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
Arrivals at 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 |
|---|---|---|---|---|---|
| Hardit Narayan Chaudhary | Osaic Wealth, Inc. BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 27, 2026 | Apr 14, 2026 (46 d) |
| Melissa Mary Barall | Structured Finance LLC state registered | Emerson Equity LLC BD affiliated | Other | Jan 28, 2026 | Mar 3, 2026 (34 d) |
| Matthew Joseph Franchina | Moloney Securities Asset Management LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2025 | Dec 16, 2025 |
| Kody Scott Fairfield | Moloney Securities Asset Management LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 12, 2025 | Dec 16, 2025 |
| Sean Holland | Morgan Stanley wirehouse | Emerson Equity LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Dec 10, 2025 | Jul 20, 2026 (222 d) |
| Michael David Dose | Dempsey Lord Smith, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Dec 5, 2025 | Dec 1, 2025 |
| Ionatan Pop | Park Avenue Securities LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 20, 2025 | Aug 14, 2025 |
| Henry Joseph O'Brien | Kingswood Wealth Advisors, LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 1, 2025 | Apr 13, 2026 (255 d) |
| Andrew Thomas Roberson | Park Avenue Securities LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Jul 18, 2025 | Aug 11, 2025 |
| Daniel M King | Kingswood Wealth Advisors, LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | May 12, 2025 | Apr 11, 2025 |
| Matthew J Nielsen | Kingswood Wealth Advisors, LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2025 | Mar 31, 2025 |
| Rikin Kaushik Patel | Kingswood Wealth Advisors, LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 25, 2025 | Mar 27, 2025 |
| John Jason Ferneau | Kingswood Wealth Advisors, LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 19, 2025 | Mar 18, 2025 |
| Jason Smith | Cf Financial state registered | Emerson Equity LLC BD affiliated | Other | Jan 31, 2025 | Apr 24, 2025 (83 d) |
| Richard Andrew Borba | Portsmouth Financial Services unclassified | Emerson Equity LLC BD affiliated | Other | Oct 1, 2024 | Oct 8, 2024 |
| Vladislav Tsyn | Fidelity Personal And Workplace Advisors BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Sep 13, 2024 | Sep 27, 2024 |
| Peter T Po | Ni Advisors state registered | Emerson Equity LLC BD affiliated | Other | May 16, 2024 | May 15, 2026 (729 d) |
| Shirley Ank Wong | Ni Advisors state registered | Emerson Equity LLC BD affiliated | Other | May 16, 2024 | Apr 25, 2024 |
| Sejal Patel | Dempsey Lord Smith, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | May 16, 2024 | Mar 31, 2025 (319 d) |
| John Caldwell Guilds | Gfp Private Wealth independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 6, 2024 | Nov 20, 2023 |
| Lance Shigeo Ichikawa | C2c Wealth Management, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Feb 16, 2024 | Feb 15, 2024 |
| Nathan Brite | Cetera Investment Advisers LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 13, 2024 | Aug 13, 2024 (182 d) |
| Bradley Owen Davidson | Secure Asset Management, L.L.C. independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jan 29, 2024 | Feb 2, 2024 |
| Sean Kristian Snyder | Dba Angel Rock Advisors And Angel Rock Fiduciary Partners unclassified | Emerson Equity LLC BD affiliated | Other | Dec 20, 2023 | Oct 26, 2025 (676 d) |
| Douglas M Zator | Arkadios Wealth Advisors BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 11, 2023 | Dec 7, 2023 |
| Maxwell Joseph Luria | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Emerson Equity LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Oct 23, 2023 | Dec 7, 2023 (45 d) |
| Daniel Edward Pisenti | Whitehall-Parker Securities, Inc. unclassified | Emerson Equity LLC BD affiliated | Other | Dec 31, 2022 | Jan 4, 2023 |
| Adam Roy Van Dyke | Cetera Advisor Networks LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2022 | Jan 1, 2025 (732 d) |
| Brian Forrest Stokes | Independent Financial Group, LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Aug 23, 2022 | Jan 1, 2025 (862 d) |
| Renata Lance | Cetera Investment Advisers LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | May 25, 2022 | Mar 1, 2024 (646 d) |
| Dillon Dee Hall | Center Street Advisors, Inc. independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 20, 2022 | Apr 27, 2022 |
| Ernesto A. Chavez | Western International Securities BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2022 | Mar 3, 2022 |
| Douglas M Zator | Quincy Wells Advisors, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Nov 18, 2021 | Nov 19, 2021 |
| Yi Ping Chou | Npb Financial Group, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Oct 19, 2021 | Oct 18, 2021 |
| Craig M Gougis | B. Riley Wealth Advisors, Inc. BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Oct 5, 2021 | Nov 3, 2021 |
| Patrick T Jarrell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Emerson Equity LLC BD affiliated | Wirehouse to affiliated broker-dealer or bank | Sep 1, 2021 | Sep 15, 2021 |
| Dieter Erwin Thurow | Npb Financial Group, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Aug 18, 2021 | Aug 26, 2021 |
| Phillip Falk | Fourstar Wealth Advisors, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Jul 1, 2021 | Jul 23, 2021 |
| John Paul Ledesma | Sutter Capital Partners, LLC unclassified | Emerson Equity LLC BD affiliated | Other | May 5, 2021 | May 6, 2021 |
| Leonard Aaron Williamson | Simplicity Wealth independent RIA | Emerson Equity LLC other | Other | Sep 14, 2020 | Sep 2, 2020 |
| Ryan David Finch | Colorado Financial Service Corporation other | Emerson Equity LLC other | Other | Apr 22, 2020 | May 4, 2020 |
| Theo Zachary Halbardier | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Emerson Equity LLC other | Other | Mar 4, 2020 | Apr 6, 2020 (33 d) |
| Howard Davis | Cl Wealth Management LLC BD affiliated | Emerson Equity LLC BD affiliated | Affiliated broker-dealer or bank to another | Mar 2, 2020 | Dec 3, 2021 (641 d) |
| Jeff W Webb | Kingstone Capital Partners Texas, LLC independent RIA | Emerson Equity LLC other | Other | Jan 2, 2020 | Nov 5, 2019 |
| Gregory Atkins Scott | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Emerson Equity LLC other | Other | Jan 2, 2020 | Feb 23, 2021 (418 d) |
| John Edward Hoffman | Centaurus Financial, Inc. BD affiliated | Emerson Equity LLC other | Other | Dec 31, 2019 | Mar 19, 2020 (79 d) |
| Scott Michael Ozer | Sandlapper Wealth Management, LLC independent RIA | Emerson Equity LLC other | Other | Sep 4, 2019 | Sep 10, 2019 |
| Wen Che | Independent Financial Group, LLC independent RIA | Emerson Equity LLC other | Other | May 8, 2019 | May 8, 2019 |
| Nicholas Thomas Stafford | Signaturefd, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Apr 25, 2019 | Apr 8, 2022 (1079 d) |
| Ryan Jonathan Sherer | Sandlapper Wealth Management, LLC independent RIA | Emerson Equity LLC other | Other | Apr 15, 2019 | Apr 15, 2019 |
| Timothy John Sherer | Sandlapper Wealth Management, LLC independent RIA | Emerson Equity LLC other | Other | Apr 15, 2019 | Apr 15, 2019 |
| Kevin Francis Hughes | Westpark Capital, Inc. independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 21, 2019 | Jan 1, 2025 (2113 d) |
| Christopher Thomas Miller | Sandlapper Wealth Management, LLC independent RIA | Emerson Equity LLC BD affiliated | RIA to affiliated broker-dealer or bank | Mar 21, 2019 | Jan 1, 2025 (2113 d) |
| Toni Lynn Sutherland | Sandlapper Wealth Management, LLC independent RIA | Emerson Equity LLC other | Other | Mar 15, 2019 | Mar 15, 2019 |
| Kaleem S Ansari | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Emerson Equity LLC other | Other | Mar 4, 2019 | Feb 2, 2021 (701 d) |
| Dhruv Pershad Gupta | Creative Financial Designs, Inc. BD affiliated | Emerson Equity LLC other | Other | Feb 8, 2019 | Feb 5, 2019 |
| Ethan Russman | Tmd & Associates, Inc. other | Emerson Equity LLC BD affiliated | Other | Dec 12, 2017 | Sep 23, 2022 (1746 d) |
| William M Swayne | Sandlapper Wealth Management, LLC independent RIA | Emerson Equity LLC other | Other | Oct 18, 2017 | Oct 30, 2017 |
| Andrew Courtice Bagnall | Westpark Capital, Inc. other | Emerson Equity LLC other | Other | Jul 18, 2017 | Jul 7, 2017 |
| Erick Baer | Woodbury Financial Services, Inc. other | Emerson Equity LLC other | Other | Dec 5, 2016 | Mar 21, 2018 (471 d) |
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75 moves match.