Investment adviser · CRD 148180

EMPERY ASSET MANAGEMENT, LP

Investment adviser filing (IA)

NEW YORK CITY, NY, United States · Form ADV filed Mar 31, 2026

Regulatory AUM: $262M
Client accounts: 6
Employees: 6
Advisory professionals: 3

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	6	$262,490,754	100.0%

Filing source

Form ADV 2072927 · Mar 31, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

8 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

EMPERY ASSET MASTER, LTDHedge Fund · Last reported Mar 31, 2026$140MGross asset value

Feeder funds

Fund administrator OPUS FUND SERVICES (BERMUDA) LTD. HAMILTON, Bermuda Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor RSM US LLP NEW YORK, New York, United States

Custodian AXOS CLEARING LLC OMAHA, Nebraska, United States Related to adviser: No

Custodian CLEAR STREET LLC NEW YORK, New York, United States Related to adviser: No

Custodian J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States Related to adviser: No

Custodian NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States Related to adviser: No

Custodian NORTHBROOK BANK & TRUST NORTHBROOK, Illinois, United States Related to adviser: No

Custodian RBC CAPITAL MARKETS, LLC NEW YORK, New York, United States Related to adviser: No

Prime broker CLEAR STREET LLC NEW YORK, New York, United States

Prime broker J.P. MORGAN SECURITIES LLC NEW YORK, New York, United States

Prime broker NATIONAL FINANCIAL SERVICES LLC BOSTON, Massachusetts, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

RSM US LLP
PCAOB 49

AXOS CLEARING LLC
SEC 8-53595

CLEAR STREET LLC
SEC 8-69972

J.P. MORGAN SECURITIES LLC
SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
SEC 8-26740

NORTHBROOK BANK & TRUST
LEI CLHA5EVJO4FMZ2WOBV70

RBC CAPITAL MARKETS, LLC
SEC 8-45411

CLEAR STREET LLC
CRD 288933 · SEC 8-69972

J.P. MORGAN SECURITIES LLC
CRD 79 · SEC 8-35008

NATIONAL FINANCIAL SERVICES LLC
CRD 13041 · SEC 8-26740

Fund details & source

Fund ID: 805-7838182914
Reported beneficial owners: 50
Minimum commitment: $1M
Form D file number: 021-197717
Form D file number: 021-216938

Form ADV 2072927 · Mar 31, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

EMPERY TAX EFFICIENT III, LPHedge Fund · Last reported Mar 31, 2026$77.9MGross asset value

Form D fundraising filings

Empery Tax Efficient III, LP