DFX Intelligence

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RIA / WealthAdvisor11 years in industry

JAMES ALLEN JONES

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a96c98f-cf98-c1c2-4452-63c287ea3b66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 1
Observed: Dec 21, 2016 to Sep 14, 2026

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

James Allen Jones

same person, same CRD on Schedule A · confidence 95% · family precision 100%

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: Jun 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Dec 21, 2016
First registration: Dec 21, 2016
Dual registered: no
IAPD individual key: 6699732

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 21, 2016	n/a	yes	SEATTLE, WA	Current employment
DIRECTIONAL FINANCIAL SERVICES	Independent wealth	Dec 21, 2016	Jan 17, 2018	no	SEATTLE, WA	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
DIRECTIONAL FINANCIAL SERVICES	EMPIRICAL WEALTH MANAGEMENT	Jan 17, 2018	Dec 21, 2016	-392	Firm change after gap	Other

Relationships

Registered with (2)

→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: current employment
Dec 21, 2016 to presentfactForm ADV
→ DIRECTIONAL FINANCIAL SERVICESRegistered adviserregistration: previous registration
Dec 21, 2016 to Jan 17, 2018factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a96c98f-cf98-c1c2-4452-63c287ea3b66
First observed: Dec 21, 2016
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES ALLEN JONES

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3a96c98f-cf98-c1c2-4452-63c287ea3b66

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:27 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

EMPIRICAL WEALTH MANAGEMENT

Independent wealth

Dec 21, 2016

n/a

yes

SEATTLE, WA

Current employment

DIRECTIONAL FINANCIAL SERVICES

Independent wealth

Dec 21, 2016

Jan 17, 2018

SEATTLE, WA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

DIRECTIONAL FINANCIAL SERVICES

EMPIRICAL WEALTH MANAGEMENT

Jan 17, 2018

Dec 21, 2016

-392

Firm change after gap

Other