EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
Adviser information for EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC last updated from Form ADV on March 28th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 12 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 12 |
| Registered State Investment Advisers | 10 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 829 | $390.0M |
| Non-Discretionary | 194 | $13.0M |
| Total | 1,023 | $403.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 323 | $23.0M |
| HNW Individuals | 700 | $380.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)Publication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMCommissions |
Principal Office
29 BROADWAY12TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 212-417-8247, Fax: 212-417-8229
Websites
Chief Compliance Officer
GREGG ZEOLI
CHIEF COMPLIANCE OFFICER
29 BROADWAY
12TH FLOOR
NEW YORK
NY
United States
Tel:
212-417-8247
Fax:
212-417-8229
G*****@***********M
(Full email address available in API data)
Regulatory Contact
LAUREN BANJANY
CHIEF OPERATING OFFICER
29 BROADWAY
12TH FLOOR
NEW YORK
NY
United States
Tel:
212-417-7762
Fax:
212-417-8229
L*******@***********M
(Full email address available in API data)
Industry Affiliates
| EMPIRE ASSET MANAGEMENT COMPANY | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| EMPIRE ASSET MANAGMENT INSURANCE AGENCY | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ZEOLI, GREGG, LANCE | Individual | EMPIRE ASSET MANAGEMENT OF NY | SHAREHOLDER | 03/2003 | 50-75% |
| ZEOLI, GREGG, LANCE | Individual | – | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 12/2007 | < 5% |
| EMPIRE INVESTMENT GROUP HOLDINGS LLC | Domestic Entity | – | OWNER | 11/2006 | > 75% |
| EMPIRE ASSET MANAGEMENT OF NY | Domestic Entity | EMPIRE INVESTMENT GROUP HOLDINGS LLC | SOLE MEMBER/MANAGER | 03/2003 | > 75% |
| MANORY, ANTHONY, V | Individual | – | CHIEF INVESTMENT OFFICER | 01/2018 | < 5% |
| BANJANY, LAUREN, MARIE | Individual | – | CHIEF OPERATING OFFICER | 01/2020 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ASML HOLDING N V | N Y REGISTRY SHS | 1M | 1K | – |
| ASTRAZENECA PLC | SPONSORED ADR | 936K | 12K | – |
| BP P L C SPONSORED ADR | SPONSORED ADR | 290K | 8K | – |
| BROOKFIELD INFRASTRUCTURE | LP INT UNIT | 649K | 24K | – |
| CHUBB LTD | COM | 698K | 3K | – |
| DIAGEO PLC-SPONSORED ADR | SPON ADR NEW | 744K | 6K | – |
| EATON CORPORATION PLC | SHS | 2M | 6K | – |
| ENBRIDGE INC | COM | 215K | 6K | – |
| GSK PLC | SPONSORED ADR | 913K | 24K | – |
| MEDTRONIC PLC | SHS | 2M | 26K | – |
| NOVARTIS AG | SPONSORED ADR | 2M | 15K | – |
| NOVO NORDISK A/S-ADR | ADR | 280K | 2K | – |
| SPROTT PHYSICAL GOLD TR | UNIT | 3M | 164K | – |
| TEVA PHARMACEUTICAL | SPONSORED ADS | 293K | 18K | – |
| UNILEVER PLC | SPON ADR NEW | 305K | 6K | – |
| ABBOTT LABORATORIES | COM | 4M | 38K | – |
| ABBVIE INC | COM | 2M | 12K | – |
| ALLIANT ENERGY CORPORATION | COM | 458K | 9K | – |
| ALLSTATE CORP | COM | 337K | 2K | – |
| ALPHABET INC | CAP STK CL C | 484K | 3K | – |
| ALPHABET INC | CAP STK CL A | 5M | 28K | – |
| ALPS ETF TRUST | ALERIAN MLP | 518K | 11K | – |
| AMAZON.COM INC | COM | 7M | 34K | – |
| AMERICAN CENTURY ETF TRUST | INTL SMCP VLU | 2M | 38K | – |
| AMERICAN ELECTRIC POWER | COM | 656K | 7K | – |
| AMERICAN EXPRESS COMPANY | COM | 4M | 16K | – |
| AMERICAN INTERNATIONAL GROUP | COM NEW | 944K | 13K | – |
| AMGEN INC | COM | 2M | 8K | – |
| APPLE INC | COM | 10M | 47K | – |
| APPLIED MATERIALS INC | COM | 732K | 3K | – |
| AT&T INC | COM | 773K | 40K | – |
| AUTOMATIC DATA PROCESSING INC | COM | 3M | 13K | – |
| AUTOZONE INC | COM | 1M | 378 | – |
| AXOGEN INC | COM | 380K | 53K | – |
| BANK OF AMERICA CORP | COM | 2M | 61K | – |
| BAXTER INTERNATIONAL INC | COM | 248K | 7K | – |
| BECTON DICKINSON & CO | COM | 585K | 3K | – |
| BERKLEY W R CORPORATION | COM | 723K | 9K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 5K | – |
| BIOCRYST PHARMACEUTICALS INC | COM | 365K | 59K | – |
| BLACKROCK ETF TR II | AAA CLO ETF | 295K | 6K | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 2M | 31K | – |
| BLACKSTONE INC | COM | 877K | 7K | – |
| BOEING CO | COM | 213K | 1K | – |
| BOSTON PROPERTIES INC | COM | 431K | 7K | – |
| BROADCOM INC | COM | 4M | 2K | – |
| BROADRIDGE FINANCIAL SOLUTIONS | COM | 320K | 2K | – |
| CAMPBELL SOUP CO | COM | 384K | 8K | – |
| CARDINAL HEALTH INC | COM | 606K | 6K | – |
| CHEVRON CORPORATION | COM | 3M | 21K | – |
| CIGNA GROUP (THE) | COM | 868K | 3K | – |
| CISCO SYSTEMS INC | COM | 833K | 18K | – |
| COCA COLA COMPANY | COM | 2M | 28K | – |
| CODEXIS INC | COM | 660K | 213K | – |
| COLGATE PALMOLIVE COMPANY | COM | 2M | 17K | – |
| CONOCOPHILLIPS | COM | 964K | 8K | – |
| CONSOLIDATED EDISON INC | COM | 1M | 14K | – |
| CONSTELLATION ENERGY | COM | 3M | 17K | – |
| COSTCO WHOLESALE CORP-NEW | COM | 884K | 1K | – |
| CROCS INC | COM | 912K | 6K | – |
| CSX CORPORATION | COM | 653K | 20K | – |
| CUMMINS INC | COM | 634K | 2K | – |
| CVS HEALTH CORPORATION | COM | 312K | 5K | – |
| DEERE & CO | COM | 312K | 835 | – |
| DELL TECHNOLOGIES INC | CL C | 524K | 4K | – |
| DOMINION ENERGY INC | COM | 610K | 12K | – |
| DOW INC | COM | 896K | 17K | – |
| DRAFTKINGS INC | COM CL A | 928K | 24K | – |
| DUKE ENERGY CORPORATION | COM NEW | 3M | 26K | – |
| DUPONT DE NEMOURS INC | COM | 421K | 5K | – |
| EA SER TR | MARKETDESK FOCUS | 4M | 146K | – |
| EDWARDS LIFESCIENCES CORP | COM | 277K | 3K | – |
| ELI LILLY & CO | COM | 9M | 10K | – |
| EMERSON ELECTRIC CO | COM | 1M | 14K | – |
| ENERGY TRANSFER LP | COM UT LTD PTN | 982K | 61K | – |
| EOG RES INC | COM | 1M | 9K | – |
| ETF SERIES SOLUTIONS | US GBL GLD PRE | 989K | 52K | – |
| ETF SERIES SOLUTIONS | DISTILLATE INTNL | 3M | 144K | – |
| ETF SERIES SOLUTIONS | DISTILLATE US | 12M | 238K | – |
| ETFIS SERIES TRUST I | VIRTUS INFRCAP | 1M | 50K | – |
| EVERSOURCE ENERGY | COM | 287K | 5K | – |
| EXELON CORPORATION | COM | 2M | 57K | – |
| EXXON MOBIL CORP | COM | 2M | 18K | – |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 544K | 11K | – |
| FLEXSHARES | INTL QLTDV DEF | 279K | 13K | – |
| FLEXSHARES TR | STOX US ESG SLCT | 247K | 2K | – |
| FLEXSHARES TR | MORNSTAR USMKT | 331K | 2K | – |
| GE AEROSPACE | COM NEW | 978K | 6K | – |
| GE VERNOVA LLC | COM | 264K | 2K | – |
| GENERAL DYNAMICS CORP | COM | 517K | 2K | – |
| GENERAL MILLS INC | COM | 791K | 13K | – |
| GILEAD SCIENCES INC | COM | 220K | 3K | – |
| GLOBAL X FUNDS | INDIA ACTIVE ETF | 249K | 8K | – |
| GOLDMAN SACHS ETF TRUST | ACTIVEBETA US LG | 626K | 6K | – |
| GOLDMAN SACHS GROUP INC | COM | 1M | 3K | – |
| HARBOR ETF TRUST | HARBOR COMMODITY | 3M | 140K | – |
| HERSHEY COMPANY (THE) | COM | 2M | 11K | – |
| HOME DEPOT INC | COM | 4M | 11K | – |
| HONEYWELL INTL INC | COM | 2M | 9K | – |
| HP INC | COM | 704K | 20K | – |
| HUNTINGTON INGALLS INDUSTRIES | COM | 1M | 4K | – |
| HUNTSMAN CORP | COM | 231K | 10K | – |
| INTEL CORP | COM | 288K | 9K | – |
| INTERNATIONAL BUSINESS | COM | 6M | 33K | – |
| INVESCO QQQ TR | UNIT SER 1 | 260K | 541 | – |
| INVITATION HOMES INC | COM | 495K | 14K | – |
| ISHARES CORE S&P 500 ETF | CORE S&P500 ETF | 215K | 393 | – |
| ISHARES RUSSELL 1000 GROWTH | RUS 1000 GRW ETF | 637K | 2K | – |
| ISHARES RUSSELL 1000 VALUE ETF | RUS 1000 VAL ETF | 656K | 4K | – |
| ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 2M | 12K | – |
| ISHARES RUSSELL 3000 ETF | RUSSELL 3000 ETF | 252K | 817 | – |
| ISHARES SILVER SHARES | ISHARES | 337K | 13K | – |
| ISHARES TR | CORE DIV GRWTH | 362K | 6K | – |
| ISHARES TR | MSCI USA MMENTM | 465K | 2K | – |
| ISHARES TRUST | CORE MSCI INTL | 811K | 12K | – |
| J P MORGAN EXCHANGE TRADED | DIV RTN INT EQ | 1M | 22K | – |
| J P MORGAN EXCHANGE TRADED | JPMORGAN DIVER | 1M | 12K | – |
| J P MORGAN EXCHANGE TRADED | EQUITY PREMIUM | 2M | 34K | – |
| J P MORGAN EXCHANGE-TRADED FD | NASDAQ EQT PREM | 2M | 29K | – |
| JABIL INC | COM | 1M | 9K | – |
| JOHN HANCOCK EXCHANGE TRADED | PREFERRED INCOME | 203K | 9K | – |
| JOHN HANCOCK EXCHANGE TRADED | MULTIFACTR SML | 3M | 90K | – |
| JOHNSON & JOHNSON | COM | 2M | 15K | – |
| JPMORGAN CHASE & CO | COM | 8M | 39K | – |
| KEYCORP NEW | COM | 512K | 36K | – |
| KIMBERLY CLARK CORP | COM | 522K | 4K | – |
| KINDER MORGAN INC | COM | 942K | 47K | – |
| KRAFT HEINZ COMPANY (THE) | COM | 423K | 13K | – |
| KRANESHARES TRUST | QUADRTC INT RT | 2M | 104K | – |
| LITMAN GREGORY FUNDS TRUST | IMGP DBI MANAGED | 6M | 196K | – |
| LOCKHEED MARTIN CORP | COM | 3M | 7K | – |
| MARTIN MARIETTA MATERIALS INC | COM | 1M | 2K | – |
| MASTERCARD INCORPORATED | CL A | 1M | 2K | – |
| MCDONALDS CORP | COM | 971K | 4K | – |
| MERCADOLIBRE INC | COM | 215K | 131 | – |
| MERCK & CO INC | COM | 4M | 31K | – |
| META PLATFORMS INC | CL A | 535K | 1K | – |
| MGIC INVESTMENT CORP-WISC | COM | 437K | 20K | – |
| MICROSOFT CORP | COM | 13M | 29K | – |
| MONDELEZ INTERNATIONAL INC | CL A | 1M | 16K | – |
| MORGAN STANLEY | COM NEW | 666K | 7K | – |
| MPLX LP | COM UNIT REP LTD | 2M | 36K | – |
| NEOS ETF TRUST | NEOS ENH INC 1-3 | 663K | 13K | – |
| NEXTERA ENERGY INC | COM | 2M | 32K | – |
| NORFOLK SOUTHERN CORP | COM | 2M | 9K | – |
| NORTHROP GRUMMAN CORP | COM | 1M | 3K | – |
| NVIDIA CORP | COM | 3M | 23K | – |
| OCCIDENTAL PETE CORP | COM | 387K | 6K | – |
| ORACLE CORPORATION | COM | 2M | 11K | – |
| PACER FDS TR | DEVELOPED MRKT | 240K | 8K | – |
| PACER FDS TR | PACER US SMALL | 271K | 6K | – |
| PACER FDS TR | US LRG CP CASH | 890K | 33K | – |
| PACER FDS TR | US CASH COWS 100 | 1M | 23K | – |
| PACER FDS TR | GLOBL CASH ETF | 4M | 119K | – |
| PACER FUNDS TRUST | METAURUS CAP 400 | 3M | 92K | – |
| PALO ALTO NETWORKS INC | COM | 1M | 4K | – |
| PAYCHEX INC | COM | 2M | 14K | – |
| PEPSICO INC | COM | 3M | 17K | – |
| PFIZER INC | COM | 3M | 94K | – |
| PHILLIPS 66 | COM | 487K | 3K | – |
| PPG INDUSTRIES INC | COM | 604K | 5K | – |
| PPL CORPORATION | COM | 297K | 11K | – |
| PROCTER & GAMBLE CO | COM | 4M | 22K | – |
| PROSHARES S&P 500 DIVIDEND | S&P 500 DV ARIST | 958K | 10K | – |
| PUBLIC SERVICE ENTERPRISE | COM | 3M | 41K | – |
| QUALCOMM INC | COM | 2M | 10K | – |
| QUANTERIX CORPORATION | COM | 248K | 19K | – |
| QUEST DIAGNOSTICS INC | COM | 508K | 4K | – |
| RESMED INC | COM | 933K | 5K | – |
| RTX CORPORATION | COM | 4M | 36K | – |
| SABRA HEALTH CARE REIT INC | COM | 304K | 20K | – |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 217K | 3K | – |
| SELECT SECTOR SPDR TRUST | FINANCIAL | 331K | 8K | – |
| SELECT SECTOR SPDR TRUST | SBI HEALTHCARE | 364K | 2K | – |
| SELECT SECTOR SPDR TRUST | ENERGY | 581K | 6K | – |
| SELECT SECTOR SPDR TRUST | TECHNOLOGY | 940K | 4K | – |
| SEMPRA | COM | 262K | 3K | – |
| SJW GROUP | COM | 214K | 4K | – |
| SLM CORPORATION | COM | 210K | 10K | – |
| SMUCKER J M COMPANY | COM NEW | 1M | 10K | – |
| SOUTHERN CO | COM | 1M | 14K | – |
| SPDR S&P 500 ETF TRUST | TR UNIT | 2M | 3K | – |
| SPDR SER TR | S&P BIOTECH | 2M | 19K | – |
| STANLEY BLACK & DECKER INC | COM | 431K | 5K | – |
| STARBUCKS CORP | COM | 470K | 6K | – |
| TARGET CORP | COM | 354K | 2K | – |
| TESLA INC | COM | 577K | 3K | – |
| TEXAS INSTRUMENTS INCORPORATED | COM | 2M | 12K | – |
| THE TRAVELERS COMPANIES INC | COM | 3M | 16K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 1M | 2K | – |
| UBER TECHNOLOGIES INC | COM | 400K | 6K | – |
| UNION PACIFIC CORP | COM | 541K | 2K | – |
| UNITEDHEALTH GROUP INC | COM | 2M | 4K | – |
| VANGUARD INDEX FUNDS | GROWTH ETF | 516K | 1K | – |
| VANGUARD INDEX FUNDS | TOTAL STK MKT | 2M | 9K | – |
| VERIZON COMMUNICATIONS | COM | 844K | 20K | – |
| VISA INC | COM CL A | 2M | 6K | – |
| WALMART INC | COM | 663K | 10K | – |
| YUM BRANDS INC | COM | 531K | 4K | – |