Phillip Falk
Phillip Falk is a registered investment advisor at Emerson Equity LLC, based in San Mateo, CA, with 32 years of industry experience. Phillip 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 2.50% |
| $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
Location
155 Bovet Road, Suite 725, San Mateo, CA, 94402
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2025Other 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
Emerson Equity LLC
Emerson Equity LLCBroker
Previous Registrations
Center Street Securities, INC.Broker
Fourstar Wealth Advisors, LLC
Blueskye Investment Advisers, LLC
Great Point Advisors LLC
Great Point Capital LLCBroker
Paulson Investment Company LLCBroker
Forest Securities,inc.Broker
Landolt Securities, INC.Broker
Workman Securities CorporationBroker
Workman Securities Corporation
Advanced Equities, INC.
Advanced Equities, INC.Broker
William Blair & Company L.L.C.Broker
Credit Suisse First Boston
Credit Suisse First Boston LLCBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
Donaldson Lufkin & Jenrette Securities Corporation
Sg Cowen Securities CorporationBroker
Cowen & CO.Broker
Smith Barney INC.Broker
State Registrations3 states
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.