Emperor Investments, Inc. (Guelph)

Emperor Investments, Inc. is an adviser based in Guelph. It manages $621 thousand of regulatory assets for 89 client accounts. It has been registered with the SEC as an adviser since 2017.

Emperor Investments provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Emperor Investments: assets under management

The assets under management (AUM) of Emperor Investments, Inc. is $621 thousand, all of which is managed in discretionary accounts. The firm's AUM has grown by 1970% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $621 thousand in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $6.98 thousand each.

Investments

The firm invests in exchange traded securities the most. They account for 100% of the total AUM.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Emperor Investments, Inc. for their services and products based on a percentage of assets under management. 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 Emperor Investments serves?

The only and largest group of clients of Emperor Investments is individuals with 73 clients and $621 thousand of assets under management. Among the 3 most similar advisory firms, Emperor Investments has the lowest percentage of individuals out of all clients.

The amount of regulatory assets under management is $621 thousand for 73 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Emperor Investments doesn't advise any private funds.

Careers at Emperor Investments, Inc.

The company employs 7 people that are either part- or full-time employees. 57 percent of the employees work as investment advisers or researchers. No 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 don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Brenna Tarryn Casserly	Partner, portfolio manager, cheif compliance officer	1 Nov 2016	50% - 75%	6729000
Francis Marie George Leon Tapon	Partner	1 Nov 2016	50% - 75%	6729004
Brenna Tarry Casserly	Partner, portfolio manager, cheif compliance officer	1 Nov 2016	25% - 50%	6729000
Yang Song	Partner, portfolio manager	1 Nov 2016	25% - 50%	6729002

Based in Guelph

The principal office where Emperor Investments, Inc. performs its advisory services is located at 50 Stone Rd E, Blackwood Hall, Guelph, N1 G2 W1, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 1(855)588-7577. The normal business hours are by appointment only on Monday - Friday.