National Retirement Planning Experts

National Coverage
Local Professionals

seller-profile

Nicholas J Efthemis

Emergent Wealth Advisors, LLC

5500 Main Street
Suite 260

Williamsville, NY 14221
(716) 8288390

A Modern Approach to Wealth Management

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
start a conversation, let's talk.

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.

I work with the following types of clients

Individual Investors, Businesses, Non-Profit Organizations

Services

Investment Types

Mutual Funds, Stocks, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Annuities, Insurance, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via phone, At my office, Video Conference

Compliance

Registered Investment Advisor

No

Registered Representative

No

Investment Advisor Representative

No

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

Chartered Retirement Plans Specialist (CRPS®), CERTIFIED FINANCIAL PLANNER™ Certificant

Securities Licenses

Series 66, Series 65, Series 7

Insurance and Annuity Licenses

Life, Disability, Annuity, Accident, Long Term Care, Variable Annuity, Variable Life, Health

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

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