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RIA / WealthRegistered adviserother adviserSEC registeredRAUM under $100M

EMERGE CAPITAL MANAGEMENT

EMERGE CAPITAL MANAGEMENT INC., CRD 284581

BUFFALO, NY

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:40a3df13-feee-71cf-de43-b6c79b5fc6b3

Data as of Jun 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 9
On other graphs: 0
Observed: Jun 20, 2018 to Jun 17, 2025
17 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: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $30.0MItem 5.F on the latest filing (2025-06-17); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
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: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2
SEC number: 801-113648
CRD: 284581
Filings on the tape: 17
First filed: Jun 20, 2018
Latest filed: Jun 17, 2025
Organised: Corporation, NY

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
LAKE LANGLEY, LISA, MILLER	PRESIDENT, CEO,CCO	E	yes	11/2015	Jun 20, 2018	Apr 10, 2024
SPIRING, CHARLES, DOUGLAS	Shareholder	A	yes	09/2018	Mar 29, 2019	Apr 10, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
EMERGE CANADA INC.	n/a	n/a	n/a	N	yes	n/a

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
2023	Apr 10, 2024	$113M	$76.1M	7	6	0	n/a	n/a
2022	Mar 31, 2023	$368M	$279M	8	6	0	n/a	n/a
2021	Mar 31, 2022	$1.3B	$1.2B	16	12	0	n/a	n/a
2020	Mar 31, 2021	$1.2B	$1.2B	10	6	0	n/a	n/a
2019	Mar 30, 2020	$176M	$176M	12	5	0	n/a	n/a
2018	Mar 29, 2019	$82.9M	$82.9M	8	6	1	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$30.0M	$368M	-91.8%	$1.2B	-70.7%	5	8	0	0

Relationships

Registered with (5)

← CATHERINE VANESSA FADDISAdvisorregistration: previous registration
Nov 17, 2022 to Apr 10, 2024factForm ADV
← Alan Ira PanzerAdvisorregistration: previous registration
Dec 2, 2022 to Oct 12, 2023factForm ADV
← Peter R GrossAdvisorregistration: previous registration
Mar 6, 2023 to Aug 22, 2023factForm ADV
← Robert Joseph ShullAdvisorregistration: previous registration
Apr 15, 2022 to Jun 28, 2022factForm ADV
← KENDALL SAVAGE BORCHARDTAdvisorregistration: previous registration
Jan 11, 2019 to May 6, 2020factForm ADV

Controls (2)

← LAKE LANGLEY, LISA, MILLEROwnerPRESIDENT, CEO,CCO, ownership code E, individual
Jun 20, 2018 to Apr 10, 2024factForm ADV
← SPIRING, CHARLES, DOUGLASOwnerSHAREHOLDER, ownership code A, individual
Mar 29, 2019 to Apr 10, 2024factForm ADV

Dated events

Occurred
Apr 10, 2024
Regulatory AUM changed
Emerge Capital Management reported RAUM $112.8M, down 69% from $368.0M (2023-03-31 to 2024-04-10)
Form ADVobserved 4 days ago
$-255M
Occurred
Apr 10, 2024
Advisor changed firm
Catherine Vanessa Faddis left Emerge Capital Management for Zevin Asset Management, Llc (registered 2023-07-20)
Form ADVobserved 4 days ago
Occurred
Oct 12, 2023
Advisor changed firm
Alan Ira Panzer left Emerge Capital Management for Advisors Asset Management, Inc. (registered 2023-09-21)
Form ADVobserved 4 days ago
Occurred
Aug 22, 2023
Advisor changed firm
Peter R Gross left Emerge Capital Management for T. Rowe Price Associates, Inc. (registered 2023-08-29)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2023
Regulatory AUM changed
Emerge Capital Management reported RAUM $368.0M, down 73% from $1.3B (2023-03-06 to 2023-03-31)
Form ADVobserved 4 days ago
$-981M
Occurred
Jun 28, 2022
Advisor changed firm
Robert Joseph Shull left Emerge Capital Management for Ptma Investment Advisors (registered 2022-06-10)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
Emerge Capital Management reported RAUM $1.2B, up 576% from $176.3M (2020-03-30 to 2021-03-31)
Form ADVobserved 4 days ago
$1.0B
Occurred
Mar 29, 2019
Control person joined
Douglas Charles Spiring (Shareholder) appeared on Schedule A of Emerge Capital Management
Form ADVobserved 4 days ago
Occurred
Jun 20, 2018
First Form ADV filing
Emerge Capital Management filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:40a3df13-feee-71cf-de43-b6c79b5fc6b3
First observed: Jun 20, 2018
Last observed: Jun 17, 2025 15 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.

EMERGE CAPITAL MANAGEMENT

EMERGE CAPITAL MANAGEMENT INC., CRD 284581

BUFFALO, NY

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:40a3df13-feee-71cf-de43-b6c79b5fc6b3

Data as of Jun 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:01 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LAKE LANGLEY, LISA, MILLER

PRESIDENT, CEO,CCO

yes

11/2015

Jun 20, 2018

Apr 10, 2024

SPIRING, CHARLES, DOUGLAS

Shareholder

yes

09/2018

Mar 29, 2019

Apr 10, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

EMERGE CANADA INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Apr 10, 2024

$113M

$76.1M

n/a

2022

Mar 31, 2023

$368M

$279M

n/a

2021

Mar 31, 2022

$1.3B

$1.2B

n/a

2020

Mar 31, 2021

$1.2B

n/a

2019

Mar 30, 2020

$176M

n/a

2018

Mar 29, 2019

$82.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$30.0M

$368M

-91.8%

$1.2B

-70.7%