Empire Financial Management Company, LLC logo

Empire Financial Management Company, LLC

Updated today

Client assets under management

$680,000,000

Clients

982

75% high-net worth

Advisors

11

of 12 employees

Firm type

Team

4-10 advisors or $500M+ in AUM

Clients per advisor

89

High

Average account size

$692,464

About

Empire Financial Management Company, LLC provides discretionary and non‑discretionary asset management and financial planning to a range of clients, including individual (non‑HNW and high‑net‑worth) investors, trusts, estates, corporations and other business entities. Services include separately managed accounts, the use of outside money managers and mutual funds, and periodic year‑end information to assist clients with tax reporting.

The firm’s investment process centers on a tailored asset allocation that typically includes equities, fixed income and cash equivalents but may extend to commodities, real estate, foreign currencies, high‑yield debt and derivative strategies; the brochure notes the firm may employ concentrated positions, options, short selling and, in limited cases, leverage, each of which raises specific risks. Accounts are reviewed at least quarterly and the firm maintains a code of ethics and personal trading reporting to address conflicts of interest and monitor compliance.

Distinctive features disclosed in the brochure include an affiliation with an SEC‑registered broker‑dealer through which the managing member is a registered representative and may receive commissions, and the ability to introduce orders to and custody assets with the affiliated broker‑dealer’s custodian—practices the firm identifies as potential conflicts of interest. The firm also notes it may provide services to other investment adviser clients and may use client brokerage (soft‑dollars) to obtain research and periodical subscriptions, practices that are less common among multi‑team peers.

Client services

Financial planning Portfolio management Selection of other advisers Newsletters or periodicals

Expertise

Options & derivatives strategies Concentrated stock management

Fee options

Percentage

$0+: Approximately 1.75% +: Approximately 0.5%

Commissions

Commissions received by the Managing Member from the affiliated broker-dealer for certain securities sales; commission rates are negotiated and vary.

Performance-based

May charge performance-based fees as disclosed in Item 6.

Other

Account minimum: $150,000

Main office location

Empire Financial Management Company, LLC

29 Broadway, 12 Th Floor

New York NY 10006, United States

Number of offices

1

Most active in

Arizona · Arkansas · California · Colorado · Connecticut · Delaware · Florida · Georgia · Hawaii · Illinois · Indiana · Louisiana · Maryland · Massachusetts · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

Advisors at this firm

user avatar

Ronald C

Series 66

New York, NY

Empire Financial Management Company, LLC

Ronald Ciancimino is a financial advisor at Empire Financial Management Company, LLC in New York, NY, holding a Series 66 designation with 12 years of industry experience. He has been with Empire Asset Management Company since 2013. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities. The firm’s investment approach includes client-specific asset allocation across various asset classes and strategies, with services tailored to client objectives and constraints.

Options & derivatives strategies Concentrated stock management
user avatar

Carl B

Series 63

New York, NY

Empire Financial Management Company, LLC

Carl Basile is a financial advisor with Empire Financial Management Company, LLC in New York, NY, holding a Series 63 designation and 32 years of industry experience. He has been with Empire Financial Management and Empire Asset Management since 2016 and previously worked at Bishop, Rosen & Co. Inc from 2011 to 2016. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities. The firm typically manages separately managed accounts tailored to client objectives, employing a range of investment strategies that may include equities, fixed income, commodities, and derivatives.

Options & derivatives strategies Concentrated stock management
user avatar

Vadim M

Series 63

New York, NY

Empire Financial Management Company, LLC

Vadim Mostovoy is a financial advisor at Empire Financial Management Company, LLC with 32 years of industry experience. He has held positions at Empire Asset Management Company and Bishop Rosen & Co., Inc. Mr. Mostovoy is the CEO of LionHunter Capital Management, an SEC-registered investment adviser that has not yet commenced operations. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities. The firm employs a client-specific asset allocation process that may include a broad range of asset classes and strategies, including options and limited leverage.

Options & derivatives strategies Concentrated stock management
user avatar

Christopher V

Series 63, Series 65

New York, NY

Empire Financial Management Company, LLC

Christopher Vining is a financial advisor at Empire Financial Management Company, LLC in New York, NY, with 11 years of industry experience. He holds Series 63 and Series 65 licenses. Prior to joining Empire Financial Management Company in 2016, he worked at Bishop Rosen & Co Inc and was involved with New World Bistro Bar from 2014 to 2020. Empire Financial Management Company provides discretionary and non-discretionary portfolio management to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities. The firm’s investment approach includes client-specific asset allocation across multiple asset classes and strategies, using separately managed accounts tailored to client objectives.

Options & derivatives strategies Concentrated stock management
user avatar

Christopher H

CFP®, CFA®, Series 63, Series 65

New York, NY

Empire Financial Management Company, LLC

Christopher Hamilton is a CFP® and CFA® with 26 years of industry experience. He is currently with Empire Financial Management Company, LLC and Empire Asset Management Company, LLC, having previously worked at R F Lafferty & Co Inc. and Kern, Suslow Securities, Inc. He is based in New York, NY. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individuals, high-net-worth clients, trusts, estates, corporations, and other business entities. The firm offers tailored investment strategies that include a range of asset classes and may involve concentrated positions, options, short selling, and limited leverage.

Options & derivatives strategies Concentrated stock management
user avatar

Eugene S

Series 63

New York, NY

Empire Financial Management Company, LLC

Eugene Singer is a financial advisor at Empire Financial Management Company, LLC in New York, NY, with 39 years of industry experience. He holds the Series 63 designation and has been with Empire Financial Management Company and Empire Asset Management Company since 2015. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities. The firm employs a client-specific asset allocation process and uses a range of investment strategies, including equities, fixed income, commodities, and derivatives.

Options & derivatives strategies Concentrated stock management
user avatar

Gregg Z

Series 63, Series 65

New York, NY

Empire Financial Management Company, LLC

Gregg Zeoli is a financial advisor at Empire Financial Management Company, LLC in New York, NY, with 30 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Empire Asset Management Company since 2007. Zeoli serves on the Board of Directors of Bidtellect and dedicates approximately 10 hours per month to this role without compensation. Empire Financial Management Company provides discretionary and non-discretionary portfolio management to individuals, high-net-worth clients, trusts, estates, corporations, and other business entities, typically through separately managed accounts. The firm’s investment approach includes client-specific asset allocation across multiple asset classes and strategies that may involve options, short selling, and limited leverage.

Options & derivatives strategies Concentrated stock management
user avatar

Anthony M

Series 63, Series 66

New York, NY

Empire Financial Management Company, LLC

Anthony Manory is a financial advisor with Empire Financial Management Company, LLC, holding Series 63 and Series 66 designations and bringing 30 years of industry experience. He has been with Empire Asset Management Company, LLC since 2015. Outside of his advisory role, he participates in educational activities at Boston University College of General Studies without compensation. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities. The firm employs a client-specific asset allocation approach with a broad range of investment strategies and typically manages accounts through separately managed agreements.

Options & derivatives strategies Concentrated stock management
user avatar

Stephen B

Series 65, Series 66

New York, NY

Empire Financial Management Company, LLC

Stephen Bejsiuk is a financial advisor at Empire Financial Management Company, LLC with 11 years of industry experience. He holds Series 65 and Series 66 licenses and has worked at Empire Asset Management since 2019. His prior experience includes roles at Divine Capital Markets LLC, Divine Asset Management LLC, and Ivy Securities, Inc. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individuals, high-net-worth clients, trusts, estates, corporations, and other business entities. The firm’s investment process is client-specific, incorporating multiple asset classes and strategies, and it executes transactions through custodians such as RBC and Charles Schwab.

Options & derivatives strategies Concentrated stock management
user avatar

Daniel R

Series 66

New York, NY

Empire Financial Management Company, LLC

Daniel Rezhets is a financial advisor at Empire Financial Management Company, LLC in New York, NY, holding a Series 66 designation with 14 years of industry experience. He has worked at Empire Financial Management Company and Empire Asset Management Company since 2016 and previously at Bishop Rosen & Co from 2011 to 2016. Empire Financial Management Company provides discretionary and non-discretionary portfolio management services to individuals, high-net-worth clients, trusts, estates, corporations, and other business entities. The firm customizes investment strategies based on client-specific asset allocation, utilizing a range of asset classes and advanced strategies including options and short selling.

Options & derivatives strategies Concentrated stock management
user avatar

Jason M

Series 63

New York, NY

Empire Financial Management Company, LLC

Jason Muscari is a financial advisor with Empire Financial Management Company, LLC, holding a Series 63 designation and bringing 24 years of industry experience. He has been with Empire Financial Management since 2016 and also works with Empire Asset Management. Outside of his advisory role, he serves as CEO and President of JAM Planning & Consulting. Empire Financial Management Company provides portfolio management services to individual and high-net-worth clients, as well as trusts, estates, corporations, and other business entities, tailoring strategies to client objectives through separately managed accounts. The firm’s investment approach includes a wide range of asset classes and strategies, with a focus on client-specific asset allocation.

Options & derivatives strategies Concentrated stock management
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