Empeiria Capital Management, LLC

CRD#285463
Investment Advisor Firm

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Overview

Empeiria Capital Management, LLC operates as a financial advisor firm headquartered in Cincinnati, Ohio. The company controls $310.0 million in assets under management across 17 client accounts, placing it in the mid-tier of firms in the nation by assets under management (AUM). It has a small group, including 3 financial advisors. Empeiria Capital Management, LLC is not a registered broker-dealer, signifying that the advisor is not able to buy and sell securities for its own accounts as well as its clients' and instead must go through a broker-dealer firm to do so. Securities are defined as exchangable fiscal assets like options, equities and bonds.

Empeiria Capital Management, LLC administers zero of its accounts on a discretionary basis. Discretionary management is a structure in which an investment advisor has the discretion to make buy and sell choices for the client's account without needing to seek the client's permission. The company also manages 17 non-discretionary accounts totaling $310.0 million in AUM. The company's average account size is $18.2 million. The average financial advisor at Empeiria Capital Management, LLC oversees about six client accounts, placing it among the more personalized firms in the country.

The company's headquarters is at 8044 Montgomery Road, Cincinnati, Ohio 45236. It is legally registered to provide services to clients in the state of Ohio.

Assets Under Management

$310.0 million

Number of Advisors

3

Disclosures

No

Office Location

8044 Montgomery Road
Cincinnati, OH 45236

Empeiria Capital Management, LLC by the Numbers

Total Assets Under Management

$310.0 million

National Average: $8.6 billion
Total Number of Employees

4

National Average: 64
Total Number of Accounts

17

National Average: 375,227
Average Account Size

$18.2 million

National Average: $23.0 thousand
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Fee Structure

Fees for financial management typically vary depending on which services the firm provides the client. However, fee types billed by the company most likely include the following fee structures: asset-based or performance-based. Empeiria Capital Management, LLC does not supply a wrap fee program, in which the company offers a bundle of services for a single fee.

Available

  • Offered by 69% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 26% of firms

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

Unavailable

  • Find one of the 21% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 1% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 0% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 32% of firms that offer this fee type

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

  • Find one of the 10% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The company provides services to high net worth investors and pooled investment vehicles. Out of its 17 clients, Empeiria Capital Management, LLC's biggest client group by number of accounts is pooled investment vehicles, but it also caters to eight high-net-worth individuals. A high-net-worth individual is defined by the SEC as a person who has at least $750,000 under management or a net worth of at least $1.50 million or who is considered a "qualified purchaser" (a standard met by having at least $5 million in investments). None of the firm's customers are from outside of the U.S.

  • High-Net-Worth Individuals* - 47.06%
  • Other Individuals - 0%
  • Corporations - 52.94%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Empeiria Capital Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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