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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

EMPIRICAL WEALTH MANAGEMENT, LLC

CRD 140103

PORTLAND, OR

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:548ce078-e5d5-3b4b-a15d-14674e3de5ff

Data as of Dec 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Dec 5, 2011 to Dec 21, 2012
5 observations

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $198MItem 5.F on the latest filing (2012-12-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $188M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 3
Accounts: 743
SEC number: 801-66642
CRD: 140103
Filings on the tape: 5
First filed: Dec 5, 2011
Latest filed: Dec 21, 2012
Organised: Limited Liability Company, Oregon

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
EMPIRICAL WEALTH MANAGEMENT	EMPIRICAL FINANCIAL SERVICES LLC	D	yes	12/2012	Dec 21, 2012	Dec 21, 2012
MONTEITH, JACK, DONALD	President	C	yes	10/2006	Dec 5, 2011	Dec 21, 2012
CONTRERAS, SHANNON, MARIE	CHIEF COMPLIANCE OFFICER	Na	no	12/2012	Dec 21, 2012	Dec 21, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JACK MONTEITH	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Eugene	Or	United States	n/a	no
Seattle	Wa	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 28, 2012	$182M	$174M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$198M	n/a	n/a	n/a	n/a	6	n/a	n/a	n/a

Relationships

Controls (2)

← EMPIRICAL WEALTH MANAGEMENTOwnerEMPIRICAL FINANCIAL SERVICES LLC, ownership code D, domestic entity
Dec 21, 2012 to presentfactForm ADV
← MONTEITH, JACK, DONALDOwnerPRESIDENT, ownership code C, individual
Dec 5, 2011 to presentfactForm ADV

Owns (1)

← CONTRERAS, SHANNON, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 21, 2012 to presentfactForm ADV

Registered with (7)

← JACK DONALD MONTEITHAdvisorregistration: previous registration
Jul 12, 2006 to Jan 2, 2013factForm ADV
← JEANNIE ESTHER MATZAAdvisorregistration: previous registration
Oct 24, 2012 to Jan 2, 2013factForm ADV
← KENNETH ROBERT SMITHAdvisorregistration: previous registration
Jul 12, 2006 to Dec 31, 2010factForm ADV
← MICHAEL SCOTT VAN SANTAdvisorregistration: previous registration
Mar 26, 2007 to Nov 19, 2010factForm ADV
← ETHAN ANDREW BROGAAdvisorregistration: previous registration
Nov 7, 2006 to Nov 19, 2010factForm ADV
← SHAN ZUBAIRAdvisorregistration: previous registration
Mar 31, 2009 to Nov 19, 2010factForm ADV
← SIMON JOSHUA LIUAdvisorregistration: previous registration
Mar 2, 2009 to Nov 19, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:548ce078-e5d5-3b4b-a15d-14674e3de5ff
First observed: Dec 5, 2011
Last observed: Dec 21, 2012 167 months ago
Source families: Federal regulator filings
3 registered feeds 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.

EMPIRICAL WEALTH MANAGEMENT, LLC

CRD 140103

PORTLAND, OR

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:548ce078-e5d5-3b4b-a15d-14674e3de5ff

Data as of Dec 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:15 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

EMPIRICAL WEALTH MANAGEMENT

EMPIRICAL FINANCIAL SERVICES LLC

yes

12/2012

Dec 21, 2012

MONTEITH, JACK, DONALD

President

yes

10/2006

Dec 5, 2011

Dec 21, 2012

CONTRERAS, SHANNON, MARIE

CHIEF COMPLIANCE OFFICER

12/2012

Dec 21, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JACK MONTEITH

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Eugene

United States

n/a

Seattle

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$182M

$174M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$198M

n/a