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EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
CRD 146097File 801-106958
APPROVED
Retail clients
Filing as of Sep 28, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$706.0M
Above cohort median (national)
Discretionary AUM
$675.0M
Non-discretionary $31.0M
Clients
983
983 accounts
Employees
12
Above cohort median in NJ
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Nov 19, 2015
- Principal office
- 101 CRAWFORDS CORNER ROAD, SUITE 3128, HOLMDEL, NJ, 07733-2151
- Phone
- 212-417-8247
- Website
- HTTP://EMPIREAM.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $706.0M
- Discretionary AUM
- $675.0M
- Non-discretionary AUM
- $31.0M
- Discretionary accounts
- 734
- Non-discretionary accounts
- 249
- Total accounts
- 983
- AUM per client
- $718K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other investment advisers | 1 | $26.0M |
| High net worth individuals | 733 | $649.0M |
| Individuals (other than high net worth individuals) | 249 | $31.0M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Commissions
- A percentage of assets under your management
Advisory activities
- Publications
- Financial planning services
- Selection of other advisers
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Mar 1, 2026 | Clients | 812 | 983 | increased by171 |
| Mar 1, 2026 | AUM | $688,400,000 | $706,000,000 | increased by$17,600,000 |
| Mar 1, 2026 | Accounts | 1,040 | 983 | decreased by57 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 1,091 | 812 | decreased by279 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $519,600,000 | $688,400,000 | increased by$168,800,000 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 1,091 | 1,040 | decreased by51 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,023 | 1,091 | increased by68 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $410,000,000 | $519,600,000 | increased by$109,600,000 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,023 | 1,091 | increased by68 |
| Apr 1, 2022 | Clients | 650 | 1,023 | increased by373 |
| Apr 1, 2022 | AUM | $360,000,000 | $410,000,000 | increased by$50,000,000 |
| Apr 1, 2022 | Accounts | 650 | 1,023 | increased by373 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “EMPIRE FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“EMPIRE FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.