenwich	Ct	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 30, 2016	$701M	$675M	15	8	n/a	n/a	n/a
2014	Mar 20, 2015	$727M	$701M	18	8	n/a	n/a	n/a
2013	Mar 31, 2014	$678M	$658M	18	8	n/a	n/a	n/a
2012	Mar 28, 2013	$607M	$607M	18	8	n/a	n/a	n/a
2011	Mar 29, 2012	$549M	$549M	n/a	n/a	n/a	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
BOSTON FINANCIAL MANAGEMENT LLC	5	May 13, 2016	May 9, 2016	BOSTON, MA	Firm absorbed	Other	100.0%

Relationships

Controls (8)

← OATES, JAMES, MACLAYOwnerDIRECTOR, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← KING, CLARENCE, HOPKINSOwnerMANAGING DIRECTOR, ownership code B, individual
Mar 29, 2012 to presentfactForm ADV
← GARDNER, BRADFORDOwnerPRESIDENT/MANAGING DIRECTOR, ownership code C, individual
Mar 29, 2012 to presentfactForm ADV
← WELDON, WILLIAM, MICHAELOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← TRYON, PAUL, AOwnerDIRECTOR OF INVESTMENTS, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← HURD, NICHOLAS, JOwnerDIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← CASE, KRISTIN, VESPUCCIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← REINHART, STACY, AUSTINOwnerMANAGING DIRECTOR, ownership code A, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (8)

← CLARENCE HOPKINS KINGAdvisorregistration: previous registration
Mar 19, 2003 to May 13, 2016factForm ADV
← Bradford Arthur GardnerAdvisorregistration: previous registration
Apr 15, 1994 to May 13, 2016factForm ADV
← Jennifer A EustanceAdvisorregistration: previous registration
Oct 18, 2005 to May 13, 2016factForm ADV
← David Robert MacDougallAdvisorregistration: previous registration
May 9, 2016 to May 13, 2016factForm ADV
← STACY AUSTIN REINHARTAdvisorregistration: previous registration
Jun 16, 2009 to May 13, 2016factForm ADV
← ALYSON LYNN NICKSEAdvisorregistration: previous registration
Oct 30, 2006 to Oct 8, 2012factForm ADV
← TIMOTHY LEO SCHMIDTAdvisorregistration: previous registration
Jan 12, 2004 to Nov 29, 2006factForm ADV
← HANS FRANCIS OLSENAdvisorregistration: previous registration
Jan 1, 2000 to May 19, 2003factForm ADV

Moved with (1)

→ BOSTON FINANCIAL MANAGEMENT LLCRegistered adviser5 advisors, firm absorbed, same day
May 13, 2016 to May 9, 2016factForm ADV

Dated events

Occurred
Jul 22, 2014
Succession filed (Item 4)
Emerson Investment Management Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:20ca6925-d615-d42f-d448-c02e78edad64
First observed: Mar 29, 2012
Last observed: Mar 30, 2016 127 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

EMERSON INVESTMENT MANAGEMENT LLC

CRD 104659

BOSTON, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:20ca6925-d615-d42f-d448-c02e78edad64

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CASE, KRISTIN, VESPUCCI

CHIEF COMPLIANCE OFFICER

yes

03/2010

Mar 29, 2012

Mar 30, 2016

GARDNER, BRADFORD

PRESIDENT/MANAGING DIRECTOR

yes

04/1986

Mar 29, 2012

Mar 30, 2016

HURD, NICHOLAS, J

Director

yes

10/2000

Mar 29, 2012

Mar 30, 2016

KING, CLARENCE, HOPKINS

MANAGING DIRECTOR

yes

03/2003

Mar 29, 2012

Mar 30, 2016

OATES, JAMES, MACLAY

Director

yes

03/1996

Mar 29, 2012

Mar 30, 2016

REINHART, STACY, AUSTIN

MANAGING DIRECTOR

yes

07/2011

Mar 29, 2012

Mar 30, 2016

TRYON, PAUL, A

DIRECTOR OF INVESTMENTS

yes

12/2011

Mar 29, 2012

Mar 30, 2016

WELDON, WILLIAM, MICHAEL

Director

yes

04/2004

Mar 29, 2012

Mar 30, 2016

City

State

Country

Employees

Also broker-dealer

Greenwich

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$701M

$675M

n/a

2014

Mar 20, 2015

$727M

$701M

n/a

2013

Mar 31, 2014

$678M

$658M

n/a

2012

Mar 28, 2013

$607M

n/a

2011

Mar 29, 2012

$549M

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

BOSTON FINANCIAL MANAGEMENT LLC

May 13, 2016

May 9, 2016

BOSTON, MA

Firm absorbed

Other

100.0%