SourcingSourcing

EMPERY ASSET MANAGEMENT, LP

B52
CRD 148180·SEC 801-121889·NEW YORK CITY, NY
AUM
$262.5M
$100M-$500M
Est. Revenue
$2.6M
@ 1% on AUM
Est. EBITDA
$787K
@ 30% margin
Est. Deal Value
$6.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
EMPERY ASSET MANAGEMENT, LP
CRD
148180
SEC file #
801-121889
EIN
383922633
DBA names
—

Economics

AUM
$262.5M
AUM band
$100M-$500M
AUM trajectory
'22'26
$571.1M → $262.5M▼ -54%
Client mix
Pooled Investment Vehicles6

Operations

Employees (total)
6
Advisory staff (per ADV)
3
Advisory staff (5-yr trend)
'22'26
4 advisors → 3 advisors▼ -25%
Primary office
NEW YORK CITY NY
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Portfolio mgmt — pooled vehicles
Fee basis
% of AUMFixed feesPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
linkedin.com/company/10090934(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
LANE, RYAN, MATTHEW
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
3
Control Persons
LANE, RYAN, MATTHEW
DIRECTOR, BRETT, STEVEN
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001597111
Edgar Registered
Yes
Edgar Filing Count
14
Edgar First Filing Date
2014-01-16
Edgar Last Filing Date
2026-01-08
Edgar Form D Count
14
Edgar Form D Offerings
2026-01-082026-01-08 · 0001597111-26-000001
2025-01-102025-01-10 · 0001597111-25-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Fidelity12
Jpmorgan12
Axos Advisor Services8
E*trade4
Edgar Addresses
Mailing
1 ROCKEFELLER PLAZASUITE 1205NEW YORK, NY 10020
Business
1 ROCKEFELLER PLAZASUITE 1205NEW YORK, NY 10020
Edgar EIN
383922633
Edgar Recent Filings
D/A2026-01-08 · 0001597111-26-000001
D/A2025-01-10 · 0001597111-25-000002
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
4560024
Trust Company Affiliate
No

People (2)

2
LANE, RYAN, MATTHEW
Direct Owner · 87.5%
4560024
DIRECTOR, BRETT, STEVEN
Executive Officer · 2.5%
7353236