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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

EMERGINGWEALTH INVESTMENT MANAGEMENT, INC.

CRD 151471

PITTSBURGH, PA

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:8b939c04-7422-ec3f-95e6-2d4065d78d63

Data as of Sep 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Mar 30, 2012 to Sep 1, 2023
19 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: $22.2MItem 5.F on the latest filing (2023-09-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $22.2M
Private client RAUM: $22.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 138
Individual clients: 37
High net worth clients: 4
SEC number: 801-70731
CRD: 151471
Filings on the tape: 19
First filed: Mar 30, 2012
Latest filed: Sep 1, 2023
Organised: Corporation, Pennsylvania

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
HOLTZMAN, JAMES, JUDE	PRESIDENT/CEO/CCO	D	yes	02/2022	Nov 15, 2021	Sep 1, 2023
Kail, Christopher, J	OWNER AND DIRECTOR OF MARKETING	D	yes	05/2001	Nov 15, 2021	Sep 1, 2023

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
LEGEND FINANCIAL ADVISORS INC	n/a	Independent wealth	$390M	Y	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
2022	Mar 31, 2023	$22.2M	$22.2M	1	1	0	n/a	n/a
2021	Mar 26, 2022	$24.3M	$22.9M	2	2	0	n/a	n/a
2020	Mar 31, 2021	$26.1M	$24.5M	8	0	0	n/a	n/a
2019	May 15, 2020	$19.1M	$17.6M	10	2	0	n/a	n/a
2018	Mar 29, 2019	$11.9M	$11.2M	13	5	0	n/a	n/a
2017	Mar 30, 2018	$9.7M	$9.7M	12	5	0	n/a	n/a
2016	May 1, 2017	$9.1M	$9.1M	10	5	n/a	n/a	n/a
2015	Mar 30, 2016	$8.4M	$8.4M	11	7	n/a	n/a	n/a
2014	Mar 30, 2015	$7.1M	$7.1M	8	6	n/a	n/a	n/a
2013	Mar 31, 2014	$6.0M	$6.0M	7	7	n/a	n/a	n/a
2012	Mar 22, 2013	$3.0M	$3.0M	7	7	n/a	n/a	n/a
2011	Mar 30, 2012	$3.7M	$3.7M	n/a	n/a	n/a	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
2022	$22.2M	$24.3M	-8.4%	$19.1M	5.3%	1	2	0	0

Relationships

Affiliated with (1)

→ LEGEND FINANCIAL ADVISORS INCRegistered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← HOLTZMAN, JAMES, JUDEOwnerPRESIDENT/CEO/CCO, ownership code D, individual
Nov 15, 2021 to presentfactForm ADV
← Kail, Christopher, JOwnerOWNER AND DIRECTOR OF MARKETING, ownership code D, individual
Nov 15, 2021 to presentfactForm ADV

Registered with (9)

← JAMES JUDE HOLTZMANAdvisorregistration: previous registration
Oct 28, 2009 to Mar 11, 2024factForm ADV
← Alex Glenn HendricksonAdvisorregistration: previous registration
Feb 29, 2016 to Dec 17, 2020factForm ADV
← Bradley Matthew PendzickAdvisorregistration: previous registration
Apr 25, 2013 to Aug 7, 2020factForm ADV
← Diane Marie PearsonAdvisorregistration: previous registration
Oct 28, 2009 to May 14, 2020factForm ADV
← Vincent StrangioAdvisorregistration: previous registration
Feb 12, 2014 to Jul 27, 2016factForm ADV
← ERIC LEE DEMICOAdvisorregistration: previous registration
Oct 28, 2009 to Jan 8, 2015factForm ADV
← CHASE D CONTIAdvisorregistration: previous registration
Aug 23, 2011 to Jul 19, 2013factForm ADV
← BENJAMIN MICHAEL GREENFELDAdvisorregistration: previous registration
Oct 28, 2009 to Mar 11, 2011factForm ADV
← DAWN ELLEN DOEBLERAdvisorregistration: previous registration
Oct 28, 2009 to Mar 30, 2010factForm ADV

Dated events

Occurred
Mar 11, 2024
Advisor departed, no destination yet
James Jude Holtzman no longer registered at Emergingwealth Investment Management, Inc.; no later IA registration on IAPD
Form ADVobserved 6 days ago
Occurred
Mar 26, 2022
Control person left
Peter Louis Stanasolovich (President, Chief Executive Officer, Chief Compliance Officer) no longer on Schedule A of Emergingwealth Investment Management, Inc. (listed 2021-11-15, absent 2022-03-26)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8b939c04-7422-ec3f-95e6-2d4065d78d63
First observed: Mar 30, 2012
Last observed: Sep 1, 2023 37 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.

EMERGINGWEALTH INVESTMENT MANAGEMENT, INC.

CRD 151471

PITTSBURGH, PA

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:8b939c04-7422-ec3f-95e6-2d4065d78d63

Data as of Sep 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:41 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HOLTZMAN, JAMES, JUDE

PRESIDENT/CEO/CCO

yes

02/2022

Nov 15, 2021

Sep 1, 2023

Kail, Christopher, J

OWNER AND DIRECTOR OF MARKETING

yes

05/2001

Nov 15, 2021

Sep 1, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LEGEND FINANCIAL ADVISORS INC

n/a

Independent wealth

$390M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 31, 2023

$22.2M

n/a

2021

Mar 26, 2022

$24.3M

$22.9M

n/a

2020

Mar 31, 2021

$26.1M

$24.5M

n/a

2019

May 15, 2020

$19.1M

$17.6M

n/a

2018

Mar 29, 2019

$11.9M

$11.2M

n/a

2017

Mar 30, 2018

$9.7M

n/a

2016

May 1, 2017

$9.1M

n/a

2015

Mar 30, 2016

$8.4M

n/a

2014

Mar 30, 2015

$7.1M

n/a

2013

Mar 31, 2014

$6.0M

n/a

2012

Mar 22, 2013

$3.0M

n/a

2011

Mar 30, 2012

$3.7M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$22.2M

$24.3M

-8.4%

$19.1M

5.3%