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

Kenneth Conrad Zupo

Emerson Equity LLCBD affiliatedSan Mateo, Ca dual registrantIAPD 4509502

Feed of 09/15/2026

Also filed as Kenneth Conrad Zupo

At current firm

1 y

since Jan 6, 2025

In the industry

24 y

since May 28, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

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 Jan 6, 2025 · Irvine, Ca
Monvia Financial L.P. state registered
Apr 2, 2014 to Aug 19, 2014 · Walnut Creek, Ca
Whitehall-Parker Securities, Inc. unclassified
Jul 2, 2009 to Dec 31, 2022 · Walnut Creek, Ca
U.S. Bancorp Investments, Inc. former
Sep 29, 2006 to Jul 1, 2009 · Concord, Ca
Wamu Investments, Inc. unclassified
Aug 5, 2004 to Aug 21, 2006 · San Jose, Ca
Morgan Stanley Dw Inc. unclassified
Oct 17, 2002 to Mar 11, 2003 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

Whitehall-Parker Securities, Inc. to Monvia Financial L.P.
left Dec 31, 2022, registered Apr 2, 2014 (-3195 days) · Other
Monvia Financial L.P. to Emerson Equity LLC
left Aug 19, 2014, registered Jan 6, 2025 (3793 days) · Other
U.S. Bancorp Investments, Inc. to Whitehall-Parker Securities, Inc.
left Jul 1, 2009, registered Jul 2, 2009 (1 days) · Other
Wamu Investments, Inc. to U.S. Bancorp Investments, Inc.
left Aug 21, 2006, registered Sep 29, 2006 (39 days) · Other
Morgan Stanley Dw Inc. to Wamu Investments, Inc.
left Mar 11, 2003, registered Aug 5, 2004 (513 days) · Other

Signals

Kenneth Conrad Zupo left Whitehall-Parker Securities, Inc. for Monvia Financial L.P. (registered 2014-04-02)
Dec 31, 2022 · 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: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address