C. Emmerson Small, II, CFP®Managing Director - Branch Manager
Senior PIM Portfolio Manager
Emmerson provides comprehensive investment planning. If a working relationship is developed, he can work with you to help achieve your goals.
Background and experience
For over three decades Emmerson has helped clients address their financial concerns and develop strategies by focusing on each individual’s specific needs.
Originally from Cincinnati, Ohio, Emmerson graduated from UMBC with a BA in Economics.
During his time at UMBC, Emmerson played varsity basketball and has been inducted into the UMBC Athletic Hall of Fame. Emmerson has also received an MBA in Finance from Loyola University in
Maryland. Emmerson is a Senior Private Investment Management (PIM) Portfolio Manager. Registrations include securities supervision as well as options.
Emmerson is a CERTIFIED FINANCIAL PLANNER TM (CFP®) professional.
While it is not possible to predict market performance, Emmerson believes in, “Disciplined Asset Management for a Higher Level of Predictability”.
Emmerson was selected as a Five Star Wealth Manager for 2018, 2017, 2016, 2015, 2014 & 2013.*
Away from the office
In his free time Emmerson trains and teaches the Korean martial art of Tae Kwon Do. Emmerson holds a 6th Degree Black Belt in Tae Kwon Do from the World Tae Kwon Do Federation in Seoul Korea.
Emmerson lives in Lutherville, MD with his wife Edie and their two American Eskimo Dog, Max.
*The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria:
1. Credentialed as a registered investment adviser or a registered investment adviser representative;
2. Active as a credentialed professional in the financial services industry for a minimum of 5 years;
3. Favorable regulatory and complaint history review*;
4. Fulfilled their firm review based on internal standards;
5. Accepting new clients;
6. One-year client retention rate;
7. Five-year client retention rate;
8. Non-institutional discretionary and/or non-discretionary client assets administered;
9. Number of client households served;
10. Education and professional designations.
Wealth managers do not pay a fee to be considered or awarded.
Once awarded, wealth managers may purchase additional profile ad space or promotional products. The award methodology does not evaluate the quality of services provided and is not indicative of the winner’s future performance. In 2015, 1,749 Baltimore wealth managers were considered for the award; 412 (24 percent of candidates) were named Five Star Wealth Managers.
* As defined by Five Star Professional, the wealth manager has not:
A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine;
B. Had more than a total of three customer complaints filed against them [settled or pending] with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process;
C. Individually contributed to a financial settlement of a customer complaint filed with a regulatory authority;
D. Filed for personal bankruptcy;
E. Been convicted of a felony.
2014 - 1,484 Baltimore wealth managers were considered for the award; 395 (approximately 27 percent of the award candidates) were named Five Star Wealth Managers.
2013 - 1490 Baltimore wealth managers were considered for the award; 448 (approximately 31 percent of the award candidates) were named Five Star Wealth Managers.