Tar River Wealth Planning, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$369,815,126
Clients
469
Advisors
5
of 9 employees
About
Tar River Wealth Planning, LLC is a registered investment adviser that manages about $401 million for a mix of individuals, high-net-worth clients, retirement plans, charitable organizations and corporations; the firm operates as a team of five advisors serving roughly 469 client relationships. Services described in the brochure include discretionary and non-discretionary portfolio management, financial planning and consulting, retirement-plan consulting, sub-advisory arrangements with intermediaries, and recommendations of certain insurance products.
The firm’s investment process emphasizes fundamental analysis and a committee-reviewed investment universe, with portfolio managers constructing client-specific asset allocations using equities, ETFs, bonds, structured products and other securities. Tar River provides ongoing monitoring, periodic client reports and education, and conducts regular reviews (including annual meetings) to assess asset allocation and progress toward client objectives.
Tar River’s operations include some features that are less common among similar team firms: it sponsors a wrap-fee program and provides the associated Wrap Fee Program Brochure to prospective participants, and it also serves as a discretionary sub-advisor to unaffiliated advisers. The brochure also notes operational distinctions such as the firm’s use of standing letters of authorization (resulting in custody of certain client accounts) and an explicit statement that it does not currently receive soft-dollar research arrangements, which can affect how services and execution are delivered compared with many peers.
Client services
Expertise
Fee options
Negotiated flat fees for financial planning and consulting services based on scope of engagement
Up to 1.35% annually
Main office
109 N Main St
Louisburg NC 27549-9998
Advisors at this office
5
Most active in
California · Florida · Georgia · Maryland · North Carolina · South Carolina · Texas · Virginia
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Reed W
Series 65
Louisburg, NC
Tar River Wealth Planning, LLC
Reed Wheless is a financial advisor at Tar River Wealth Planning, LLC in Louisburg, NC, holding a Series 65 designation with one year of industry experience. His prior work includes roles at The Lumpkin Group and Westrock Company, and he attended North Carolina State University. Tar River Wealth Planning manages approximately $401 million for a diverse client base including individuals, high-net-worth clients, retirement plans, charitable organizations, and corporations. The firm employs a fundamental analysis investment process with committee-reviewed portfolios and offers services such as discretionary and non-discretionary portfolio management, financial planning, and retirement-plan consulting.
Arturo L
Series 66
Louisburg, NC
Tar River Wealth Planning, LLC
Arturo Lumpkin is a financial advisor at Tar River Wealth Planning, LLC with 19 years of industry experience. He holds a Series 66 designation and has previously worked at The Lumpkin Group and J. Parker Lumpkin Financial Consultants. Tar River Wealth Planning, LLC is a registered investment adviser managing approximately $401 million for individuals, high-net-worth clients, retirement plans, charitable organizations, and corporations. The firm employs a committee-reviewed investment process and offers services including portfolio management, financial planning, retirement-plan consulting, and sub-advisory arrangements.
James "Tripp" L
Series 65, Series 66
Louisburg, NC
Tar River Wealth Planning, LLC
James "Tripp" Lumpkin III is a financial advisor at Tar River Wealth Planning, LLC with 23 years of industry experience. He holds Series 65 and Series 66 designations and has previously worked at The Lumpkin Group and J. Parker Lumpkin Financial Consultants. Tar River Wealth Planning, LLC manages approximately $401 million for individuals, high-net-worth clients, retirement plans, charitable organizations, and corporations. The firm uses a committee-reviewed investment process and offers discretionary and non-discretionary portfolio management, financial and retirement-plan consulting, and serves as a sub-advisor to other advisers.
Louis W
Series 63, Series 65
Louisburg, NC
Tar River Wealth Planning, LLC
Louis Wheless III is a financial advisor at Tar River Wealth Planning, LLC with 29 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including Union Bank, Resource Management Associates, and Raymond James Financial. He has also been involved with Crosscreek Charter School. Tar River Wealth Planning, LLC manages approximately $401 million for individuals, high-net-worth clients, retirement plans, charitable organizations, and corporations. The firm employs a team approach with five advisors and focuses on fundamental analysis and committee-reviewed investment strategies to create client-specific portfolios.
James L
Series 63
Louisburg, NC
Tar River Wealth Planning, LLC
James Lumpkin II is a financial advisor at Tar River Wealth Planning, LLC with 41 years of industry experience. He previously worked at The Lumpkin Group and J. Parker Lumpkin Financial Consultants. He holds a Series 63 designation. Tar River Wealth Planning, LLC is a registered investment adviser managing approximately $401 million for individuals, high-net-worth clients, retirement plans, charitable organizations, and corporations. The firm employs a team approach, using fundamental analysis and committee-reviewed investment selections to create client-specific portfolios across various asset classes, while providing ongoing monitoring and regular client reviews.
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