SourcingSourcing

TAR RIVER WEALTH PLANNING, LLC

C48
CRD 328530·SEC 801-129188·LOUISBURG, NC
AUM
$401.2M
$100M-$500M
Est. Revenue
$4.0M
@ 1% on AUM
Est. EBITDA
$1.2M
@ 30% margin
Est. Deal Value
$9.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
TAR RIVER WEALTH PLANNING, LLC
CRD
328530
SEC file #
801-129188
EIN
—
DBA names
—

Economics

AUM
$401.2M
AUM band
$100M-$500M
AUM trajectory
'25'26
$370.3M → $401.2M▲ +8%
Client mix
Individuals Other373
Individuals High Net Worth96
Charitable Organizations6
Pension Profit Sharing Plans4
Corporations4

Operations

Employees (total)
9
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'25'26
5 advisors → 5 advisors▬ 0%
Primary office
LOUISBURG NC
Branches
—

Custodian & Brokerage

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

Filings

Latest ADV filing
02/02/2026
ADV-W filed at
—
Website
tarriverwealthplanning.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LUMPKIN, JAMES "TRIPP", PARKER
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
LUMPKIN, JAMES "TRIPP", PARKER
WHELESS, LOUIS, ALFRED
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
TARRIVERWEALTHPLANNING.COM
Rdap Domain Creation Date
2023-09-01T16:16:40Z
Rdap Firm Age Years
3
Rdap Firm Age Band
<5y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.1653
Soi Zip Pct 200k Plus
0.0293
Soi Zip Returns 200k Plus
310
Soi Zip Total AGI
665,370
Fdic Zip Total Deposits
7,446,356,000
Fdic Zip Branch Count
140
Fdic Zip Top Banks
First-Citizens Bank & Trust Company
Branch Banking and Trust Company

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
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Raymond James7
E*trade4
Fdic Zip Branches Raw
First-Citizens Bank & Trust CompanyLouisburg, NC
First-Citizens Bank & Trust CompanyLouisburg, NC
Fdic Zip HHI
3373.51
Fdic Zip Top Bank Share Pct
54.22
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-09-01T16:16:40Z
Rdap Domain Last Changed
2023-09-01T16:16:40Z
Rdap Nameservers
Ns37.domaincontrol.comNs38.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
AGI43,798
Returns3,340
Stub 2
AGI104,496
Returns2,840
Stub 3
AGI101,616
Returns1,660
Soi Zip Total Business Income
23,707
Soi Zip Total Cap Gains
21,300
Soi Zip Total Dividends
6,590
Soi Zip Total Returns
10,590
Top Owner CRD
4565582
Trust Company Affiliate
No

People (5)

5
LUMPKIN, JAMES "TRIPP", PARKER
IAR · Direct Owner · 37.5%
4565582
WHELESS, LOUIS, ALFRED
IAR · Direct Owner · 37.5%
2846202
Reed Alfred Wheless
IAR
7801563
Arturo Ynocencio Casanova Lumpkin
IAR
5373714
JAMES PARKER LUMPKIN
IAR
1245480