Firm profile

Empire Financial Management Company, LLC

HOLMDEL, NJCRD 146097Registration Status: ApprovedEffective since November 19, 2015SEC # 801-106958Latest ADV September 28, 2026

Empire Financial Management Company, LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Holmdel, NJ. Its latest Form ADV filing, dated September 28, 2026, reports $706M in regulatory assets under management, 12 employees, 1 office, and 983 accounts.

Assets Under Management
$706M
Employees
12
Offices
1 office
Total Clients
983

Associated firm names

1 name listed
  • EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Leadership

3 roles identified
CCOGregg L. Zeoli
COOLauren M. Banjany
CIOAnthony Manory V

Advisory services offered

4 types reported
Financial Planning Services
Portfolio management for individuals and small businesses
Publication of periodicals or newsletters

Fee models offered

2 types reported
Asset based fees
Commissions

Offices & Contact

Primary office

HOLMDEL, New Jersey, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

New Jersey

HOLMDELPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$706Mas of September 28, 2026
Discretionary95.6%
$675M
96% of total RAUM95.6%
Non-discretionary4.4%
$31M
4% of total RAUM4.4%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentHNWI represent 74.6% of total clients.
Top client categories% of clientsClients
1
HNWI
74.6%
733
2
Individuals
25.3%
249
3
Other Advisers
0.1%
1

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$706M
Total Accounts983
10Y AUM Change+$521M (+281.8%)

Private Funds

Private funds reported by Empire Financial Management Company, LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees12
Clients per Employee82:1
10Y Employee Change0 (0.0%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
EMPIRE INVESTMENT GROUP HOLDINGS LLCDirect owner · Schedule AInterest in EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
75%+
GREGG LANCE ZEOLIDirect owner · Schedule AInterest in EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC
< 5%
EMPIRE ASSET MANAGEMENT OF NYIndirect owner · Schedule BInterest in EMPIRE INVESTMENT GROUP HOLDINGS LLC
75%+
GREGG LANCE ZEOLIIndirect owner · Schedule BInterest in EMPIRE ASSET MANAGEMENT OF NY
50% to < 75%

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Empire Financial Management Company, LLC.

Reported ownership and control details

Form ADV · Filing date 2026-09-28 · Schedules A and B

6 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1GREGG LANCE ZEOLIMANAGING MEMBER/CHIEF COMPLIANCE OFFICERIndividualEMPIRE FINANCIAL MANAGEMENT COMPANY, LLCLess than 5%Code NAYesMANAGING MEMBER/CHIEF COMPLIANCE OFFICER12/2007Schedule APDF page 25
2EMPIRE INVESTMENT GROUP HOLDINGS LLCOWNERDomestic entityEMPIRE FINANCIAL MANAGEMENT COMPANY, LLC75% or moreCode EYesOWNER11/2006Schedule APDF page 26
3ANTHONY V MANORYCHIEF INVESTMENT OFFICERIndividualEMPIRE FINANCIAL MANAGEMENT COMPANY, LLCLess than 5%Code NANoCHIEF INVESTMENT OFFICER01/2018Schedule APDF page 26
4LAUREN MARIE BANJANYCHIEF OPERATING OFFICERIndividualEMPIRE FINANCIAL MANAGEMENT COMPANY, LLCLess than 5%Code NAYesCHIEF OPERATING OFFICER01/2020Schedule APDF page 26
5EMPIRE ASSET MANAGEMENT OF NYSOLE MEMBER/MANAGERDomestic entityEMPIRE INVESTMENT GROUP HOLDINGS LLC75% or moreCode EYesSOLE MEMBER/MANAGER03/2003Schedule BPDF page 26
6GREGG LANCE ZEOLISHAREHOLDERIndividualEMPIRE ASSET MANAGEMENT OF NY50% to less than 75%Code DYesSHAREHOLDER03/2003Schedule BPDF page 26

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 9/14/2026 11:48:58 AM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.