Empire State Wealth Advisors Inc
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Empire State Wealth Advisors Inc provides ongoing portfolio management and financial planning to individuals, high-net-worth individuals, and retirement plans. The firm prepares written investment policy statements, offers wrap-fee portfolio management, and — having formed in early 2025 — reported no assets under management on its initial filing.
The firm’s investment process draws on multiple methods of analysis (including fundamental, technical, quantitative, cyclical, and charting) and modern portfolio theory, and it generally pursues a long‑term trading approach with both discretionary and non‑discretionary mandates. Financial planning is offered on an hourly basis and the firm also conducts free educational seminars and workshops for participants.
Noteworthy distinctions include the firm principal’s licensed affiliations outside the advisory business: registration as a broker‑dealer representative, a partnership in an accounting firm, and state insurance licensure, all of which the brochure discloses and treats as potential conflicts when outside compensation is received. The firm also documents its use of institutional custody, wrap‑fee arrangements, and possible soft‑dollar research benefits — operational features that are less common among peers in this category.
Client services
Expertise
Fee options
1.50% annually
$350.00 per hour for financial planning services
Fee-only: $350.00 per hour for financial planning services
Main office
151 N Main St 405
New City NY 10956
Advisors at this office
1
Most active in
New York
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.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate 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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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.
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