DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Emerald Asset Management, Inc.

Independent wealth managerRocky Mount, North CarolinaCRD 174691SEC 801-132053websiteIAPD
Latest filing Mar 10, 2026
First filing on the tape Jan 29, 2025 · 3 filings
SEC status approved since Feb 28, 2025
RAUM
$121M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$120M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$60.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$121M as of Mar 10, 2026
Jan 29, 2025$110M then
HNW client RAUM$102M as of Mar 10, 2026
Jan 29, 2025$84.9M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Jan 29, 20251 then
Employees (5.A)2 as of Mar 10, 2026
Jan 29, 20252 then
Private funds: no history
RAUM +9.4% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$60.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
84derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$284,814derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.4%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$102M84%
  • Individuals$18.2M15%
  • Charitable organizations$559,5210.5%
  • Corporations and businesses$72,5250.1%
Individual clients
90reported
HNW clients
77reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
424reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
James Blake TharinChartered Financial AnalystRocky Mount, NcJan 27, 201534 y2
William Tyler GuptonRocky Mount, NcMar 28, 202515 y1
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Blake James Tharin · Owner, President, Ccocontrol
      since 01/2015 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Rocky Mount, Nc · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 395 to 424
      Apr 2, 2025 to Mar 10, 2026
    • Charity clients · unset to 1.0
      Apr 2, 2025 to Mar 10, 2026
    • Corporate clients · 0 to 2
      Apr 2, 2025 to Mar 10, 2026
    • HNW clients · 64 to 77
      Apr 2, 2025 to Mar 10, 2026
    • Individual clients · 83 to 90
      Apr 2, 2025 to Mar 10, 2026
    • Pension plan clients · 5.0 to unset
      Apr 2, 2025 to Mar 10, 2026
    • Discretionary RAUM · $102M to $118M
      Apr 2, 2025 to Mar 10, 2026
    • HNW RAUM · $84.9M to $102M
      Apr 2, 2025 to Mar 10, 2026
    • Individual RAUM · $18.2M to $18.2M
      Apr 2, 2025 to Mar 10, 2026
    • Non-discretionary RAUM · $8.6M to $3.0M
      Apr 2, 2025 to Mar 10, 2026
    • Pension RAUM · 6779743.0 to unset
      Apr 2, 2025 to Mar 10, 2026
    • RAUM · $110M to $121M
      Apr 2, 2025 to Mar 10, 2026
    • Advisory employees · 1 to 2
      Jan 29, 2025 to Apr 2, 2025
    • Financial planning clients · 1-10 to 1-10
      Jan 29, 2025 to Apr 2, 2025
    • State-registered IARs · 1 to 2
      Jan 29, 2025 to Apr 2, 2025
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Business phone
    252-443-7616reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/emerald-asset-management-inc-reportedpublic record, Form ADV, Sep 17, 2026
    Website
    EMERALDAM.COMreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    252-443-7616reportedpublic record, Form ADV, Mar 10, 2026
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Independent wealth managerderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $60.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026