DFX Intelligence

Data Factory

RIA / WealthAdvisor45 years in industry

Warren Francis Mulhern

Advisor at EMPIRICAL ASSET MANAGEMENT, LLC

WELLESLEY, MA

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:7c32c376-344b-407a-454f-fac43efbcd02

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: May 26, 2000 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 ASSET MANAGEMENT, LLC
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 23, 1981earliest registration or exam on IAPD
Years in industry: 45derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Jun 23, 1981
First registration: May 26, 2000
Dual registered: no
Other names: WARREN FRANCIS MULHERN|Warren Mulhern
IAPD individual key: 731918

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 ASSET MANAGEMENT, LLC	Independent wealth	May 18, 2021	n/a	yes	WELLESLEY, MA	Current employment
ARS INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Jul 7, 2016	Feb 3, 2017	no	NEEDHAM, MA	Previous registration
ARS INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Oct 1, 2015	Jan 4, 2016	no	NEEDHAM, MA	Previous registration
DOLAN CAPITAL GROUP, LLC	n/a	Jun 20, 2011	Feb 3, 2017	no	NEEDHAM, MA	Previous registration
ICON ADVISERS, INC.	Other adviser	Apr 19, 2007	Oct 24, 2008	no	GREENWOOD VILLAGE, CO	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 8, 2006	Apr 6, 2006	no	NEW YORK, NY	Previous registration
ADVEST, INC.	n/a	May 26, 2000	Mar 8, 2006	no	HARTFORD, CT	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
DOLAN CAPITAL GROUP, LLC	ARS INVESTMENT MANAGEMENT, LLC	Feb 3, 2017	Oct 1, 2015	-491	Firm change after gap	Other
ARS INVESTMENT MANAGEMENT, LLC	EMPIRICAL ASSET MANAGEMENT, LLC	Feb 3, 2017	May 18, 2021	1,565	Firm change after gap	Other
ICON ADVISERS, INC.	DOLAN CAPITAL GROUP, LLC	Oct 24, 2008	Jun 20, 2011	969	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	ICON ADVISERS, INC.	Apr 6, 2006	Apr 19, 2007	378	Firm change	Other
ADVEST, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 8, 2006	Mar 8, 2006	0	Bulk transfer	Other

Relationships

Registered with (6)

→ EMPIRICAL ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
May 18, 2021 to presentfactForm ADV
→ DOLAN CAPITAL GROUP, LLCRegistered adviserregistration: previous registration
Jun 20, 2011 to Feb 3, 2017factForm ADV
→ ARS INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 7, 2016 to Feb 3, 2017factForm ADV
→ ICON ADVISERS, INC.Registered adviserregistration: previous registration
Apr 19, 2007 to Oct 24, 2008factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 8, 2006 to Apr 6, 2006factForm ADV
→ ADVEST, INC.Registered adviserregistration: previous registration
May 26, 2000 to Mar 8, 2006factForm ADV

Dated events

No dated event names this entity yet.