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.
SEC-registered adviser
Emerge Capital Management
Legal name Emerge Capital Management Inc.
Latest filing Jun 17, 2025
First filing on the tape Jun 20, 2018 · 17 filings
SEC status approved since Jul 20, 2018
RAUM
$30.0M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$30.0M as of Jun 17, 2025
Mar 29, 2019$82.9M then
HNW client RAUM$2.4M as of Apr 10, 2024
Mar 29, 2019$545,849 then
State-registered IARs (5.B.3)0 as of Jun 17, 2025
Mar 29, 20195 then
Employees (5.A)5 as of Jun 17, 2025
Mar 29, 20198 then
Private funds: no history
RAUM -92% over the last fiscal year-71% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 17, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $15.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -69%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisers, educational seminars, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$30.0M100%
- Investment companies$4830.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Catherine Vanessa Faddis to Zevin Asset Management, LLCApr 10, 2024 · Other
- Alan Ira Panzer to Advisors Asset Management, Inc.Oct 12, 2023 · Other
- Peter R Gross to T. Rowe Price Associates, Inc.Aug 22, 2023 · Other
- Robert Joseph Shull to Ptma Investment AdvisorsJun 28, 2022 · Other
- Kendall Savage Borchardt to Lindner Capital Advisors, Inc.May 6, 2020 · Other
Joined, latest
- Peter R Gross from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 6, 2023 · Other
- Catherine Vanessa Faddis from Fernwood Investment Management, LLCNov 17, 2022 · Other
- Robert Joseph Shull from Cetera Investment Advisers LLCApr 15, 2022 · Other
- Kendall Savage Borchardt from Lindner Capital Advisors, Inc.Jul 30, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Miller Lisa Lake Langley · President, Ceo,Ccocontrolsince 11/2015 · owns 75% or more
- Douglas Charles Spiring · Shareholdercontrolsince 09/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
- Emerge Canada Inc.investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga | 0 | 0 | 0 | ||
| Boston, Ma | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 682 to 2Apr 10, 2024 to Jun 17, 2025
- Advisory employees · 6 to 2Apr 10, 2024 to Jun 17, 2025
- Corporate clients · unset to 1.0Apr 10, 2024 to Jun 17, 2025
- HNW clients · 7.0 to unsetApr 10, 2024 to Jun 17, 2025
- Employees · 7 to 5Apr 10, 2024 to Jun 17, 2025
- Financial planning clients · unset to Apr 10, 2024 to Jun 17, 2025
- Discretionary RAUM · $76.1M to $0Apr 10, 2024 to Jun 17, 2025
- HNW RAUM · 2350582.0 to unsetApr 10, 2024 to Jun 17, 2025
- Non-discretionary RAUM · $36.7M to $30.0MApr 10, 2024 to Jun 17, 2025
- RAUM · $113M to $30.0MApr 10, 2024 to Jun 17, 2025
- Related adviser · true to falseApr 10, 2024 to Jun 17, 2025
- Accounts · 3,305 to 682Mar 31, 2023 to Apr 10, 2024
- Advisory activities · 5 to 4Mar 31, 2023 to Apr 10, 2024
- HNW clients · 27 to 7Mar 31, 2023 to Apr 10, 2024
- Employees · 8 to 7Mar 31, 2023 to Apr 10, 2024
- Discretionary RAUM · $279M to $76.1MMar 31, 2023 to Apr 10, 2024
- HNW RAUM · $8.3M to $2.4MMar 31, 2023 to Apr 10, 2024
- Non-discretionary RAUM · $89.5M to $36.7MMar 31, 2023 to Apr 10, 2024
- RAUM · $368M to $113MMar 31, 2023 to Apr 10, 2024
- Accounts · 4,484 to 3,305Mar 6, 2023 to Mar 31, 2023
- Advisory employees · 12 to 6Mar 6, 2023 to Mar 31, 2023
- Advisory activities · 4 to 5Mar 6, 2023 to Mar 31, 2023
- HNW clients · 51 to 27Mar 6, 2023 to Mar 31, 2023
- Employees · 16 to 8Mar 6, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.2B to $279MMar 6, 2023 to Mar 31, 2023
- HNW RAUM · $43.1M to $8.3MMar 6, 2023 to Mar 31, 2023
- Non-discretionary RAUM · $193M to $89.5MMar 6, 2023 to Mar 31, 2023
- RAUM · $1.3B to $368MMar 6, 2023 to Mar 31, 2023
- Accounts · 2,696 to 4,484Feb 14, 2022 to Mar 31, 2022
- Advisory employees · 6 to 12Feb 14, 2022 to Mar 31, 2022
- Advisory activities · 5 to 4Feb 14, 2022 to Mar 31, 2022
- HNW clients · 32 to 51Feb 14, 2022 to Mar 31, 2022
- Employees · 10 to 16Feb 14, 2022 to Mar 31, 2022
- Discretionary RAUM · $1.2B to $1.2BFeb 14, 2022 to Mar 31, 2022
- HNW RAUM · $45.1M to $43.1MFeb 14, 2022 to Mar 31, 2022
- Non-discretionary RAUM · $20.0M to $193MFeb 14, 2022 to Mar 31, 2022
- RAUM · $1.2B to $1.3BFeb 14, 2022 to Mar 31, 2022
- Accounts · 724 to 2,696Mar 30, 2020 to Mar 31, 2021
- Advisory employees · 5 to 6Mar 30, 2020 to Mar 31, 2021
- Advisory activities · 7 to 5Mar 30, 2020 to Mar 31, 2021
Signals
9 dated events
- Catherine Vanessa Faddis left Emerge Capital Management for Zevin Asset Management, Llc (registered 2023-07-20)Apr 10, 2024 · Advisor changed firm · fact
- Emerge Capital Management reported RAUM $112.8M, down 69% from $368.0M (2023-03-31 to 2024-04-10)Apr 10, 2024 · RAUM change · derived
- Alan Ira Panzer left Emerge Capital Management for Advisors Asset Management, Inc. (registered 2023-09-21)Oct 12, 2023 · Advisor changed firm · fact
- Peter R Gross left Emerge Capital Management for T. Rowe Price Associates, Inc. (registered 2023-08-29)Aug 22, 2023 · Advisor changed firm · fact
- Emerge Capital Management reported RAUM $368.0M, down 73% from $1.3B (2023-03-06 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Robert Joseph Shull left Emerge Capital Management for Ptma Investment Advisors (registered 2022-06-10)Jun 28, 2022 · Advisor changed firm · fact
- Emerge Capital Management reported RAUM $1.2B, up 576% from $176.3M (2020-03-30 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Douglas Charles Spiring (Shareholder) appeared on Schedule A of Emerge Capital ManagementMar 29, 2019 · Control person joined · fact
- Emerge Capital Management filed its initial SEC registration (Form ADV)Jun 20, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/10637059reportedpublic record, Form ADV, Sep 17, 2026
- Website
- EMERGECM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 904-870-1092reportedpublic record, Form ADV, Jun 17, 2025
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026