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Howard Davis

Emerson Equity LLC
37 Years of Experience
San Mateo, CA
1 DisclosureBroker
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Howard Davis is a registered investment advisor at Emerson Equity LLC, based in San Mateo, CA, with 37 years of industry experience. Howard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Insurance Planning, Investment Management. Their firm serves 679 clients with $330M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
123 advisors
Number of Clients
679 clients
Average Client Portfolio
$483K average
Assets Under Management
$327.9M

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M2.50%
$1M+2.25%

Fees are negotiable. The Advisor, as a registered Broker-Dealer, also receives 12b-1 fees for certain mutual fund transactions.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

155 Bovet Road, Suite 725, San Mateo, CA, 94402

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
January 2020
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Howard is involved in several business activities, including business planning as the owner of Mountain Gate Advisors, serving as Executive VP at Emerson Equity LLC (taking nearly full-time), and managing member roles in WSU Pullman LLC, Emerson Equity Bridge Fund I, LLC, Emerson Capital Management, LLC, and Versity Investigation Fund LLC. None of these activities appear to involve the sale of insurance products.

Employment History
Current Registrations
Emerson Equity LLC
December 2021 - Present · 4 yrs 5 mos
Emerson Equity LLCBroker
December 2021 - Present · 4 yrs 5 mos
Previous Registrations
Lyndhurst Securities INC.Broker
July 2022 - May 2023 · 10 mos
D-Merc ServicesBroker
September 2020 - March 2022 · 1 yr 6 mos
Cl Wealth Management LLC
January 2015 - March 2020 · 5 yrs 2 mos
Cabot Lodge Securities LLCBroker
December 2014 - March 2020 · 5 yrs 3 mos
Sandlapper Wealth Management, LLC
August 2013 - September 2014 · 1 yr 1 mo
Sandlapper Securities, LLCBroker
August 2013 - September 2014 · 1 yr 1 mo
Financial West Group
September 2011 - July 2013 · 1 yr 10 mos
Progressive Asset Management, INC.Broker
February 2010 - September 2011 · 1 yr 7 mos
The Shemano Group, INC.Broker
May 2008 - November 2008 · 6 mos
Klein Investment Group, L.P.Broker
December 2007 - November 2008 · 11 mos
Financial West GroupBroker
October 2007 - July 2013 · 5 yrs 9 mos
Klein Investment Group, L.P.Broker
September 2007 - October 2007 · 1 mo
The Shemano Group, INC.Broker
May 2003 - September 2007 · 4 yrs 4 mos
Gunnallen Financial, INCBroker
March 1998 - July 2003 · 5 yrs 4 mos
Rockland Trading CorporationBroker
November 1990 - May 1999 · 8 yrs 6 mos
Brokers Investment CorporationBroker
August 1990 - November 1990 · 3 mos
Wentworth Securities, INC.Broker
January 1990 - December 1990 · 11 mos
Remington Securities, INC.Broker
March 1988 - January 1990 · 1 yr 10 mos
Brighton Industries, INC.Broker
January 1988 - March 1988 · 2 mos
State Registrations1 state
CA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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