William Gupton is a registered investment advisor at Emerald Asset Management, INC., based in Rocky Mount, NC, with 15 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Charitable Giving, Education Planning, and 6 more. Their firm serves 170 clients with $120M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.45% |
| $500K - $1.0M | 1.35% |
| $1.0M - $2.0M | 1.25% |
| $2.0M - $5.0M | 1.15% |
| $5M+ | 1.00% |
Fees are billed quarterly in advance. Fees are negotiable depending on account size, client needs, and situation complexity. Cash management strategies have separate schedules (0.25% for money market only, 1.00% for money market, CDs, and short-term fixed income).
Fee Estimator
Location
2343 Professional Drive, Suite B, Rocky Mount, NC, 27804
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Emerald Asset Management, INC.
Previous Registrations
First Citizens Investor Services, INC.
First Citizens Investor Services, INC.Broker
Guggenheim Funds Distributors, LLCBroker
Capfinancial Securities, LLC.Broker
Goldman, Sachs & CO.Broker
Transamerica Investors Securities CorporationBroker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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