Empire Financial Management Company, LLC

RIASEC Registered
Total AUM
$706M
Discretionary
$675M
96% of AUM
Avg account
$718K
Accounts
983
Employees
12
Advisory reps
10

Firm details

Headquarters
Holmdel, New Jersey
CRD number
146097
Registered since
November 19, 2015
Custodians
RBC CAPITAL MARKETS, LLC
Fee structure
Percentage of AUM, Commissions
Client types
  • HNWI91.93%
  • Individuals4.39%
  • Other Investment Advisers3.68%
Services
Financial PlanningPortfolio Management for IndividualsSelection of Other AdvisersPublication of Periodicals

Firm profile

FINTRX

Overview

Empire Financial Management Company, LLC is an independent registered investment adviser that registered with the SEC in 2015. The firm serves individual, family and institutional clients, offering financial planning, portfolio management for individuals and small businesses, manager selection, and the publication of periodic investment commentary. Its fee schedule combines AUM-based fees with commission arrangements, and it acts as a capital allocator—both selecting outside managers and sponsoring pooled vehicles. Empire does not present itself as an active ESG investor. Empire participates in industry distribution and operational roles beyond advisory work: it lists affiliations as a broker-dealer, other investment adviser and insurance company, and it serves as sponsor/GP/managing member of pooled investment vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 70%, Non-Exchange Traded Equities 15%, Cash & Cash Equivalents 10%, Public Funds/Mutual Funds 5%70%
  • Exchange Traded Equities70%
  • Non-Exchange Traded Equities15%
  • Cash & Cash Equivalents10%
  • Public Funds/Mutual Funds5%

Owners & executives

2 of 2
  • Gregg Zeoli

    Gregg Zeoli

    CEOCRD 2620340

  • Lauren Banjany

    Lauren Banjany

    Chief Operating OfficerCRD 4899767

Contacts

3 of 8
  • Anthony Manory

    Anthony Manory

    Portfolio StrategistCRD 2091325

  • Eugene Singer

    Eugene Singer

    Financial AdvisorCRD 1540416

  • Carl Basile

    Investment Advisory RepresentativeCRD 2353319

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 67

Active vs passive

$103M in ETFs

Passive

43%

$44.4M

Active

55%

$58.9M

ETFProviderStyleCategoryValueShares% of portfolio
DISTILLATE US FUNDAMENTAL STABILITY & VALUE ETF (DSTL)ActiveLarge Value$15.5M258,65215.00%

Location

Primary office

Holmdel, NJ

Monmouth

Location

Holmdel, NJ

Headquartered in Holmdel, NJ, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
Monmouth
Address
101 Crawfords Corner Rd
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth