# Empire Financial Management Company, LLC

> Empire Financial Management Company, LLC is an SEC-registered investment advisory firm in Holmdel, NJ, registered since 2015, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated September 28, 2026.

- CRD: 146097
- Filed as: EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Holmdel, NJ
- Filing period: October 2026
- Form ADV filing dated: September 28, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/146097
- AdvisorCensus page: https://advisorcensus.com/firm/empire-financial-management-company-llc-holmdel-nj-146097

## Quick answers

**How is Empire Financial Management Company, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Empire Financial Management Company, LLC reports these compensation arrangements: a percentage of assets under its management; commissions.

**How much does Empire Financial Management Company, LLC charge?**
Its Form ADV Part 2A brochure dated May 29, 2026 states: Asset-based fee: 0.5% to 1.75% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is Empire Financial Management Company, LLC located?**
Empire Financial Management Company, LLC's principal office is in Holmdel, NJ, according to its Form ADV.

**Is Empire Financial Management Company, LLC registered with the SEC or a state?**
Empire Financial Management Company, LLC is an SEC-registered investment advisory firm, registered since 2015. Status as filed: Approved. CRD 146097.

**How much does Empire Financial Management Company, LLC manage?**
Empire Financial Management Company, LLC reports $706,000,000 in regulatory assets under management in its Form ADV filing dated September 28, 2026 (96% discretionary).

**How have Empire Financial Management Company, LLC's assets and staff changed since 2021?**
In the Form ADV data for Empire Financial Management Company, LLC: Regulatory assets under management: $360,000,000 in the October 2021 data and $706,000,000 in the October 2026 data, up 96%. Total employees: 12 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Empire Financial Management Company, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (733); individuals (other than high net worth individuals) (249); other investment advisers (1).

**Which custodians does Empire Financial Management Company, LLC use?**
Empire Financial Management Company, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists RBC Capital Markets, LLC as a custodian holding 10% or more of its separately managed account assets.

**Does Empire Financial Management Company, LLC 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/146097

**Does Empire Financial Management Company, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated May 29, 2026 says: "However, a minimum of $150,000 of assets under management per account will typically be required in order for the Firm to offer Services."

**What changed in Empire Financial Management Company, LLC's recent Form ADV filings?**
In the March 2026 filing data: Registered or notice-filed in CO, DE, HI, IN, NC, NH, NV, OR, TN, VT, WA.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Commissions

### Fees and minimums (Form ADV Part 2A brochure dated May 29, 2026)

- Asset-based fee: 0.5% to 1.75% a year (a range, as the brochure states it)

> In general, Clients shall pay an annualized asset-based fee ranging between approximately .5% to 1.75% based on a sliding scale of assets under management (“Management Fee”), see Item 5(B).

- Account minimum: $150,000

> However, a minimum of $150,000 of assets under management per account will typically be required in order for the Firm to offer Services.

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

### Custodians (Schedule D, Section 5.K(3))
- RBC Capital Markets, LLC

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: $706,000,000
- Discretionary: $675,000,000
- Non-discretionary: $31,000,000

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 249 | $31,000,000 |
| High net worth individuals | 733 | $649,000,000 |
| Banking or thrift institutions | 0 | Not reported |
| Investment companies | 0 | Not reported |
| Business development companies | 0 | Not reported |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | Not reported |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | Not reported |
| Charitable organizations | 0 | Not reported |
| State or municipal government entities (including government pension plans) | 0 | Not reported |
| Other investment advisers | 1 | $26,000,000 |
| Insurance companies | 0 | Not reported |
| Sovereign wealth funds and foreign official institutions | 0 | Not reported |
| Corporations or other businesses not listed above | 0 | Not reported |
| Other | 0 | Not reported |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters

### Firm details
- Registered since: 2015 (10 years)
- Employees: 12 total, 10 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AR, AZ, CA, CO, CT, DE, FL, GA, HI, IL, IN, LA, MA, MD, NC, NH, NJ, NV, NY, OH, OR, PA, RI, SC, TN, TX, VA, VT, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- empiream.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $360,000,000 | 12 | September 16, 2021 |
| October 2022 | $410,000,000 | 12 | March 9, 2022 |
| October 2023 | $403,000,000 | 12 | March 28, 2023 |
| October 2024 | $484,800,000 | 12 | April 2, 2024 |
| October 2025 | $519,600,000 | 12 | March 24, 2025 |
| October 2026 | $706,000,000 | 12 | September 28, 2026 |

Regulatory assets under management: $360,000,000 in the October 2021 data and $706,000,000 in the October 2026 data, up 96%.
Total employees: 12 in October 2021 and 12 in October 2026.

## Changes in the filing (last 12 months)

### March 2026
- Registered or notice-filed in CO, DE, HI, IN, NC, NH, NV, OR, TN, VT, WA.

### December 2025
- Regulatory assets under management went from $519,600,000 to $688,400,000 (+32%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Empire Financial Management Company, LLC (CRD 146097): Form ADV filing data as of October 2026.