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Emerald Asset Management, Inc.

Updated today

Client AUM

$120,129,180

Clients

167

Advisors

2

of 2 employees

About

Emerald Asset Management is a privately held, SEC-registered adviser that serves individuals (including high‑net‑worth clients), families, trusts, charitable organizations, and employer retirement plans. It offers portfolio management on both a discretionary and non‑discretionary basis, financial planning and consulting, and ongoing pension consulting, and reports roughly $120.8 million in regulatory assets under management across about 167 client relationships with two advisory professionals.

The firm integrates fundamental, technical, and quantitative analysis into its investment process and runs distinct strategies such as a Global Rising Dividend income-oriented sleeve, a Global Capital Appreciation momentum-driven sleeve, strategic asset allocation models, and custom fixed‑income portfolios. Its active toolkit includes tactical risk management and the use of margin, options, short sales, and inverse/leveraged ETFs, and for properly qualified investors it sources private and alternative investments (e.g., private equity, private credit, direct real estate, hedge funds and exchange funds).

Compared with many peers at this scale, Emerald combines ERISA‑aware pension consulting — with the ability to act in either a 3(21) advisory or 3(38) discretionary fiduciary capacity — and access to a broad set of private/alternative offerings alongside traditional wealth management. The firm also operates through institutional custody and execution relationships (including prime‑brokerage workflows and broker arrangements that support research and back‑office services) and discloses a potential dependence on its small leadership team as a key‑person consideration.

Client services

Financial planning Portfolio management Pension consulting Selection of other advisers

Expertise

Options & derivatives strategies Private / alternative investments Concentrated stock management Wealth management

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Fee options

Fixed

Financial Planning: $1,500 to $10,000; Pension Consulting: $750 to $10,000 annually

Percentage

$0 - $500,000: 1.45% $500,001 - $1,000,000: 1.35% $1,000,001 - $2,000,000: 1.25% $2,000,001 - $5,000,000: 1.15% $5,000,001+: 1.00%

Project-based

Financial Planning and Pension Consulting: up to $500/hour

Other

Fee-only: Financial Planning: hourly up to $500/hour; flat fees $1,500 to $10,000; Pension Consulting: hourly up to $500/hour; flat fees $750 to $10,000 annually; fees based on percentage of plan assets up to 1.50%

Main office

2343 Professional Drive, Suite B

Rocky Mount NC 27804

Advisors at this office

2

Most active in

Florida · North Carolina · Texas

Also doing business as

Eam, Inc. · Emerald Asset Management, Inc. · Emerald Asset Managment, Inc.

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

James T

CFA®, Series 63, Series 65

Rocky Mount, NC

Emerald Asset Management, Inc.

James Tharin is a CFA® charterholder with 25 years of industry experience. He has worked at Emerald Asset Management, Inc. since 2015 in Rocky Mount, NC. Outside of his advisory role, he serves as a voting board member of the Rocky Mount Planning Board. Emerald Asset Management is a privately held SEC-registered adviser serving individuals, families, trusts, charitable organizations, and employer retirement plans. The firm employs a blend of fundamental, technical, and quantitative analysis across multiple strategies and offers both discretionary and non-discretionary portfolio management, financial planning, and pension consulting services.

Options & derivatives strategies Private / alternative investments Concentrated stock management Wealth management
user avatar

William G

Series 63, Series 65

Rocky Mount, NC

Emerald Asset Management, Inc.

William Gupton is a financial advisor at Emerald Asset Management, Inc. with 15 years of industry experience. He holds Series 63 and Series 65 credentials. Prior to joining Emerald Asset Management, Gupton worked at First Citizens Bank and First Citizens Investor Services, as well as Guggenheim Funds Distributors and CAPTrust. Emerald Asset Management is a privately held, SEC-registered firm serving individuals, families, trusts, charitable organizations, and employer retirement plans. The firm employs a combination of fundamental, technical, and quantitative analysis across various strategies and offers both discretionary and non-discretionary portfolio management, financial planning, and pension consulting.

Options & derivatives strategies Private / alternative investments Concentrated stock management Wealth management
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