Empire Financial Management Company, LLC
Registered adviserFiling Date
Global Rank
#5,754
/ 8,818
▼ 1941
Top Industry
Semiconductors
10.1%
Period ended 4 months ago
Filed Aug 14, 2026 · 3mo
14 quarters · since Mar 2023
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Registered adviser
Form ADV roster, Oct 1, 2026
Regulatory AUM
$706,000,000
Main clients
Individuals and high net worth
(96% of AUM)
Private funds
1 fund
· Hedge funds
Focus by fund count, roster of Oct 1, 2026
$25,000,000 gross assets
Form ADV history
Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.
| Rosters | Regulatory AUM | Main clients |
|---|---|---|
| Oct 2026 | $706,000,000 | Individuals and high net worth (96%) |
| Mar 2026 to Sep 2026 | $706,000,000 | Individuals and high net worth (96%) |
| Dec 2025 to Feb 2026 | $688,400,000 | Individuals and high net worth (97%) |
| Apr 2025 to Sep 2025 | $519,600,000 | Individuals and high net worth (96%) |
| May 2024 to Mar 2025 | $484,800,000 | Individuals and high net worth (100%) |
| May 2023 to Apr 2024 | $403,000,000 | Individuals and high net worth (100%) |
4 earlier changes not shown.
Portfolio style
Measured from the filed 13F common-share book for Jun 30, 2026, never from the firm's own description.
Style
Diversified active
Top 10 weight 35.1%, 44.7 effective positions, active share 74.1% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Low turnover
20.2% over the last four quarters (under 30%)
Horizon
Medium horizon
Value-weighted holding period 11.9 quarters (4 to under 12)
Closest benchmark: every 13F filer's combined book, active share 74.1%; sector active share 30.2% against the combined 13F book's sector weights.
Over time 14 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
139 tracked positions · as of Jun 30, 2026 · Δ vs Mar 31, 2026Top Position
7.9%
+3.5 pts
Top 5
23.2%
+7.4 pts
Top 10
35.1%
+8.1 pts
HHI
224
Diversified+86
Portfolio Trend
14 quarters · across all stocks
Sector Breakdown
As of Jun 30, 2026| Sector | % Portfolio | Value |
|---|---|---|
| Unclassified | 38.7% | $97,814,209 |
| Technology | 13.6% | $34,216,417 |
| Financial Services | 13.4% | $33,945,791 |
| Industrials | 8.4% | $21,218,435 |
| Healthcare | 6.8% | $17,115,192 |
| Energy | 4.5% | $11,326,134 |
| Consumer Cyclical | 3.9% | $9,865,527 |
| Communication Services | 3.6% | $8,990,536 |
| Utilities | 2.9% | $7,339,734 |
| Consumer Defensive | 2.9% | $7,290,358 |
| Real Estate | 1.3% | $3,171,882 |
| Basic Materials | 0.1% | $210,689 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| VUG | VANGUARD GROWTH INDEX FUND | +6,737 | 8,236 | $709,449 | |
| FDIV | MarketDesk Focused U.S. Dividend ETF | +6,613 | 233,205 | $6,473,304 | |
| NU | Nu Holdings Ltd. | +4,844 | 101,471 | $1,355,652 | |
| NOC | Northrop Grumman Corp | +3,685 | 4,685 | $2,386,117 | |
| IWF | iShares Russell 1000 Growth ETF | +3,492 | 4,656 | $578,135 | |
| CSHI | NEOS Enhanced Income 1-3 Month T-Bill ETF | +3,447 | 17,945 | $893,840 | |
| IDEV | iShares Core MSCI International Developed Markets ETF | +3,019 | 14,899 | $1,326,159 | |
| JMBS | Janus Henderson Mortgage-Backed Securities ETF | +2,591 | 8,262 | $371,707 | |
| NFLX | Netflix Inc | +2,553 | 26,168 | $1,868,395 | |
| QDPL | Pacer Metaurus US Large Cap Dividend Multiplier 400 ETF | +2,523 | 129,983 | $5,858,333 | |
| JHPI | John Hancock Preferred Income ETF | +2,467 | 17,563 | $398,680 | |
| AVDV | Avantis International Small Cap Value ETF | +2,383 | 62,834 | $6,475,043 | |
| DBMF | iMGP DBI Managed Futures Strategy ETF | +2,238 | 216,006 | $6,611,943 | |
| PHYS | Sprott Physical Gold Trust | +2,214 | 167,721 | $5,060,142 | |
| — | +2,071 | 258,652 | $15,493,254 | ||
| CLOA | +1,958 | 12,104 | $628,318 | ||
| — | +1,458 | 134,489 | $4,391,334 | ||
| CME | Cme Group Inc. | +1,395 | 5,727 | $1,264,693 | |
| J | Jacobs Solutions Inc. | +1,003 | 17,107 | $2,155,482 | |
| GCOW | Pacer Global Cash Cows Dividend ETF | +959 | 112,506 | $4,871,509 | |
| VTI | VANGUARD TOTAL STOCK MARKET INDEX FUND | +958 | 8,381 | $3,101,305 | |
| HGER | Harbor Commodity All-Weather Strategy ETF | +948 | 153,402 | $4,500,814 | |
| ORCL | Oracle Corp | +874 | 12,913 | $1,892,400 | |
| DFEM | Dimensional Emerging Markets Core Equity 2 ETF | +700 | 43,219 | $1,756,420 | |
| DUHP | Dimensional US High Profitability ETF | +661 | 21,570 | $900,116 | |
| No positions match the current search. | |||||
Trimmed
Positions the filer reduced
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| ET | Energy Transfer LP | −197,629 | 163,206 | $3,120,516 | |
| LIFE | Ethos Technologies Inc. | −77,200 | 25,300 | $458,942 | |
| JEPI | JPMorgan Equity Premium Income ETF | −53,586 | 13,630 | $769,822 | |
| AMZN | Amazon Com Inc | −51,884 | 6,478 | $1,543,966 | |
| HON | Honeywell International Inc | −42,296 | 5,151 | $1,153,308 | |
| AAPL | Apple Inc. | −40,938 | 13,947 | $4,035,703 | |
| THW | abrdn World Healthcare Fund | −39,150 | 24,544 | $328,889 | |
| RTX | RTX Corp | −21,695 | 22,455 | $4,260,387 | |
| MSFT | Microsoft Corp | −16,712 | 8,504 | $3,172,162 | |
| IBM | International Business Machines Corp | −13,858 | 12,112 | $3,406,015 | |
| MDT | Medtronic plc | −13,625 | 20,409 | $1,596,596 | |
| AMD | Advanced Micro Devices Inc | −13,414 | 6,788 | $3,943,217 | |
| JNJ | Johnson & Johnson | −12,749 | 2,082 | $528,765 | |
| JPM | Jpmorgan Chase & Co | −12,410 | 26,831 | $8,782,591 | |
| AXP | American Express Co | −12,348 | 739 | $249,966 | |
| LLY | ELI LILLY & Co | −12,187 | 182 | $218,296 | |
| BINC | −10,551 | 17,357 | $908,465 | ||
| COP | Conocophillips | −9,286 | 18,215 | $1,893,631 | |
| CL | Colgate Palmolive Co | −9,018 | 4,500 | $412,560 | |
| GOOGL | Alphabet Inc. | −7,975 | 17,515 | $6,259,335 | |
| CVX | Chevron Corp | −7,040 | 17,152 | $2,843,115 | |
| WMT | Walmart Inc. | −6,000 | 2,897 | $328,114 | |
| CB | Chubb Ltd | −4,847 | 8,136 | $2,772,260 | |
| HAL | Halliburton Co | −4,549 | 76,156 | $2,585,496 | |
| ABBV | AbbVie Inc. | −4,247 | 25,222 | $6,346,864 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
13 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| YORW | York Water Co | 72,366 | $2,218,017 | |
| VMRK | Vivmark Residential | 25,901 | $1,759,454 | |
| HONA | Honeywell Aerospace Inc. | 5,151 | $1,138,783 | |
| — | 42,343 | $1,038,800 | ||
| VG | Venture Global, Inc. | 79,369 | $883,376 | |
| NVT | nVent Electric plc | 1,516 | $257,128 | |
| QQQ | Invesco Qqq Trust, Series 1 | 328 | $241,539 | |
| ASML | Asml Holding NV | 115 | $228,785 | |
| VV | VANGUARD LARGE-CAP INDEX FUND | 630 | $216,663 | |
| PDBC | Invesco Optimum Yield Diversified Commodity Strategy No K-1 ETF | 13,426 | $213,204 | |
| LIN | Linde PLC | 406 | $210,689 | |
| UNH | Unitedhealth Group Inc | 490 | $203,658 | |
| AVRY | Avory Foundational ETF | 8,504 | $203,500 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
25 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| BA | Boeing Co | 45,856 | $9,126,719 | |
| VNDA | Vanda Pharmaceuticals Inc. | 922,245 | $6,372,712 | |
| BAC | Bank Of America Corp | 128,155 | $6,247,556 | |
| MRK | Merck & Co., Inc. | 39,960 | $4,806,788 | |
| CEG | Constellation Energy Corp | 17,118 | $4,780,201 | |
| CRM | Salesforce, Inc. | 23,825 | $4,447,412 | |
| CYRX | Cryoport, Inc. | 502,575 | $4,161,321 | |
| JEPQ | JPMorgan Nasdaq Equity Premium Income ETF | 65,345 | $3,627,954 | |
| MPLX | Mplx LP | 60,321 | $3,442,519 | |
| PEG | Public Service Enterprise Group Inc | 41,416 | $3,352,625 | |
| KRMD | KORU Medical Systems, Inc. | 703,139 | $3,037,560 | |
| KMI | Kinder Morgan, Inc. | 90,200 | $3,024,406 | |
| EXC | Exelon Corp | 56,701 | $2,779,483 | |
| XOM | ExxonMobil Holdings Corp | 16,028 | $2,719,310 | |
| ADP | Automatic Data Processing Inc | 13,031 | $2,647,638 | |
| QTRX | Quanterix Corp | 736,068 | $2,590,959 | |
| ABT | Abbott Laboratories | 24,424 | $2,507,612 | |
| XBI | State Street(R) SPDR(R) S&P(R) Biotech ETF | 19,125 | $2,442,836 | |
| KO | Coca Cola Co | 27,785 | $2,113,049 | |
| NEE | Nextera Energy Inc | 21,243 | $1,973,049 | |
| DPZ | Dominos Pizza Inc | 5,267 | $1,889,746 | |
| V | Visa Inc. | 6,226 | $1,881,746 | |
| UBER | Uber Technologies, Inc | 24,494 | $1,761,853 | |
| PEP | Pepsico Inc | 11,341 | $1,761,143 | |
| PFE | Pfizer Inc | 57,831 | $1,623,894 | |
| No positions match the current search. | ||||
139 tracked positions ·
$252,504,904 total
· filing declares
139 positions · $252,510,505
· as of Jun 30, 2026
All sectors
Basic Materials
Communication Services
Consumer Cyclical
Consumer Defensive
Energy
Financial Services
Healthcare
Industrials
Real Estate
Technology
Utilities
Showing 1–50
of 139 positions by value
· page 1 of 3
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
|
|
Added | 258,652 | $15,493,254 | 6.14% | ||
| JPM |
Jpmorgan Chase & Co
Financial Services
|
Reduced | 26,831 | $8,782,591 | 3.48% | |
| DBMF |
iMGP DBI Managed Futures Strategy ETF
|
Added | 216,006 | $6,611,943 | 2.62% | |
| AVDV |
Avantis International Small Cap Value ETF
|
Added | 62,834 | $6,475,043 | 2.56% | |
| FDIV |
MarketDesk Focused U.S. Dividend ETF
|
Added | 233,205 | $6,473,304 | 2.56% | |
| ABBV |
AbbVie Inc.
Healthcare
|
Reduced | 25,222 | $6,346,864 | 2.51% | |
| GOOGL |
Alphabet Inc.
Communication Services
|
Reduced | 17,515 | $6,259,335 | 2.48% | |
| QDPL |
Pacer Metaurus US Large Cap Dividend Multiplier 400 ETF
|
Added | 129,983 | $5,858,333 | 2.32% | |
| HD |
Home Depot, Inc.
Consumer Cyclical
|
Added | 14,632 | $5,160,413 | 2.04% | |
| PHYS |
Sprott Physical Gold Trust
Financial Services
|
Added | 167,721 | $5,060,142 | 2.00% | |
| AVGO |
Broadcom Inc.
Technology
|
Reduced | 13,345 | $5,041,073 | 2.00% | |
| GCOW |
Pacer Global Cash Cows Dividend ETF
|
Added | 112,506 | $4,871,509 | 1.93% | |
| HGER |
Harbor Commodity All-Weather Strategy ETF
|
Added | 153,402 | $4,500,814 | 1.78% | |
|
|
Added | 134,489 | $4,391,334 | 1.74% | ||
| RTX |
RTX Corp
Industrials
|
Reduced | 22,455 | $4,260,387 | 1.69% | |
| TRV |
Travelers Companies, Inc.
Financial Services
|
Reduced | 12,433 | $4,104,381 | 1.63% | |
| AAPL |
Apple Inc.
Technology
|
Reduced | 13,947 | $4,035,703 | 1.60% | |
| JHSC |
John Hancock Multifactor Small Cap ETF
|
Reduced | 81,545 | $3,959,825 | 1.57% | |
| AMD |
Advanced Micro Devices Inc
Technology
|
Reduced | 6,788 | $3,943,217 | 1.56% | |
| NVDA |
Nvidia Corp
Technology
|
Reduced | 19,121 | $3,825,920 | 1.52% | |
| AMGN |
Amgen Inc
Healthcare
|
Added | 10,453 | $3,785,240 | 1.50% | |
| GS |
Goldman Sachs Group Inc
Financial Services
|
Reduced | 3,712 | $3,754,205 | 1.49% | |
| PANW |
Palo Alto Networks Inc
Technology
|
Reduced | 10,816 | $3,688,472 | 1.46% | |
| DUK |
Duke Energy CORP
Utilities
|
Reduced | 27,986 | $3,542,467 | 1.40% | |
| IBM |
International Business Machines Corp
Technology
|
Reduced | 12,112 | $3,406,015 | 1.35% | |
| MSFT |
Microsoft Corp
Technology
|
Reduced | 8,504 | $3,172,162 | 1.26% | |
| ET |
Energy Transfer LP
Energy
|
Reduced | 163,206 | $3,120,516 | 1.24% | |
| VTI |
VANGUARD TOTAL STOCK MARKET INDEX FUND
|
Added | 8,381 | $3,101,305 | 1.23% | |
| NSC |
Norfolk Southern Corp
Industrials
|
Added | 9,621 | $3,026,670 | 1.20% | |
| HSY |
Hershey Co
Consumer Defensive
|
Reduced | 16,219 | $2,845,623 | 1.13% | |
| CVX |
Chevron Corp
Energy
|
Reduced | 17,152 | $2,843,115 | 1.13% | |
| QCOM |
Qualcomm Inc
Technology
|
Reduced | 15,058 | $2,782,567 | 1.10% | |
| CB |
Chubb Ltd
Financial Services
|
Reduced | 8,136 | $2,772,260 | 1.10% | |
| PG |
PROCTER & GAMBLE Co
Consumer Defensive
|
Reduced | 18,571 | $2,723,251 | 1.08% | |
| HAL |
Halliburton Co
Energy
|
Reduced | 76,156 | $2,585,496 | 1.02% | |
| NVS |
Novartis AG
Healthcare
|
Added | 16,106 | $2,524,132 | 1.00% | |
| NOC |
Northrop Grumman Corp
Industrials
|
Added | 4,685 | $2,386,117 | 0.94% | |
| YORW |
York Water Co
Utilities
|
NEW | 72,366 | $2,218,017 | 0.88% | |
| BRK-B |
Berkshire Hathaway Inc
Financial Services
|
Reduced | 4,426 | $2,214,726 | 0.88% | |
| J |
Jacobs Solutions Inc.
Industrials
|
Added | 17,107 | $2,155,482 | 0.85% | |
| AZO |
Autozone Inc
Consumer Cyclical
|
Added | 648 | $2,070,969 | 0.82% | |
| EMR |
Emerson Electric Co
Industrials
|
Added | 13,972 | $2,000,091 | 0.79% | |
| COP |
Conocophillips
Energy
|
Reduced | 18,215 | $1,893,631 | 0.75% | |
| ORCL |
Oracle Corp
Technology
|
Added | 12,913 | $1,892,400 | 0.75% | |
| NFLX |
Netflix Inc
Communication Services
|
Added | 26,168 | $1,868,395 | 0.74% | |
| VMRK |
Vivmark Residential
Real Estate
|
NEW | 25,901 | $1,759,454 | 0.70% | |
| DFEM |
Dimensional Emerging Markets Core Equity 2 ETF
|
Added | 43,219 | $1,756,420 | 0.70% | |
| PAYX |
Paychex Inc
Technology
|
Added | 17,575 | $1,728,149 | 0.68% | |
| WRB |
Berkley W R Corp
Financial Services
|
Added | 23,968 | $1,690,463 | 0.67% | |
| GOAU |
U.S. Global GO GOLD and Precious Metal Miners ETF
|
Added | 44,845 | $1,667,785 | 0.66% |
Showing the top 50 of 139 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.