9AT: EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Adviser Profile

As of Date	09/14/2026
Registration	SEC, Approved, 11/19/2015
Other registrations (1)	New Jersey, Terminated, 12/16/2015
ADV Location	HOLMDEL, NJ, United States
Contact Info	212 xxxxxxx
Websites

AUM^*	706,000,000 36%
of that, discretionary	675,000,000 37%
Number of Employees	12
of those in investment advisory functions	10
Private Fund GAV^*	25,000,000
Avg Account Size	718,210 51%
% High Net Worth	74.57% -6%
SMA’s	Yes
Private Funds	1 1

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Other investment advisers

Advisory Activities

- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers
- Publication of periodicals or newsletters

Compensation Arrangments

- A percentage of assets under your management
- Commissions

	Count	GAV
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Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser FIVE OCEANS ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM456.2m	#Funds-
Adviser NEW CAPITAL MANAGEMENT, LP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM533.5m	#Funds-
Adviser VAN CLEEF ASSET MANAGEMENT INC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.2b	#Funds-
Adviser ROBINSON VALUE MANAGEMENT, LTD.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM202.3m	#Funds-
Adviser ERVIN INVESTMENT MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM269.9m	#Funds-
Adviser FINSYM PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM188.0m	#Funds-
Adviser ORION INVESTMENT CO	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM515.4m	#Funds-
Adviser PEAK FINANCIAL ADVISORS	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM268.8m	#Funds-
Adviser GREAT PATH PLANNING	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM167.2m	#Funds-
Adviser ELMWOOD WEALTH MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM477.9m	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker26922A321	Stock NameETF SERIES SOLUTIONS	$ Position$15,493,308	% Position6.00%	$ Change4.00%	# Change1.00%
Stck Ticker46625H100	Stock NameJPMORGAN CHASE & CO	$ Position$8,782,647	% Position3.00%	$ Change-24.00%	# Change-32.00%
Stck Ticker02072L417	Stock NameEA SER TR	$ Position$6,473,390	% Position3.00%	$ Change7.00%	# Change3.00%
Stck Ticker00287Y109	Stock NameABBVIE INC	$ Position$6,347,076	% Position3.00%	$ Change-1.00%	# Change-14.00%
Stck Ticker025072802	Stock NameAMERICAN CENTURY ETF TRUST	$ Position$6,475,067	% Position3.00%	$ Change7.00%	# Change4.00%
Stck Ticker53700T827	Stock NameLITMAN GREGORY FUNDS TRUST	$ Position$6,611,960	% Position3.00%	$ Change3.00%	# Change1.00%
Stck Ticker47804J842	Stock NameJOHN HANCOCK EXCHANGE TRADED	$ Position$3,959,866	% Position2.00%	$ Change13.00%	# Change0.00%
Stck Ticker69374H436	Stock NamePACER FUNDS TRUST	$ Position$5,858,342	% Position2.00%	$ Change15.00%	# Change2.00%
Stck Ticker69374H709	Stock NamePACER FDS TR	$ Position$4,871,526	% Position2.00%	$ Change-6.00%	# Change1.00%
Stck Ticker67066G104	Stock NameNVIDIA CORP	$ Position$3,826,043	% Position2.00%	$ Change13.00%	# Change-1.00%

Brochure Summary

Overview

(A) Operational and Organizational Information: Empire Financial Management Company, LLC (the “Firm”) is a registered with the SEC as an investment adviser. 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. The BD is owned by Empire Investment Group Holdings LLC, which is controlled by Empire Asset Management, o f N Y Ltd. Advisory account assets may also be held with RBC Capital Markets, LLC (“RBC”), the custodian broker for BD and orders may be introduced through BD to RBC. As stated on the cover page of this brochure, registration as an investment adviser does not imply a level of skill or training. The Firm has been in business since January 2008. (B) Types of Advisory Services Offered: The Firm offers a professional and flexible asset management program to separate account clients (“Clients”), which may involve discretionary and/or non-discretionary advice (“Services”). The terms of such Services are described in an investment management agreement (“IMA”) that is agreed upon between each Client and the Firm. The Firm does not hold itself out as specializing in a particular

type of advisory service. Please review the Firm’s investment guidelines, specified below under “Client Investment Guidelines and Parameters.” (C) Client Investment Guidelines and Parameters: In certain instances, upon Client request, the Firm may tailor its advisory services to the individual needs of separately managed accounts. However, a minimum of $100,000 of assets under management per account will typically be required in order for the Firm to offer Services. Clients may also impose restrictions on investing in certain securities or types of securities by specifying such restrictions in a written notice to Firm. Firm provides discretionary and/or non-discretionary investment advisory services to all fee paying Clients’ accounts. In connection with managing the investments of its Clients, such account’s investment management agreements provide investment guidelines and parameters that provide the context within which the Firm renders its investment management services, subject to such investment decisions being approved by the relevant Client. 5 {032723.DOC; 4} (D) Wrap Fee Programs: Not applicable. (E) Client Assets Under Management: (rounded to the nearest $100,000) Discretionary: $461,000,000 Non-discretionary: $24,000,000

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

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EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Private Funds Structure

Similar advisers

Top Holdings

Brochure Summary

Overview

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC

EMPIRE FINANCIAL MANAGEMENT COMPANY, LLC