Broker-dealer firm · SAN Mateo, CA
Emerson Equity LLC
SEC-registered investment adviser · CRD 130032 · SEC 801-120835
At a glance
Emerson Equity LLC is an SEC-registered investment adviser based in SAN Mateo, California, with $322 million in regulatory assets under management as of its Form ADV filed September 10, 2026. Its largest client group by assets is individuals, and it reports 620 individual clients. By Form ADV it is a broker-dealer firm, ranked 241st of 391 broker-dealer firms and 9,822nd of 17,210 SEC-registered advisers by assets.
Main office 650-312-0200emersonequity.comAs filed on Form ADV
- Regulatory AUM
- $322M
- Rank among broker-dealer firms
- #241 of 391
- Rank among all SEC RIAs
- #9,822 of 17,210
- Rank in California
- #1,132 of 1,873
- Individual clients
- 620
- High-net-worth clients
- 102
- Accounts
- 682
- Discretionary
- 67% of AUM
- Employees
- 343
- Advisory staff
- 84
- Offices
- 10
Owners and executives on its Form ADV
- Dominic Julio BaldiniManaging Member, President, General Securities Principal, Chief Compliance Officer, Options Principal, Muni Principal, Finop
- Kathleen Frances MorrisseyChief Operations Officer
- Sean Kristian SnyderChief Strategy Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Emerson Equity LLC is a hybrid RIA: 228 of its employees are also registered representatives of a broker-dealer. It reports a broker-dealer among its affiliates on Form ADV.
Its Form ADV brochure (filed April 2026) names Emerson Equity as the broker-dealer its advisers are registered with.
Webb is also engaged in securities activities as a broker dealer registered representative of Emerson Equity LLC as well as an independent insurance agent through Mountain Financial, LLC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Individuals | 518 | $185M | 58% |
| High-net-worth individuals | 102 | $129M | 40% |
| Corporations or other businesses | – | $4M | 1% |
| Pension and profit sharing plans | – | $3M | <1% |
Disciplinary disclosures
Emerson Equity LLC answers yes to 3 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Educational seminars and workshops
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗emersonequity.com ↗
AtlasMembers
The full record on Emerson Equity LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 164 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Emerson Equity LLC manage?
Emerson Equity LLC reports $322 million in regulatory assets under management across 682 accounts, 67% of it on a discretionary basis, on its Form ADV filed September 10, 2026.
What kind of firm is Emerson Equity LLC?
Emerson Equity LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser.
Who are Emerson Equity LLC’s clients?
By assets, its largest client types are individuals ($185 million, 518 clients); high-net-worth individuals ($129 million, 102 clients); corporations or other businesses ($4 million).
Does Emerson Equity LLC have any disciplinary history?
Emerson Equity LLC answers yes to 3 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Emerson Equity LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →