AK
Alfred J. Knapp
EMERGENT CAPITAL ADVISORS
HOUSTON, TX 77002
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CRD#: 4295085
AK
Professional summary
Alfred John Knapp is a registered financial advisor currently at EMERGENT CAPITAL ADVISORS, LLC located in Houston, Texas and RIDGEBACK SECURITIES, LTD located in Houston, Texas.
Alfred is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Alfred has worked at 2 firms and has passed the Series 63, SIE and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
ANDOVER GROUP, INC. (INVESTMENT RELATED) - ADDRESS: 919 MILAM SUITE, 1900, HOUSTON, TEXAS 77002. PRIMARY BUSINESS: FORMERLY REAL ESTATE DEVELOPMENT, WHICH WAS CEASED IN 2004. CURRENTLY THE FIRM HAS OWNERSHIP IN SECURITIES AND MATURE REAL ESTATE THROUGH MANY SINGLE ASSET REAL ESTATE ENTITIES. INDIVIDUAL PROPERTIES ARE HELD IN SINGLE ASSET ENTITIES THAT, GENERALLY, ARE MANAGED BY ANDOVER GROUP AND IN WHICH MR.KNAPP AND/OR HIS FAMILY TRUSTS HOLD OWNERSHIP; THESE ACTIVITIES ARE INDEPENDENT OF MR. KNAPP'S BROKER-DEALER ACTIVITIES. TRUSTEE OF VARIOUS ESTATE PLANNING RELATED TRUSTS FOR FAMILY AND BUSINESS PARTNER'S FAMILY. TIME SPENT: <1 HOUR PER WEEK. DUTIES: MANAGEMENT OF TRUST ASSETS, WHICH CONSIST LARGELY OF INTERESTS IN REAL ESTATE PARTNERSHIPS MANAGED BY ANDOVER GROUP AND ITS AFFILIATED MANAGEMENT COMPANIES. THESE ACTIVITIES ARE INDEPENDENT OF MR. KNAPP'S ACTIVITIES WITH THE BROKER-DEALER. MEMBER OF ECA STRATEGIC PARTNERS, LLC. ECA STRATEGIC PARTNERS, LLC IS A MEMBER OF EMERGENT CAPTIAL ADVISORS, LLC, AN RIA AND INVESTMENT MANAGER OF ECA FUND, LP, A FUND OF FUNDS. ECA STRATEGIC PARTNERS, LLC IS A LIMITED PARTNER OF ECA FUNDS GP, LLC, GENERAL PARNTER OF ECA FUND, LP. MEMBER OF EMERGENT CAPITAL ADVISORS, LLC RIA AND INVESTMENT MANAGER OF ECA FUND, LP, A FUND OF FUND. MEMBER OF ECA FUND LP, GENERA PARTNER OF ECA FUND, LLC. INVESTMENT RELATED. 40 HOURS PER WEEK. 2010 (WITH PREDECESSOR FIRM) TO PRESENT.
CRS (Client Relationship Summary) - RIA
Click below to view Alfred John Knapp's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 8, 2011 - Present
EMERGENT CAPITAL ADVISORS, LLC
Office #1: 1218 Webster St., Houston, TX 77002RIA
CRD#: 156112
HOUSTON, TX
Current
February 19, 2014 - Present
RIDGEBACK SECURITIES, LTD
Office #1: 1218 Webster Street, Houston, TX 77002-8841BD
CRD#: 120448
Houston, TX
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".
EC
EMERGENT CAPITAL ADVISORS, LLC
CCM OPPORTUNISTIC ADVISORS, LLC | EMERGENT CAPITAL ADVISORS, LLC
CRD#: 156112 / SEC#: 801-73169
RIA
Registered Investment Advisory firm - (3/12/2012 Approved)Texas
Registered Investment Advisory firm - (4/23/2012 Terminated)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(9/3/2014)
RR
Connecticut(10/3/2014)
RR
Florida(9/3/2014)
RR
Georgia(10/3/2014)
RR
Kentucky(10/3/2014)
RR
Louisiana(9/3/2014)
RR
Maryland(9/3/2014)
RR
Massachusetts(10/3/2014)
RR
New York(10/3/2014)
IAR
Texas(2/8/2011)
RR
Texas(10/3/2014)
RR
Virginia(10/3/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EC
EMERGENT CAPITAL ADVISORS, LLC
CCM OPPORTUNISTIC ADVISORS, LLC | EMERGENT CAPITAL ADVISORS, LLC
CRD#: 156112 / SEC#: 801-73169
RIA
Registered Investment Advisory firm - (3/12/2012 Approved)Texas
Registered Investment Advisory firm - (4/23/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1218 Webster St., Houston, TX 77002
Mailing Address
Phone number
(713) 965-0371
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 92,050,440 |
Red Flags
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Company Information
EMERGENT CAPITAL ADVISORS, LLC
CRD#: 156112Houston, TX 77002TRUST BUT VERIFY
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