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Nicholas J Efthemis

Emergent Wealth Advisors, LLC

5500 Main Street
Suite 260

Williamsville, NY 14221


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

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

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


No.of Employees




Firm CRD#


Name of Broker/Dealer

Leigh Baldwin and Associates

Name of Custodial Firm


States Licensed in


Years of Experience in Financial Services


Number of Years with Current Firm


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, Non-Profit Organizations, Businesses


Investment Types

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

I can meet clients in the following ways

Via Phone, At my office, Video Conference


I am an acknowledged fiduciary


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 65, Series 66, Series 7

Insurance and Annuity Licenses

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

Financial Organization Memberships

National Association of Insurance and Financial Advisors (NAIFA)

Firm Information

Firm's Number of Clients


Firm's Number of Planning Clients


Firm's Number of Managed Clients


Assets Managed by Firm


Advisor's Number of Clients


Advisor's Number of Managed Clients


Advisor's Number of Planning Clients


Assets Managed by Advisor


Compensation and Fees

Fee Structure

Fee Only

Minimum Portfolio Size for New Managed Accounts


Compensation Methods

Flat Fee

Fee % Based on Assets


Hourly Rate


Flat Fee Rate


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


Minimum Fee Charged for Hourly Planning Accounts


Minimum Fee Charged for Flat Fee Accounts