# Empire Financial Group, LLC

> Empire Financial Group, LLC is a state-registered investment advisory firm, registered since 2006, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated January 12, 2026.

- CRD: 139382
- Filed as: EMPIRE FINANCIAL GROUP, LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Florida
- Filing period: October 2026
- Form ADV filing dated: January 12, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/139382
- AdvisorCensus page: https://advisorcensus.com/firm/empire-financial-group-llc-139382

## Quick answers

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

**Is Empire Financial Group, LLC registered with the SEC or a state?**
Empire Financial Group, LLC is a state-registered investment advisory firm, registered since 2006. Status as filed: APPROVED. CRD 139382.

**How much does Empire Financial Group, LLC manage?**
Empire Financial Group, LLC reports $82,600,000 in regulatory assets under management in its Form ADV filing dated January 12, 2026 (100% discretionary).

**What types of clients does Empire Financial Group, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (20); high net worth individuals (16).

**Does Empire Financial Group, LLC report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.D(4) (another regulator's order in the past ten years). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/139382

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $82,600,000
- Discretionary: $82,600,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 20 | $3,600,000 |
| High net worth individuals | 16 | $79,000,000 |
| 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 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| 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

### Firm details
- Registered since: 2006 (20 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.D(4): In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/139382

### Websites listed on Form ADV (Item 1.I)
- hausfinancial.com
- LinkedIn @barrett-haus-2260754

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Empire Financial Group, LLC (CRD 139382): Form ADV filing data as of October 2026.