Empire Financial Management Company, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$680,000,000
Clients
982
Advisors
9
across 2 offices
About
Empire Financial Management Company provides discretionary and non‑discretionary portfolio management and financial planning services to a mix of individual clients (including high‑net‑worth individuals), trusts, estates, corporations and other business entities through separately managed accounts. The firm typically requires a minimum account size (generally stated as $150,000) and offers portfolio management along with year‑end reporting to assist clients with tax reporting.
The firm’s investment process begins with a tailored asset allocation for each client and primarily employs equities, fixed income and cash equivalents while retaining the ability to use options, derivatives, short sales and, in limited cases, leverage or concentrated strategies. Accounts are reviewed at least quarterly, the firm may recommend outside money managers or mutual funds, and it discloses the ability to charge performance‑based fees.
Notable operational features disclosed in the brochure include an affiliation with an SEC‑registered broker‑dealer and related insurance entity, with advisory account assets potentially held at RBC and trades introduced through the affiliated broker‑dealer; the firm’s disclosure also notes that a managing member accepts commissions through the broker‑dealer. The firm further describes the use of soft‑dollar arrangements that can include periodical subscriptions and other non‑monetary benefits, and it reserves the right to pay referral fees, each of which the brochure identifies as potential conflicts of interest.
Client services
Expertise
Fee options
approx. 0.5% to 1.75% annually (negotiated sliding scale)
Managing member receives commissions as a registered representative of affiliated broker-dealer in connection with certain services.
May charge performance-based fees as disclosed in Item 6.
Account minimum: $150,000
Main office
See office101 Crawfords Corner Road, Suite 3128
Holmdel NJ 07733-2151
Advisors at this office
8
Offices (2)
Most active in
Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Illinois · Indiana · Louisiana · Maryland · Massachusetts · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
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