Data / Investment advisers / New Jersey / Empire Financial Management Company, LLC
Empire Financial Management Company, LLC, Holmdel, NJ: $706 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Empire Financial Management Company, LLC is an SEC registered investment adviser with its main office in Holmdel, New Jersey and reports $706 million in regulatory assets under management in its Form ADV filed September 28, 2026. Its clients include high net worth individuals, individuals and other investment advisers. It is paid through a percentage of assets under management and commissions. It advises 1 private fund.
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- Registration
- SEC registered investment adviser
- CRD number
- 146097
- SEC file number
- 801-106958
- SEC status
- Approved, effective November 19, 2015
- Main office
- 101 Crawfords Corner Road Suite 3128, Holmdel, NJ 07733
- Phone
- (212) 417-8247
- Website
- empiream.com
- Regulatory AUM
- $706,000,000 in the Form ADV filed September 28, 2026
- Discretionary AUM
- $675,000,000
- Non discretionary AUM
- $31,000,000
- Accounts
- 983
- Employees
- 12, of which 10 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, commissions
- Private funds
- 1: 1 hedge fund
- Gross assets of private funds
- $25,000,000
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- September 28, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 733 | $649 million |
| Individuals (other than high net worth individuals) | 249 | $31 million |
| Other investment advisers | 1 | $26 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| March 2, 2026 | $706 million | February 26, 2026 |
| December 1, 2025 | $688.4 million | September 25, 2025 |
Other advisers in New Jersey
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Shorebridge Capital Management, LLC | Summit | $735.1 million | 2 | adviserinfo.sec.gov |
| Axq Capital, LP | Jersey City | $727.1 million | Not listed | adviserinfo.sec.gov |
| Himco, LLC | Morristown | $725.7 million | 24 | adviserinfo.sec.gov |
| Cora Capital Advisors | Marlton | $722.9 million | Not listed | adviserinfo.sec.gov |
| Wealth Management Associates, Inc. | Cherry Hill | $717.4 million | Not listed | adviserinfo.sec.gov |
| Blueshift Asset Management | Red Bank | $694.4 million | 1 | adviserinfo.sec.gov |
| Covenant Asset Management, LLC | Chester | $692.6 million | Not listed | adviserinfo.sec.gov |
| Unio Capital LLC | Princeton | $691.5 million | 2 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New Jersey
- Advisers with $500 million to $1 billion in AUM
- Advisers serving high net worth individuals
- Advisers serving individuals
- Advisers that manage private funds
- Empire Financial Management Company, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.