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RIA / WealthAdvisor33 years in industry

THOMAS FRANCES ALESSI

Advisor at EMPIRICAL ASSET MANAGEMENT, LLC

NEEDHAM, MA | WELLESLEY, MA

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Search this name across graphsid dfx:ria:93ed5a36-95ec-cd9a-d292-8d36c94e9923

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Sep 6, 2002 to Sep 15, 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: Dec 16, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Dec 16, 1992
First registration: Sep 6, 2002
Dual registered: no
Other names: THOMAS FRANCIS ALESSI|THOMAS F ALESSI|THOMAS FRANCIS ALESSI
IAPD individual key: 1423385

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	Jun 28, 2022	n/a	yes	WELLESLEY, MA\|NEEDHAM, MA	Current employment
PINNACLE PRIVATE WEALTH, LLC	Former SEC adviser	Jan 24, 2018	Aug 11, 2022	no	Needham, MA\|BURLINGTON, MA	Previous registration
PLATINUM WEALTH PARTNERS	Former SEC adviser	Sep 8, 2011	Dec 31, 2017	no	TAMPA, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 5, 2009	Dec 15, 2010	no	WELLESLEY HILLS, MA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Feb 21, 2007	no	NEWTON, MA\|NEWTON, MA\|NEWTON, MA\|NEWTON, MA\|NEWTON, MA	Previous registration
QUICK & REILLY, INC.	n/a	Sep 6, 2002	Oct 20, 2004	no	NEWTON, MA	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
PINNACLE PRIVATE WEALTH, LLC	EMPIRICAL ASSET MANAGEMENT, LLC	Aug 11, 2022	Jun 28, 2022	-44	Firm change after gap	RIA to RIA
PLATINUM WEALTH PARTNERS	PINNACLE PRIVATE WEALTH, LLC	Dec 31, 2017	Jan 24, 2018	24	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PLATINUM WEALTH PARTNERS	Dec 15, 2010	Sep 8, 2011	267	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Feb 21, 2007	Jun 5, 2009	835	Firm change after gap	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (6)

→ EMPIRICAL ASSET MANAGEMENT, LLCRegistered adviserregistration: current employment
Jun 28, 2022 to presentfactForm ADV
→ PINNACLE PRIVATE WEALTH, LLCRegistered adviserregistration: previous registration
Jan 24, 2018 to Aug 11, 2022factForm ADV
→ PLATINUM WEALTH PARTNERSRegistered adviserregistration: previous registration
Sep 8, 2011 to Dec 31, 2017factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 5, 2009 to Dec 15, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Feb 21, 2007factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Sep 6, 2002 to Oct 20, 2004factForm ADV

Dated events

Occurred
Aug 11, 2022
Advisor changed firm
Thomas Frances Alessi left Pinnacle Private Wealth, Llc for Empirical Asset Management, Llc (registered 2022-06-28)
Form ADVobserved 5 days ago