Nicholas J Efthemis
Emergent Wealth Advisors, LLC
5500 Main Street
Suite 260
Williamsville, NY 14221
7168288390
About Emergent Wealth Advisors, LLC
Over the years we have found that when people come to us they are looking for far more than financial planning and investment management.
People call on us when they have questions and are looking for answers. They seek us out when they have complexity yet yearn for simplicity. And, perhaps most of all, people come to us to turn their uncertainty into the clarity they need to manage their financial life with confidence.
Upon working with us, our clients feel informed and empowered, they have transformed their reluctance into results and they experience service that exceeds their expectations.
We have three core beliefs that serve as the bedrock of our work:
Lead with advice
One size does not fit all
Expertise matters
Our client-focused, time-tested approach delivers customized and comprehensive wealth planning seamlessly integrated with expert investment management and a boutique style that harkens to the days when everything was hand-crafted.
If you are looking for a more modern approach to wealth management, we invite you to learn more. If you are ready to tart a conversation, let's talk.
See Disclosures
General Information
Firm Start Year
1997
No. of Employees
5-9
CRD#
2821400
Firm CRD#
6363
Name of Broker/Dealer
Leigh Baldwin and Associates
Name of Custodial Firm
Multiple
States Licensed in
NY, FL, NC, SC, MO
Years of Experience in Financial Services
21
Number of Years with Current Firm
21
Work Experience
As a CERTIFIED FINANCIAL PLANNER™ (CFP ®), Nick is a recognized leader in helping clients align
their finances with their life goals through modern wealth management.
His experience spans well over two decades and his expertise in retirement, investment and comprehensive planning solutions help ensure clients get the clarity, advice and support they need to make the most of their wealth.
His deep expertise combined with a truly personable approach is what sets Nick apart from a typical financial advisor. Nick believes that money is an important tool, and that modern wealth management is about aligning your resources and behavior with your goals. He serves as a trusted advisor who understands, cares about and is committed to helping you
achieve the goals, experiences and outcomes that matter most to you.
Work with the following types of clients
Individual Investors, Businesses, Non-Profit Organizations
Compliance
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
Have a clean record
Criminal Disclosures in Last 5 years
Have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
CFP®, CRPS®
Securities Licenses
Series 66, Series 7, Series 65
Insurance and Annuity Licenses
Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity, Accident, Disability
Financial Organization Memberships
National Association of Insurance and Financial Advisors (NAIFA)
Firm Information
Firm's Number of Clients
400
Firm's Number of Planning Clients
300
Firm's Number of Managed Clients
300
Assets Managed by Firm
$110,000,000
Advisor's Number of Clients
200
Advisor's Number of Managed Clients
175
Advisor's Number of Planning Clients
175
Assets Managed by Advisor
$75,000,000
Compensation and Fees
Fee Structure
Fee-Only
Minimum Portfolio Size for New Managed Accounts
$100,000
Compensation Methods
Based on Assets, Flat Fee
Fee % Based on Assets
.5%-1.5%
Hourly Rate
N/A
Flat Fee Rate
Varies
Additional Details on Charges
Financial planning fees are based on the complexity of the client's financial picture. Asset management fees vary by complexity, account size, and determined in a collective manner with the clients.
Minimum Fee Charged for Managed Accounts
.5%
Minimum Fee Charged for Hourly Planning Accounts
N/A
Minimum Fee Charged for Flat Fee Accounts
$500
Disclosures
RothIRA.org provides referrals to financial professionals. RothIRA.org is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for RothIRA.org to make these referrals, resulting in a conflict of interest.
Additional Detailed Disclosures
https://www.rothira.org/disclosure/1872318/rothira-Emergent-Wealth-Advisors,-LLC-detailed-disclosure.html