DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Lance Shigeo Ichikawa

Emerson Equity LLCBD affiliatedFoster City, Ca IA-onlyIAPD 1519862

Feed of 09/14/2026

Also filed as Lance Ichikawa

At current firm

2 y

since Feb 15, 2024

In the industry

37 y

since Jun 23, 1989 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Emerson Equity LLC BD affiliated current
since Feb 15, 2024 · Foster City, Ca
C2c Wealth Management, LLC independent RIA
Jun 1, 2017 to Feb 16, 2024 · San Mateo, Ca
Concert Wealth Management former
May 3, 2010 to Oct 2, 2017 · San Mateo, Ca
Emerson Equity LLC BD affiliated
Aug 3, 2006 to Apr 30, 2010 · San Mateo, Ca
Wamu Investments, Inc. unclassified
Feb 21, 2006 to Aug 4, 2006 · Menlo Park, Ca
Charles Schwab & Co., Inc. national BD
Jul 10, 2003 to Nov 3, 2005 · Los Gatos, Ca
Piper Sandler & Co. institutional
Feb 5, 2002 to Sep 3, 2002 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

C2c Wealth Management, LLC to Emerson Equity LLC
left Feb 16, 2024, registered Feb 15, 2024 (-1 days) · RIA to affiliated broker-dealer or bank
Concert Wealth Management to C2c Wealth Management, LLC
left Oct 2, 2017, registered Jun 1, 2017 (-123 days) · Other
Emerson Equity LLC to Concert Wealth Management
left Apr 30, 2010, registered May 3, 2010 (3 days) · Other
Wamu Investments, Inc. to Emerson Equity LLC
left Aug 4, 2006, registered Aug 3, 2006 (-1 days) · Other
Charles Schwab & Co., Inc. to Wamu Investments, Inc.
left Nov 3, 2005, registered Feb 21, 2006 (110 days) · Other
Piper Sandler & Co. to Charles Schwab & Co., Inc.
left Sep 3, 2002, registered Jul 10, 2003 (310 days) · Other

Signals

Lance Shigeo Ichikawa left C2C Wealth Management, Llc for Emerson Equity Llc (registered 2024-02-15)
Feb 16, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 37derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address