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RIA / WealthAdvisorCertified Financial Planner23 years in industry

MARK BRET UMEK

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA | Portland, OR

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Search this name across graphsid dfx:ria:2cd0f978-2564-641f-b742-63b0cf61ffa2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 13, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EMPIRICAL WEALTH MANAGEMENT
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 30, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 6
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Dec 30, 2002
First registration: Sep 13, 2006
Dual registered: no
Other names: MARK B UMEK
IAPD individual key: 4593353

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMPIRICAL WEALTH MANAGEMENT	Independent wealth	Dec 11, 2019	n/a	yes	Portland, OR\|SEATTLE, WA	Current employment
FISHER INVESTMENTS	Independent wealth	Jan 23, 2015	Jun 8, 2018	no	PLANO, TX	Previous registration
CAPITAL FINANCIAL CONSULTANTS GROUP, INC.	Former SEC adviser	May 10, 2012	Dec 31, 2014	no	POWAY, CA	Previous registration
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Feb 22, 2011	Dec 31, 2014	no	SANDPOINT, ID\|SAN DIEGO, CA\|SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration
QA3 FINANCIAL LLC	n/a	Dec 9, 2008	Feb 11, 2011	no	SAN DIEGO, CA\|OMAHA, NE\|SAN DIEGO, CA	Previous registration
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 13, 2006	Dec 8, 2008	no	SAN DIEGO, CA\|SAN DIEGO, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FISHER INVESTMENTS	EMPIRICAL WEALTH MANAGEMENT	Jun 8, 2018	Dec 11, 2019	551	Firm change after gap	RIA to RIA
CAPITAL FINANCIAL CONSULTANTS GROUP, INC.	FISHER INVESTMENTS	Dec 31, 2014	Jan 23, 2015	23	Firm change	Other
INDEPENDENT FINANCIAL GROUP, LLC	CAPITAL FINANCIAL CONSULTANTS GROUP, INC.	Dec 31, 2014	May 10, 2012	-965	Firm change after gap	Other
QA3 FINANCIAL LLC	INDEPENDENT FINANCIAL GROUP, LLC	Feb 11, 2011	Feb 22, 2011	11	Firm change	Other
VOYA FINANCIAL ADVISORS, INC.	QA3 FINANCIAL LLC	Dec 8, 2008	Dec 9, 2008	1	Firm change	Other

Relationships

Registered with (6)

→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: current employment
Dec 11, 2019 to presentfactForm ADV
→ FISHER INVESTMENTSRegistered adviserregistration: previous registration
Jan 23, 2015 to Jun 8, 2018factForm ADV
→ CAPITAL FINANCIAL CONSULTANTS GROUP, INC.Registered adviserregistration: previous registration
May 10, 2012 to Dec 31, 2014factForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Feb 22, 2011 to Dec 31, 2014factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Dec 9, 2008 to Feb 11, 2011factForm ADV
→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Sep 13, 2006 to Dec 8, 2008factForm ADV

Dated events

No dated event names this entity yet.