Broker-dealers
Emerson Equity
Emerson Equity LLC is a full-service brokerage firm in San Mateo, California. Its clients range from high net worth individuals and institutional investors to sponsor companies that bring private placement offerings to market.
The investment advisory and brokerage side covers traditional commission-based brokerage in stocks, bonds, and mutual funds; fee-based money management as a registered investment adviser for individuals, corporate accounts, trusts, pension and profit-sharing plans, and other institutions; annuity and life insurance products; secondary transactions; and alternative investments and other private placements. The firm states that it does not offer proprietary products, so its advice is not tied to in-house funds.
The other side of the business is managing broker-dealer work: an inception-to-closing private placement platform for sponsor companies, supported by relationships the firm has built with Wall Street banks, sponsors, and firms working in private placements and alternative investments.
Emerson Equity was founded in 2003. It is a member of FINRA and SIPC, is a registered investment adviser, and publishes insurance license number 0E65723; a Form CRS client relationship summary and an order routing disclosure are on the site. Offices are listed in San Mateo, Larkspur, San Francisco, Irvine, and La Jolla in California, plus Grand Rapids in Michigan, Delaware in Ohio, and Irving in Texas. The pages crawled do not mention Delaware Statutory Trust or 1031 exchange programs, and the site gives two different team sizes, so confirm both the current headcount and the offering types being placed.
Best for
Sponsors looking for a managing broker-dealer to take a private placement from inception to closing, and investors who want access to private placements alongside traditional brokerage and advisory. Its own site does not present it as a 1031 or DST specialist.
What they do
- Managing broker-dealer services for private placements
- Inception-to-closing placement platform for sponsor companies
- Commission-based brokerage
- Fee-based investment advisory
- Alternative investments and private placements
- Annuities and life insurance
- Secondary transactions
- Portfolio management for trusts and retirement plans
Details
| Attribute | Value |
|---|---|
| Founded | 2003 |
| Other offices | Larkspur, CA, San Francisco, CA, Irvine, CA, La Jolla, CA, Grand Rapids, MI, Delaware, OH, Irving, TX |
| Licenses | Insurance License #0E65723, Registered investment adviser |
| Memberships | FINRA member, SIPC member |
What stands out
- Founded in 2003, a member of FINRA and SIPC, and registered as an investment adviser.
- Lists offices in San Mateo, Larkspur, San Francisco, Irvine, and La Jolla, California, plus Grand Rapids, Michigan, Delaware, Ohio, and Irving, Texas.
- Says it does not offer proprietary products, so advice is not tied to in-house funds.
- Publishes a Form CRS client relationship summary and an order routing disclosure.