# Emerald Asset Management, Inc.

> Emerald Asset Management, Inc. is an SEC-registered investment advisory firm in Rocky Mount, NC, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 10, 2026.

- CRD: 174691
- Filed as: EMERALD ASSET MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Rocky Mount, NC
- Filing period: October 2026
- Form ADV filing dated: March 10, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/174691
- AdvisorCensus page: https://advisorcensus.com/firm/emerald-asset-management-inc-rocky-mount-nc-174691

## Quick answers

**How is Emerald Asset Management, Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Emerald Asset Management, Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**How much does Emerald Asset Management, Inc. charge?**
Its Form ADV Part 2A brochure dated March 10, 2026 states: Hourly rate: $500 an hour (financial planning and consulting services); Flat fee: $1,500 to $10,000 (financial planning and consulting services). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Emerald Asset Management, Inc. located?**
Emerald Asset Management, Inc.'s principal office is in Rocky Mount, NC, according to its Form ADV.

**Is Emerald Asset Management, Inc. registered with the SEC or a state?**
Emerald Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 174691.

**How much does Emerald Asset Management, Inc. manage?**
Emerald Asset Management, Inc. reports $120,761,226 in regulatory assets under management in its Form ADV filing dated March 10, 2026 (97% discretionary).

**How have Emerald Asset Management, Inc.'s assets and staff changed since 2025?**
In the Form ADV data for Emerald Asset Management, Inc.: Regulatory assets under management: $110,426,978 in the October 2025 data and $120,761,226 in the October 2026 data, up 9%. Total employees: 2 in October 2025 and 2 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Emerald Asset Management, Inc. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (90); high net worth individuals (77); corporations or other businesses not listed above (2).

**Which custodians does Emerald Asset Management, Inc. use?**
Emerald Asset Management, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Raymond James & Associates, Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Emerald Asset Management, Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/174691

**What changed in Emerald Asset Management, Inc.'s recent Form ADV filings?**
In the April 2026 filing data: Registered or notice-filed in FL.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Fees and minimums (Form ADV Part 2A brochure dated March 10, 2026)

- Hourly rate: $500 an hour (financial planning and consulting services)

> Our maximum hourly fee is currently $500. Flat fees generally range from $1,500 to $10,000 and are based upon the scope and complexity of the engagement.

- Flat fee: $1,500 to $10,000 (financial planning and consulting services)

> Our maximum hourly fee is currently $500. Flat fees generally range from $1,500 to $10,000 and are based upon the scope and complexity of the engagement.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Raymond James & Associates, Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $120,761,226
- Discretionary: $117,713,575
- Non-discretionary: $3,047,651

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 90 | $18,247,985 |
| High net worth individuals | 77 | $101,881,195 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Charitable organizations | 1 | $559,521 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 2 | $72,525 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2025 (1 year)
- Employees: 2 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NC, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- emeraldam.com
- Facebook @emeraldassetmanagement
- Instagram @emeraldassetmgt
- LinkedIn @emerald-asset-management-inc-

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $110,426,978 | 2 | April 2, 2025 |
| October 2026 | $120,761,226 | 2 | March 10, 2026 |

Regulatory assets under management: $110,426,978 in the October 2025 data and $120,761,226 in the October 2026 data, up 9%.
Total employees: 2 in October 2025 and 2 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Registered or notice-filed in FL.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Emerald Asset Management, Inc. (CRD 174691): Form ADV filing data as of October 2026.