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
Phillip Falk
Feed of 09/14/2026
Also filed as Phillip Falk
At current firm
5 y
since Jul 23, 2021
In the industry
33 y
since Aug 19, 1993 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Emerson Equity LLC BD affiliated currentsince Jul 23, 2021 · San Mateo, Ca
- Fourstar Wealth Advisors, LLC independent RIAFeb 7, 2020 to Jul 1, 2021 · Lake Forest, Il
- Blueskye Investment Advisers, LLC state registeredJul 30, 2019 to Mar 16, 2020 · Chicago, Il
- Great Point Advisors LLC unclassifiedApr 13, 2018 to Dec 31, 2018 · Chicago, Il
- Workman Securities Corporation unclassifiedOct 14, 2008 to Oct 27, 2009 · Eden Prairie, Mn
- Advanced Equities, Inc. formerOct 4, 2006 to Oct 24, 2008 · Chicago, Il
- Credit Suisse Securities (USA) LLC formerJan 17, 2003 to Feb 14, 2003 · Chicago, Il
- Pershing LLC unclassifiedSep 5, 2000 to Jan 17, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- Fourstar Wealth Advisors, LLC to Emerson Equity LLCleft Jul 1, 2021, registered Jul 23, 2021 (22 days) · RIA to affiliated broker-dealer or bank
- Blueskye Investment Advisers, LLC to Fourstar Wealth Advisors, LLCleft Mar 16, 2020, registered Feb 7, 2020 (-38 days) · Other
- Great Point Advisors LLC to Blueskye Investment Advisers, LLCleft Dec 31, 2018, registered Jul 30, 2019 (211 days) · Other · moved with a team
- Workman Securities Corporation to Great Point Advisors LLCleft Oct 27, 2009, registered Apr 13, 2018 (3090 days) · Other
- Advanced Equities, Inc. to Workman Securities Corporationleft Oct 24, 2008, registered Oct 14, 2008 (-10 days) · Other
- Credit Suisse Securities (USA) LLC to Advanced Equities, Inc.left Feb 14, 2003, registered Oct 4, 2006 (1328 days) · Other
- Pershing LLC to Credit Suisse Securities (USA) LLCleft Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address