Committed to Serving You
When Experience Counts
Welcome to Emerald Asset Management
Emerald Asset Management, Inc. is a boutique Registered Investment Advisory Firm serving the investment and planning needs of Families, Individual Investors and Businesses. We believe that a solid financial planning process, combined with sound investment strategies and proper risk management is the key to financial success.
Fiduciary Duty
In the financial services industry there are two separate standards of client care. They are known as the Suitability Rule and the Fiduciary Standard. The Suitability Rule only requires an advisor to make recommendations to his or her client that are suitable for that investor. There is no requirement under the Suitability Rule that requires the advisor to put the client’s best interest before that of the advisor or the investment firm.
As a Registered Investment Adviser under the North Carolina Investment Advisers Act, Emerald Asset Management, Inc. is a fiduciary in all of our advisory relationships. This means that by law, we are required to put your best interests before ours. Because we are an independent employee owned firm, we are able to act in the interests of our most important stakeholder – the client. In our view, this is what sets EAM apart from traditional brokerage firms, banks and insurance companies. Please review the CFA Statement of Investor Rights for more information.

James Tharin, CFA
President | Chief Investment Officer
James has over 30 years of experience in fundamental and technical analysis of equity and fixed income securities. He applies his extensive investment management expertise in serving the needs of high-net-worth clients, serving clients in successful careers and businesses. His primary goal is to help his clients become better investors by understanding their tolerance for financial risk and making rational investment decisions based on realistically achievable goals. He is highly skilled in the security selection, including individual equity and fixed income investments.
Before founding Emerald Asset Management, Inc. in 2013, James served his clients by providing financial advice and by managing investment portfolios for 22 years at Wells Fargo Advisors, LLC and at A.G. Edwards & Sons, Inc. His primary responsibilities were developing and implementing investment strategies, investment policy statements and financial plans for retail clients, businesses and charitable organizations. He managed multiple discretionary portfolio strategies that could be customized and combined to help meet the unique preferences and needs of each individual client.
He earned his B.A. in Business Management from North Carolina State University, and earned a certificate in Financial Modeling and Valuation with Excel from Wall Street Prep, a global investment banking training firm. He is a CFA Charterholder and has served as treasurer, secretary, governance chair and board member of the CFA Society North Carolina. Locally, he has served as a deacon at First Presbyterian Church in Rocky Mount, a board member of Reach Out Rocky Mount and as president of the Tar River Kiwanis Club. He has served on the Board of Adjustments for the City of Rocky Mount and currently serves on the Rocky Mount Planning Board. James is a native of Rocky Mount, where he lives with his wife, Kate, and his children, Mari Robin and Frances.

Tyler Gupton
Vice President
Tyler Gupton brings more than 15 years of experience in the investment management industry to his role as Vice President at Emerald Asset Management. He specializes in portfolio construction, asset management, investment policy, and prudent risk management for high-net-worth individuals, businesses, and institutional clients.
Before joining Emerald, Tyler led the Securities-Based Lending business at First Citizens Bank, where he focused on customized lending solutions backed by investment portfolios. His career also includes roles at Goldman Sachs, CAPTRUST, and Guggenheim Investments, where he delivered strategic investment management services to a broad range of clients, including corporations and nonprofit organizations.
Tyler was drawn to Emerald by a desire to provide more personal, community-focused service—without the constraints of large institutions. He values the opportunity to educate and empower clients to take control of their financial lives, guiding them through complex decisions with clarity and confidence.
A North Carolina native, Tyler and his family recently moved to Rocky Mount, where his wife grew up and where they’re proud to be putting down roots of their own.
He holds FINRA Series 6, 7, 63, and 65 licenses.
Outside the office, Tyler enjoys golfing, cooking, and spending time outdoors with his family.
James Tharin, CFA is a Chartered Financial Analyst. The Chartered Financial Analyst (CFA) designation is a globally respected, graduate-level investment credential established in 1962 and awarded by CFA Institute — the largest global association of investment professionals.
To earn the CFA charter, candidates must: 1) pass three sequential, six-hour examinations; 2) have at least four years of qualified professional investment experience; 3) join CFA Institute as members; and 4) commit to abide by, and annually reaffirm, their adherence to the CFA Institute Code of Ethics and Standards of Professional Conduct. The CFA Program curriculum is updated every year by experts from around the world to ensure that candidates learn the most relevant and practical new tools, ideas, and investment and wealth management skills to reflect the dynamic and complex nature of the profession. Learn more about the value of the CFA charter.