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RIA / WealthAdvisorCertified Financial Planner25 years in industry

ETHAN ANDREW BROGA

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 1
Observed: Mar 16, 2001 to Sep 14, 2026

Across DFX

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

Venture Capitalidentity

Ethan Andrew Broga

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: Jan 8, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 3
Designations: Certified Financial Planner
Exams: S66
First exam: Jan 8, 2001
First registration: Mar 16, 2001
Dual registered: no
IAPD individual key: 4272080

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	Jul 27, 2010	n/a	yes	SEATTLE, WA	Current employment
DIRECTIONAL FINANCIAL SERVICES	Independent wealth	Oct 3, 2015	Dec 15, 2017	no	SEATTLE, WA	Previous registration
DIRECTIONAL FINANCIAL SERVICES	n/a	Apr 13, 2007	Apr 22, 2009	no	SEATTLE, WA	Previous registration
EMPIRICAL WEALTH MANAGEMENT, LLC	Former SEC adviser	Nov 7, 2006	Nov 19, 2010	no	PORTLAND, OR	Previous registration
CHINOOK CAPITAL MANAGEMENT LLC	Former SEC adviser	Nov 7, 2003	Jul 7, 2006	no	SEATTLE, WA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Mar 16, 2001	Oct 22, 2003	no	LYNNWOOD, 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	n/a	Dec 15, 2017	n/a	n/a	Departure no registered destination	Departure
EMPIRICAL WEALTH MANAGEMENT, LLC	DIRECTIONAL FINANCIAL SERVICES	Nov 19, 2010	Apr 13, 2007	-1,316	Firm change after gap	Other
DIRECTIONAL FINANCIAL SERVICES	EMPIRICAL WEALTH MANAGEMENT	Apr 22, 2009	Jul 27, 2010	461	Firm change after gap	Other
CHINOOK CAPITAL MANAGEMENT LLC	EMPIRICAL WEALTH MANAGEMENT, LLC	Jul 7, 2006	Nov 7, 2006	123	Firm change	Other
CHARLES SCHWAB & CO., INC.	CHINOOK CAPITAL MANAGEMENT LLC	Oct 22, 2003	Nov 7, 2003	16	Firm change	Other

Relationships

Registered with (6)

→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: current employment
Jul 27, 2010 to presentfactForm ADV
→ DIRECTIONAL FINANCIAL SERVICESRegistered adviserregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
→ EMPIRICAL WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 7, 2006 to Nov 19, 2010factForm ADV
→ DIRECTIONAL FINANCIAL SERVICESRegistered adviserregistration: previous registration
Apr 13, 2007 to Apr 22, 2009factForm ADV
→ CHINOOK CAPITAL MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 7, 2003 to Jul 7, 2006factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Mar 16, 2001 to Oct 22, 2003factForm ADV

Dated events

No dated event names this entity yet.