Empire Financial Management Company, LLC

Registered investment adviser · Holmdel, NJ · CRD #146097

Form ADV data as of 2026-09-01

Regulatory assets

$706.0 million

Total accounts

983

Employees

Disclosure events

Firm details

Website: http://empiream.com
Telephone: 212-417-8247
SEC file number: 801-106958
Most recent Form ADV filing: 2026-05-29
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$675.0 million
Non-discretionary regulatory assets under management	$31.0 million
Total regulatory assets under management	$706.0 million
Discretionary accounts	734
Non-discretionary accounts	249
Total accounts	983
Regulatory assets under management attributable to non-U.S. persons	$2.0 million

People

Total employees (excluding clerical)	12
Employees performing investment advisory functions (including research)	10
Employees who are registered representatives of a broker-dealer	12
Employees registered as investment adviser representatives with a state	10
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	5
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementCommissions

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Brokers or dealers selected under 8.C.(3) are related persons
Recommends brokers or dealers to clients
Brokers or dealers recommended under 8.E. are related persons

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	249	$31.0 million
High net worth individuals	733	$649.0 million
Other investment advisers	1	$26.0 million