Emergent Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, and selecting other managers. Financial planning was provided to 26–50 clients last fiscal year.
Emergent Wealth Advisors reports 370 clients. They include 296 individual clients and 74 high-net-worth individuals. Of its assets, 100.0% ($249M across 963 accounts) are managed with discretion. It advised 25 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 80% | 42% |
| High-net-worth individuals | 20% | 58% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 296 | $104M | 41.8% | $351K |
| High-net-worth individuals | 74 | $145M | 58.2% | $1.96M |
| Total | 370 | $249M | 100% | $673K |
- Clients
- 296
- Regulatory AUM
- $104M
- AUM share
- 41.8%
- Avg. per client
- $351K
- Clients
- 74
- Regulatory AUM
- $145M
- AUM share
- 58.2%
- Avg. per client
- $1.96M
Total
- Clients
- 370
- Regulatory AUM
- $249M
- AUM share
- 100%
- Avg. per client
- $673K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 25
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
Emergent Wealth Advisors charges 1.00%–1.50% a year for its Asset Management. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- ERISA Plan Services
- Annual fee on plan assets that will not exceed 1%, billed quarterly or monthly under the schedule in Schedule A of the ERISA Plan Agreement.
- Financial Planning
- Negotiable fixed fee with a maximum of $7,500, estimated before the planning process and paid at signing of the agreement.
Nicholas Efthemis Inc owns 50% to 75% of Emergent Wealth Advisors and is in turn owned by Nicholas Efthemis (75% or more). The leadership team of Emergent Wealth Advisors includes Chief Compliance Officer Nicholas Efthemis. It has 3 employees.
Staff
- 3 employees
- 3 in advisory functions
- 3 state-registered reps
- 2 insurance agents
- Owns 50% to 75% of Emergent Wealth Advisors, LLC
Nicholas Efthemis Inc
Control person · since January 2023
- Owns 75% or more of Nicholas Efthemis Inc
Nicholas Efthemis
Control person · since January 2023
- Owns 50% to 75% of Emergent Wealth Advisors, LLC
Charles Hanny Advisory, LLC
Control person · since January 2023
- Owns 75% or more of Charles Hanny Advisory, LLC
Charles Hanny
Control person · since January 2023
Emergent Wealth Advisors’ regulatory assets grew 2.3× from $108M (April 2021) to $249M (January 2026); clients rose from 282 to 370 and employees fell from 4 to 3.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Jan 2026January 2026 | $249M | 370 | 3 | 2 |
| Jun 2025June 2025 | $203M | 381 | 4 | 2 |
| Jan 2024January 2024 | $171M | 335 | 6 | 2 |
| Jul 2023July 2023 | $143M | 328 | 6 | 2 |
| May 2022May 2022 | $134M | 248 | 5 | 2 |
| Apr 2021April 2021 | $108M | 282 | 4 | 1 |
Besides its headquarters, Emergent Wealth Advisors has 1 office, with 2 listed addresses across 2 states.
New York · 1 listed address
- 5500 Main Street, Suite 260, WilliamsvilleHQ
Tennessee · 1 listed address
- 2550 Meridian BLVD., Franklin
Contact and registration details
- Legal name
- Emergent Wealth Advisors, LLC
- Headquarters
- 5500 Main Street, Suite 260, Williamsville, NY 14221
- Website
- emergentwa.com
- Phone
- 716-828-8390
- SEC file
- 801-106909
- Structure
- New York LLC
- Fiscal year end
- December
Emergent Wealth Advisors’ named custodians for separately managed accounts include Charles Schwab ($232M, 93%), Assetmark ($5.67M, 2%) and SEI ($4.12M, 2%). Emergent Wealth Advisors does not have custody of client assets.
- Charles SchwabCharles Schwab · Westlake, TX · $232M93%
- SEISEI · Collegeville, PA · $4.12M2%
- AssetmarkAssetmark · Lynchburg, VA · $5.67M2%
- Orion Portfolio SolutionsOrion Portfolio Solutions · Omaha, NE · $1.9M1%
- Jackson NationalJackson National · Jackson, MN · $2.96M1%
- Capital GroupCapital Group · Carmel, IN · $2M1%
At year end, Emergent Wealth Advisors’ separately managed accounts were mostly in funds (73%) and stocks (20%). Its reported 13F holdings for the quarter ended 30 June 2026 total $192M across 122 positions; the largest are iShares TR (13.8%), iShares TR (6.1%) and Vanguard Index Fds (5.5%).
What the accounts hold
- Stocks20%
- Funds73%
- Bonds5%
- State and local bonds2%
- Investment grade corporate bonds2%
- U.S. government and agency bonds1%
- Cash2%
How many clients does Emergent Wealth Advisors have?
Emergent Wealth Advisors has 370 clients and manages $249 million for them, as of January 2026. They include 296 individual clients and 74 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 January 2026
What services does Emergent Wealth Advisors offer?
Emergent Wealth Advisors provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Emergent Wealth Advisors charge?
Emergent Wealth Advisors charges 1.00%–1.50% a year for its Asset Management. The fee is billed in advance and is negotiable.
Which custodians does Emergent Wealth Advisors use?
Emergent Wealth Advisors’ separately managed account assets are held at Charles Schwab (Westlake, TX), with $232M, Assetmark (Lynchburg, VA), with $5.67M, SEI (Collegeville, PA), with $4.12M, Jackson National (Jackson, MN), with $2.96M, Capital Group (Carmel, IN), with $2M and Orion Portfolio Solutions (Omaha, NE), with $1.9M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 January 2026
How many financial advisors does Emergent Wealth Advisors have?
Emergent Wealth Advisors has 3 investment adviser representatives registered with state securities authorities, out of 3 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Emergent Wealth Advisors invest in?
At the end of its last fiscal year, Emergent Wealth Advisors’ separately managed accounts held 73% registered funds (mutual funds, ETFs, BDCs), 20% exchange-traded equities, 2% state and local bonds, 2% investment grade corporate bonds, 2% cash and equivalents and 1% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Emergent Wealth Advisors?
Emergent Wealth Advisors is owned through holding companies by Nicholas Efthemis and Charles Hanny. Its direct owners are Nicholas Efthemis Inc (50% to 75%) and Charles Hanny Advisory, LLC (50% to 75%).
Source: Form ADV Part 1A, Schedules A and B, filed 27 January 2026
How does Emergent Wealth Advisors get paid?
Emergent Wealth Advisors is paid through a percentage of assets under management and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Emergent Wealth Advisors?
Emergent Wealth Advisors’ main office is at 5500 Main Street, Suite 260, Williamsville, NY 14221. Its phone number is 716-828-8390. Its website is emergentwa.com.
