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RIA / WealthAdvisordual registered (broker-dealer)38 years in industry

HOWARD DAVIS

Advisor at EMERSON EQUITY LLC

Woodland Hills, CA | SAN MATEO, CA

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Search this name across graphsid dfx:ria:7acfbf18-9ae5-5616-9d04-ecdd5d19f022

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 20, 2011 to Sep 15, 2026

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

Current firm: EMERSON EQUITY LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 15, 1988earliest registration or exam on IAPD
Years in industry: 38derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Feb 15, 1988
First registration: Sep 20, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 1782118

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMERSON EQUITY LLC	Bd affiliated wealth	Dec 3, 2021	n/a	yes	SAN MATEO, CA\|SAN MATEO, CA\|Woodland Hills, CA	Current employment
CL WEALTH MANAGEMENT LLC	Independent wealth	Jan 12, 2015	Mar 2, 2020	no	SCHAUMBURG, IL	Previous registration
SANDLAPPER WEALTH MANAGEMENT, LLC	Former SEC adviser	Aug 23, 2013	Sep 15, 2014	no	CALABASAS, CA\|GREENVILLE, SC	Previous registration
FINANCIAL WEST GROUP	Former SEC adviser	Sep 20, 2011	Jul 26, 2013	no	NEW YORK, NY\|RENO, NV\|WESTLAKE VILLAGE, CA\|TARZANA, CA\|BEVERLY HILLS, CA\|WESTLAKE VILLAGE, CA\|SAN FRANCISCO, CA\|New York, NY\|MILL VALLEY, CA\|HOLLYWOOD, CA\|WOODLAND HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CL WEALTH MANAGEMENT LLC	EMERSON EQUITY LLC	Mar 2, 2020	Dec 3, 2021	641	Firm change after gap	Ibd to ibd
SANDLAPPER WEALTH MANAGEMENT, LLC	CL WEALTH MANAGEMENT LLC	Sep 15, 2014	Jan 12, 2015	119	Firm change	Other
FINANCIAL WEST GROUP	SANDLAPPER WEALTH MANAGEMENT, LLC	Jul 26, 2013	Aug 23, 2013	28	Firm change	Other

Relationships

Registered with (4)

→ EMERSON EQUITY LLCRegistered adviserregistration: current employment
Dec 3, 2021 to presentfactForm ADV
→ CL WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jan 12, 2015 to Mar 2, 2020factForm ADV
→ SANDLAPPER WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Aug 23, 2013 to Sep 15, 2014factForm ADV
→ FINANCIAL WEST GROUPRegistered adviserregistration: previous registration
Sep 20, 2011 to Jul 26, 2013factForm ADV

Dated events

No dated event names this entity yet.