Emergent Wealth Advisors, Llc
- Regulatory AUM
- $249M
- Discretionary
- $249M
- Clients
- 370
- Avg AUM / client
- $673K
- Accounts
- 963
- Employees
- 3
AUM over time
Annual snapshots from Form ADV filings · as of Jan 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 296 | $104M | 41.8% |
| High net worth individuals | 74 | $145M | 58.2% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nicholas John Efthemis | Chief Compliance Officer | CFP | Feb 2015 (12y) | ≈ 37.5% – 75% via Nicholas Efthemis Inc |
| Charles Edgar Hanny | Member | CFP | Apr 2021 (5y) | ≈ 37.5% – 75% via Charles Hanny Advisory, Llc |
| Andrew Kiefer | Registered representative | Aug 2021 (5y) | ||
| Jeremy Daniel Wagner | Registered representative | Jul 2023 (3y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Nicholas Efthemis Inc | Member | Jan 2023 | A | 50% – 75% |
| Charles Hanny Advisory, Llc | Member | Jan 2023 | A | 50% – 75% |
Estimated effective ownership (look-through of filed bands):
- Nicholas John Efthemis: 75% – 100% of Nicholas Efthemis Inc × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Charles Edgar Hanny: 75% – 100% of Charles Hanny Advisory, Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/27/2026 | 996 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $232M (93% of AUM) Jan 2026
- SEI Private Trust $5.9M (4% of AUM) May 2022
- Assetmark Trust Company $5.7M (2% of AUM) Jan 2026
- Asset Mark $5.7M (2% of AUM) Jan 2026
- Sei $4.1M (2% of AUM) Jan 2026
- Jackson National $3.0M (1% of AUM) Jan 2026
- Orion Portfolio Services $2.3M (1% of AUM) Dec 2025
- Capital Group $2.0M (1% of AUM) Jan 2026
- Orion Portfolio Solutions $1.9M (1% of AUM) Jan 2026
- Ftj $1.5M (2% of AUM) Jun 2020
- Pai $485K (0% of AUM) Aug 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jan 27, 2026.
View current Form ADV (SEC/IAPD) ↗