Professional Asset Management For Individuals & Families
Emergent Wealth Advisors
(404) 931-0870
383 Ninth St. NE
Atlanta GA 30309
Brian P. Shriver, CFA
Disclosure Statement
This Disclosure Statement discloses all potential or actual conflicts of interest of Emergent Wealth Advisors, its employees, and any affiliated parties. This Disclosure Statement, including any changes or amendments, will be delivered to clients annually and upon request.
Asset Custody Policies
Emergent Wealth Advisors does not take custody of Client assets under any circumstances. Any authorization granted to Emergent Wealth Advisors in relation to Client assets will be limited to the power to execute purchases and sales of securities or transfer assets between client accounts for the exclusive benefit of the Client.
Outside Compensation Received
Emergent Wealth Advisors does not and will not receive any monetary compensation from any third party in relation to its activities with Client.
Ownership of Recommended Securities
Emergent Wealth Advisors personnel invest the same way that we recommend our clients to invest. Therefore, there is likely to be some overlap between personal and client portfolios. However, given the nature of Emergent Wealth Advisors’ investments and recommendations – long-term passive investments in widely traded securities – there is little chance that personal trading could affect client trades or vice versa. Any personal trading in thinly traded securities requires pre-approval by Emergent Wealth Advisors’ Chief Compliance Officer.
Referral Fees Paid
Emergent Wealth Advisors does not pay referral fees to any party.
Soft Dollar Policies
Emergent Wealth Advisors does not accept any “soft dollar” payments from any third party.
Other Potential Conflicts of Interest
Emergent Wealth Advisors may receive incidental benefits from recommended custodians, including usage of online account access, reporting, and analytical tools, etc. Such tools are used for the benefit of Client and are compatible with Emergent Wealth Advisors’ Best Execution obligations. No material benefits are received from custodians or any other recommended service providers.
Direct Trade Policies
Emergent Wealth Advisors does not trade directly with any client. All client trades are executed via Client’s custodian.
Aggregate Order Policies
Emergent Wealth Advisors does not place aggregate orders for multiple clients simultaneously.
IPO Allocation Policies
Emergent Wealth Advisors does not participate in or recommend participation in initial public offerings.
Proxy Voting Policies
Emergent Wealth Advisors does not vote proxies on behalf of Clients.
The above list includes all known potential or actual conflicts of interest as well as related issues and policies. If you have any questions or concerns, please do not hesitate to contact us for further information.
