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Dieter Erwin Thurow

EMERSON EQUITY

Reno, NV

·CRD# 1435375·40 years experience

Professional Summary

Dieter Erwin Thurow is a registered financial advisor currently at EMERSON EQUITY LLC located in Reno, Nevada. Dieter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Dieter has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

EMERSON EQUITY LLC·CRD# 130032

RIA

BD

1325 Airmotive Way Suite 270, Reno, NV 89502

August 26, 2021 - Present

EMERSON EQUITY LLC·CRD# 130032

RIA

BD

1325 Airmotive Way Suite 270, Reno, NV 89502

August 17, 2021 - Present

NPB FINANCIAL GROUP, LLC·CRD# 137743

BD

Healdsburg, CA

March 13, 2017 - August 18, 2021

NPB FINANCIAL GROUP, LLC·CRD# 137743

RIA

Healdsburg, CA

March 10, 2017 - August 18, 2021

THE PLANNERS NETWORK, INC.·CRD# 108355

RIA

Healdsburg, CA

January 12, 2007 - March 20, 2017

NATIONAL PLANNING CORPORATION·CRD# 29604

BD

Healdsburg, CA

November 15, 2006 - March 10, 2017

ASSOCIATED SECURITIES CORP.·CRD# 12969

BD

Healdsburg, CA

July 19, 1994 - November 10, 2006

OSAIC WEALTH, INC.·CRD# 23131

BD

Scottsdale, AZ

November 19, 1989 - July 18, 1994

INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403

BD

March 16, 1989 - November 19, 1989

U.S. ADVISORS, INC.·CRD# 10721

BD

January 22, 1987 - October 18, 1988

FINANCIAL PLANNERS EQUITY CORPORATION·CRD# 7420

BD

January 22, 1986 - December 22, 1987

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Current Firm

EE

EMERSON EQUITY LLC

DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC

CRD#: 130032 / SEC#: 801-120835, 8-66296

RIA

Registered Investment Advisory firm - SEC (4/16/2021 Approved)

California

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (9/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/12/2023 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/16/2022 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

155 Bovet Road, Suite 725, San Mateo, CA 94402

Mailing Address

155 Bovet Road, Suite 725, San Mateo, CA 94402

Phone Number

(650) 312-0200

Established

California since 10/10/2003

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

# of Employees

343

SEC notice filing (34 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 34 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (4/8/2026)

Direct owners and executive officers

Name	Position	CRD#
BALDINI, DOMINIC JULIO	MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP	3082081
MORRISSEY, KATHLEEN FRANCES	CHIEF OPERATIONS OFFICER	1771747
SNYDER, SEAN KRISTIAN	CHIEF STRATEGY OFFICER	1860842

Regulatory Assets Under Management

Total Number of Accounts

682

AUM (Assets Under Management)

$321,704,653

Disclosures

Regulatory Event

2

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1). THUROW WEALTH MANAGEMENT- INVESTMENT RELATED-OWNER-MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS IS DONE AT EMERSON EQUITY, LLC. 9190 DOUBLE DIAMOND PARKWAY, RENO, NV 89521-REAL ESTATE & BUSINESS CONSULTING, ESTATE & TAX PLANNING, 2 HOURS A MONTH DURING SECURITIES TRADING HOURS. 2). REAL ESTATE BROKER- INVESTMENT RELATED-9190 DOUBLE DIAMONG PARKWAY, RENO, NV 89521-LICENSED BROKER/CONSULTING- 2 HOURS A MONTH DURING SECURITIES TRADING HOURS 3). FIXED INSURANCE- INVESTMENT RELATED-9190 DOUBLE DIAMONG PARKWAY, RENO, NV 89521-LICENSED INSURANCE AGENT/FIXED INSURANCE BUSINESS-ZERO HOURS DURING SECURITIES TRADING HOURS

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Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EE

EMERSON EQUITY LLC

DIAMOND MOUNTAIN FINANCIAL | EMERSON EQUITY LLC

CRD#: 130032 / SEC#: 801-120835, 8-66296

RIA

Registered Investment Advisory firm - SEC (4/16/2021 Approved)

California

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - SEC (5/11/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (9/21/2021 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (4/12/2023 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Texas

Registered Investment Advisory firm - SEC (4/11/2023 Terminated)

Virginia

Registered Investment Advisory firm - SEC (2/14/2022 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/16/2022 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(8/17/2021)

IAR

California
(8/26/2021)

RR

Nevada
(5/30/2025)

RR

New Jersey
(8/17/2021)

IAR

New Jersey
(9/24/2021)

RR

New York
(8/17/2021)

IAR

New York
(9/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1994About the Series 63 exam

Series 99TO — Operations Professional Examination

Passed Jan 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 1986About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 1988About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Jul 1986About the Series 27 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Dieter Erwin Thurow's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dieter Erwin Thurow's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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DT

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