Emergent Capital Advisors, LLC (Houston)

Emergent Capital Advisors, LLC is a mid-sized advisory firm based in Houston. It manages $48.06 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2018 and has operated in the jurisdiction of Texas.

Emergent Capital Advisors provides portfolio management for pooled investment vehicles and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Emergent Capital Advisors: assets under management

The assets under management (AUM) of Emergent Capital Advisors, LLC is $48.06 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 1% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $48.06 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $48.06 million each.

Emergent Capital Advisors has custody of $48.06 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Emergent Capital Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Emergent Capital Advisors serves?

The only and largest group of clients of Emergent Capital Advisors is pooled investment vehicles with 1 clients and $48.06 million of assets under management. Among the 2 most similar advisory firms, Emergent Capital Advisors has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $48.06 million for 1 clients. None of the firm’s clients are foreign persons or businesses.

Emergent Capital Advisors also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $500,000 for each fund.

Careers at Emergent Capital Advisors, LLC

The company employs 5 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. 2 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Alfred John Knapp	Managing member	1 Dec 2010	25% - 50%	4295085
Sean Michael Nimmo	Managing director, chief compliance officer	1 Dec 2010	Other	4826911
Llc Eca Strategic Partners	Member	1 Dec 2011	50% - 75%	45-4072187
Knapp Children's Trust	Member	1 Dec 2011	Other	76-6073234

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Alfred John Knapp	Trustee	1 Dec 2011	Other	4295085
Christopher Lykes Knapp	Trustee	1 Dec 2011	Other	2594218
John Abbott Sprague	Managing member	1 Dec 2011	Other	858710
Sean Michael Nimmo	Managing member	1 Aug 2013	Other	4826911

Based in Houston

The principal office where Emergent Capital Advisors, LLC performs its advisory services is located at 520 Post Oak Boulevard, Houston, TX 77027 9479, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (713) 243-3206 or by fax (713) 583-2475. The normal business hours are 8:00 am - 5:00 pm (ct) on Monday - Friday.