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
Emmett Charles Peck
Certified Financial Planner
Feed of 09/14/2026
At current firm
0 y
since Dec 4, 2025
In the industry
28 y
since Jul 20, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Prosperity Financial Group, Inc. independent RIA currentsince Dec 4, 2025 · San Ramon, Ca
- Prosperity Financial Group, Inc. formerAug 8, 2016 to Dec 24, 2025 · San Ramon, Ca
- J.P. Morgan Securities LLC wirehouseOct 1, 2012 to Aug 2, 2016 · Oakland, Ca
- Chase Investment Services Corp. formerMay 2, 2009 to Oct 1, 2012 · Oakland, Ca
- Wamu Investments, Inc. unclassifiedFeb 9, 2006 to May 2, 2009 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- Prosperity Financial Group, Inc. to Prosperity Financial Group, Inc.left Dec 24, 2025, registered Dec 4, 2025 (-20 days) · channel change inside one enterprise, not a move · moved with a team
- J.P. Morgan Securities LLC to Prosperity Financial Group, Inc.left Aug 2, 2016, registered Aug 8, 2016 (6 days) · Other
- Chase Investment Services Corp. to J.P. Morgan Securities LLCleft Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- Wamu Investments, Inc. to Chase Investment Services Corp.left May 2, 2009, registered May 2, 2009 (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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address