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RIA / WealthAdvisorCertified Financial Planner10 years in industry

Yisha Wang

Advisor at EMPIRICAL WEALTH MANAGEMENT

WALNUT CREEK, CA | SEATTLE, WA

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Search this name across graphsid dfx:ria:8eb635f1-c411-d8bc-4651-3bb592a892aa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 1, 2019 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: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Mar 30, 2019
First registration: Apr 1, 2019
Dual registered: no
IAPD individual key: 6442222

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	Jun 24, 2024	n/a	yes	SEATTLE, WA\|WALNUT CREEK, CA	Current employment
Mariner	Bd affiliated wealth	Jun 3, 2022	Jun 28, 2024	no	DANVILLE, CA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jul 2, 2019	Jun 3, 2022	no	LOS ANGELES, CA\|LOS ANGELES, CA	Previous registration
AMI ASSET MANAGEMENT CORP	Independent wealth	Apr 1, 2019	May 23, 2019	no	LOS ANGELES, 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
Mariner	EMPIRICAL WEALTH MANAGEMENT	Jun 28, 2024	Jun 24, 2024	-4	Firm change	Ibd to RIA
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Mariner	Jun 3, 2022	Jun 3, 2022	0	Firm change	Other
AMI ASSET MANAGEMENT CORP	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	May 23, 2019	Jul 2, 2019	40	Firm change	Other

Relationships

Registered with (4)

→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserregistration: current employment
Jun 24, 2024 to presentfactForm ADV
→ MARINERRegistered adviserregistration: previous registration
Jun 3, 2022 to Jun 28, 2024factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jul 2, 2019 to Jun 3, 2022factForm ADV
→ AMI ASSET MANAGEMENT CORPRegistered adviserregistration: previous registration
Apr 1, 2019 to May 23, 2019factForm ADV

Dated events

Occurred
Jun 28, 2024
Advisor changed firm
Yisha Wang left Mariner for Empirical Wealth Management (registered 2024-06-24)
Form ADVobserved 5 days ago
Occurred
Jun 3, 2022
Advisor changed firm
Yisha Wang left Northwestern Mutual Investment Services,Llc for Mariner (registered 2022-06-03)
Form ADVobserved 5 days ago