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Phillip Falk

Emerson Equity LLC
32 Years of Experience
McKinney, TX
1 DisclosureBrokerSells Insurance
View SEC Summary
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Phillip Falk is a registered investment advisor at Emerson Equity LLC, based in McKinney, TX, with 32 years of industry experience. Phillip is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 620 clients with $320M in assets under management.

Emerson Equity LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
118 advisors
Number of Clients
620 clients
Average Client Portfolio
$519K average
Assets Under Management
$321.7M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Fees are negotiable with a maximum fee of 2.5% charged annually (billed quarterly at up to 0.625% per quarter).

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

Location

McKinney, TX

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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.
Customer Dispute
November 2025
Pending
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Phillip is a Senior Director at Caprock Real Estate, spending about 10% of his time on business development and marketing. He also works with Symmetry Financial Insurance and Highland Capital Brokerage, and sells life insurance and fixed annuity products, dedicating minimal time to each.

Employment History
Current Registrations
Emerson Equity LLC
July 2021 - Present · 5 yrs 3 mos
Emerson Equity LLC
July 2021 - Present · 5 yrs 3 mos
Emerson Equity LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Center Street Securities, INC.Broker
March 2021 - June 2021 · 3 mos
Fourstar Wealth Advisors, LLC
February 2020 - July 2021 · 1 yr 5 mos
Blueskye Investment Advisers, LLC
July 2019 - March 2020 · 8 mos
Great Point Advisors LLC
April 2018 - December 2018 · 8 mos
Great Point Capital LLCBroker
June 2017 - March 2021 · 3 yrs 9 mos
Paulson Investment Company LLCBroker
October 2016 - June 2017 · 8 mos
Forest Securities,inc.Broker
November 2015 - June 2016 · 7 mos
Landolt Securities, INC.Broker
October 2009 - November 2015 · 6 yrs 1 mo
Workman Securities CorporationBroker
October 2008 - October 2009 · 1 yr
Workman Securities Corporation
October 2008 - October 2009 · 1 yr
Advanced Equities, INC.
October 2006 - October 2008 · 2 yrs
Advanced Equities, INC.Broker
January 2006 - October 2008 · 2 yrs 9 mos
William Blair & Company L.L.C.Broker
January 2003 - January 2006 · 3 yrs
Credit Suisse First Boston
January 2003 - February 2003 · 1 mo
Credit Suisse First Boston LLCBroker
January 2003 - February 2003 · 1 mo
Donaldson, Lufkin & Jenrette Securities CorporationBroker
September 2000 - January 2003 · 2 yrs 4 mos
Donaldson Lufkin & Jenrette Securities Corporation
September 2000 - January 2003 · 2 yrs 4 mos
Sg Cowen Securities CorporationBroker
July 1998 - September 2000 · 2 yrs 2 mos
Cowen & CO.Broker
July 1997 - July 1998 · 1 yr
Smith Barney INC.Broker
August 1993 - July 1997 · 3 yrs 11 mos
State Registrations5 states
CAFLILNVTX
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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