Wealth manager, independent · Holmdel, NJ
Empire Financial Management Company, LLC
SEC-registered investment adviser · CRD 146097 · SEC 801-106958
At a glance
Empire Financial Management Company, LLC is an SEC-registered investment adviser based in Holmdel, New Jersey, with $706 million in regulatory assets under management as of its Form ADV filed September 28, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 982 individual clients. By Form ADV it is a wealth manager, ranked 2,126th of 8,915 wealth managers and 6,515th of 17,210 SEC-registered advisers by assets.
Main office 212-417-8247empiream.comAs filed on Form ADV
- Regulatory AUM
- $706M
- Rank among wealth managers
- #2,126 of 8,915
- Rank among all SEC RIAs
- #6,515 of 17,210
- Rank in New Jersey
- #138 of 392
- Individual clients
- 982
- High-net-worth clients
- 733
- Accounts
- 983
- Discretionary
- 96% of AUM
- Employees
- 12
- Advisory staff
- 10
- Offices
- 1
Owners and executives on its Form ADV
- Lauren M. BanjanyChief Operating Officer
- Gregg L. ZeoliManaging Member/chief Compliance Officer
- Anthony V ManoryChief Investment Officer
Custody and brokerage
Broker-dealer
Hybrid RIA
Empire Financial Management Company, LLC is a hybrid RIA: 12 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Empire Asset Management Company.
- Empire Asset Management Company ↗CRD 143007
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Its Form ADV brochure (filed May 2026) names Empire Asset Management Company as the broker-dealer its advisers are registered with.
The Firm’s managing member, Gregg Zeoli (the “Managing Member”) is also a registered representative with Empire Asset Management Company (CRD# 143007) (the “BD”), a FINRA member firm and SEC registered broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 733 | $649M | 92% |
| Individuals | 249 | $31M | 4% |
| Other investment advisers | 1 | $26M | 4% |
Private funds
Empire Financial Management Company, LLC reports 1 private funds with $25M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Empire Financial Management Company, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Selecting other advisers
- Periodicals or newsletters
How it’s paid
- A percentage of assets under management
- Commissions
Form ADV and brochures on the SEC’s adviser search ↗empiream.com ↗
AtlasMembers
The full record on Empire Financial Management Company, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 4,477 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 3Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Empire Financial Management Company, LLC manage?
Empire Financial Management Company, LLC reports $706 million in regulatory assets under management across 983 accounts, 96% of it on a discretionary basis, on its Form ADV filed September 28, 2026.
What kind of firm is Empire Financial Management Company, LLC?
Empire Financial Management Company, LLC is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Empire Financial Management Company, LLC’s clients?
By assets, its largest client types are high-net-worth individuals ($649 million, 733 clients); individuals ($31 million, 249 clients); other investment advisers ($26 million, 1 clients).
Does Empire Financial Management Company, LLC manage private funds?
Yes. It reports 1 private funds with $25 million in gross assets, including hedge funds.
Does Empire Financial Management Company, LLC have any disciplinary history?
Empire Financial Management Company, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Empire Financial Management Company, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-09-28), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →