SourcingSourcing

EMERALD ASSET MANAGEMENT, INC.

A69
CRD 174691·SEC 801-132053·ROCKY MOUNT, NC
AUM
$120.8M
$100M-$500M
Est. Revenue
$1.2M
@ 1% on AUM
Est. EBITDA
$362K
@ 30% margin
Est. Deal Value
$2.9M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
EMERALD ASSET MANAGEMENT, INC.
CRD
174691
SEC file #
801-132053
EIN
—
DBA names
—

Economics

AUM
$120.8M
AUM band
$100M-$500M
AUM trajectory
'25'26
$110.4M → $120.8M▲ +9%
Client mix
Individuals Other90
Individuals High Net Worth77
Corporations2
Charitable Organizations1

Operations

Employees (total)
2
Advisory staff (per ADV)
2
Advisory staff (5-yr trend)
'25'26
2 advisors → 2 advisors▬ 0%
Primary office
ROCKY MOUNT NC
Branches
—

Custodian & Brokerage

Primary custodian
Raymond Jameslow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/10/2026
ADV-W filed at
—
Website
emeraldam.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
THARIN, JAMES, BLAKE
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
THARIN, JAMES, BLAKE
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
EMERALDAM.COM
Rdap Domain Creation Date
2013-11-05T18:07:05Z
Rdap Firm Age Years
13
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
50
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1499
Soi Zip Pct 200k Plus
0.0397
Soi Zip Returns 200k Plus
530
Soi Zip Total AGI
897,591
Fdic Zip Total Deposits
39,180,196,000
Fdic Zip Branch Count
542
Fdic Zip Top Banks
First Carolina Bank
Providence Bank

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
2
Bc Firm IAR Count
2
Custodian Candidates
Full
Raymond James4
E*trade4
Fdic Zip Branches Raw
Southern Bank and Trust CompanyRocky Mount, NC
Unity Bank & Trust CompanyRocky Mount, NC
Fdic Zip HHI
859.2
Fdic Zip Top Bank Share Pct
17.48
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-26T11:59:59Z
Rdap Domain Last Changed
2026-02-27T14:02:48Z
Rdap Nameservers
Ns73.domaincontrol.comNs74.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI54,622
Returns4,150
Stub 2
AGI139,610
Returns3,780
Stub 3
AGI134,721
Returns2,200
Soi Zip Total Business Income
25,219
Soi Zip Total Cap Gains
37,701
Soi Zip Total Dividends
28,467
Soi Zip Total Returns
13,340
Top Owner CRD
2187988
Trust Company Affiliate
No

People (2)

2
THARIN, JAMES, BLAKE
IAR · Direct Owner · 87.5%
2187988
WILLIAM TYLER GUPTON
IAR
5812173