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.
Advisor moves
Departures from Emerson Equity LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Scott Michael Ozer | Emerson Equity LLC BD affiliated | Southern California Wealth Management Associates state registered | Affiliated broker-dealer or bank to a state-registered adviser | Feb 9, 2026 | Mar 11, 2026 |
| Michael David Dose | Emerson Equity LLC BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 8, 2025 | Dec 19, 2025 |
| Dhruv Pershad Gupta | Emerson Equity LLC BD affiliated | Ip Financial Advisory Services LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 31, 2025 | Oct 8, 2025 |
| Craig M Gougis | Emerson Equity LLC BD affiliated | Penserra Wealth Management no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Feb 24, 2025 | Jan 2, 2026 (312 d) |
| Brett Allen Bonecutter | Emerson Equity LLC BD affiliated | Hightower Advisors, LLC BD affiliated | Affiliated broker-dealer or bank to another | Jan 2, 2025 | Jan 14, 2025 |
| John Caldwell Guilds | Emerson Equity LLC BD affiliated | Colorado Financial Service Corporation other | Other | Nov 25, 2024 | Mar 10, 2025 (105 d) |
| Patrick T Jarrell | Emerson Equity LLC BD affiliated | Northwoods Financial Partners LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 21, 2024 | Oct 24, 2024 |
| Sean Holland | Emerson Equity LLC BD affiliated | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Affiliated broker-dealer or bank to wirehouse | Jul 2, 2024 | Jul 5, 2024 |
| Dillon Dee Hall | Emerson Equity LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Oct 13, 2023 | Aug 1, 2023 |
| David Jay Levine | Emerson Equity LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Sep 5, 2023 | Dec 11, 2023 (97 d) |
| Douglas M Zator | Emerson Equity LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Aug 15, 2023 | Aug 9, 2023 |
| Nicholas Thomas Stafford | Emerson Equity LLC BD affiliated | Arkadios Wealth Advisors BD affiliated | Affiliated broker-dealer or bank to another | Jul 21, 2023 | Jul 27, 2023 |
| Patty Franklin | Emerson Equity LLC BD affiliated | Strategic Pe Advisors LLC unclassified | Other | Jan 12, 2023 | Jul 11, 2016 |
| Andrew Jerome Kraffert-Gora | Emerson Equity LLC BD affiliated | Bangerter Financial Services, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Sep 14, 2022 | Dec 1, 2022 (78 d) |
| Sudhir Gurudatt Pai | Emerson Equity LLC BD affiliated | Mytimeequity independent RIA | Affiliated broker-dealer or bank to independent RIA | Apr 4, 2022 | Jan 4, 2022 |
| David Sean Gillimore | Emerson Equity LLC BD affiliated | Liberty Wealth Management, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 9, 2022 | Mar 18, 2022 |
| Theo Zachary Halbardier | Emerson Equity LLC BD affiliated | The Financial Sciences Company, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jan 14, 2022 | Jun 12, 2026 (1610 d) |
| Leonard Aaron Williamson | Emerson Equity LLC BD affiliated | Apex Wealth Advisors LLC no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | May 20, 2021 | Nov 8, 2021 (172 d) |
| Kaleem S Ansari | Emerson Equity LLC BD affiliated | Fidelity Personal And Workplace Advisors BD affiliated | Affiliated broker-dealer or bank to another | Mar 24, 2021 | Nov 2, 2021 (223 d) |
| Mark Vincent Petersen | Emerson Equity LLC other | Colorado Financial Service Corporation other | Other | Jul 21, 2020 | Aug 18, 2020 |
| Michael Lawrence Mann | Emerson Equity LLC other | Ausdal Financial Partners, Inc. independent RIA | Other | Mar 30, 2020 | May 6, 2020 (37 d) |
| William M Swayne | Emerson Equity LLC other | Sandlapper Wealth Management, LLC independent RIA | Other | Sep 13, 2018 | Sep 7, 2018 |
| Frederick Charles Whitford | Emerson Equity LLC other | Specialized Advisors independent RIA | Other | Mar 22, 2018 | Jun 14, 2019 (449 d) |
| Saragail Angela Calloway | Emerson Equity LLC other | Financial Security Services Group, Inc. state registered | Other | Mar 6, 2014 | Sep 22, 2014 (200 d) |
| Lance Shigeo Ichikawa | Emerson Equity LLC other | Concert Wealth Management other | Other | Apr 30, 2010 | May 3, 2010 |
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25 moves match.