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RIA / WealthAdvisor17 years in industry

SIMON JOSHUA LIU

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA

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:a8d37bdc-88f6-345d-51e7-6d19c9d400ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 1
Observed: Mar 2, 2009 to Sep 14, 2026

Across DFX

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

Venture Capitalidentity

Simon Joshua Liu

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: Feb 27, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 1
Exams: S65
First exam: Feb 27, 2009
First registration: Mar 2, 2009
Dual registered: no
IAPD individual key: 5635019

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
EMPIRICAL WEALTH MANAGEMENT, LLC	Former SEC adviser	Mar 2, 2009	Nov 19, 2010	no	PORTLAND, OR	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	EMPIRICAL WEALTH MANAGEMENT	Nov 19, 2010	Jul 27, 2010	-115	Channel change	Other

Relationships

Registered with (3)

→ 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
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:a8d37bdc-88f6-345d-51e7-6d19c9d400ec
First observed: Mar 2, 2009
Last observed: Sep 14, 2026 7 days ago
Source families: Federal regulator filings
1 registered feed 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.

SIMON JOSHUA LIU

Advisor at EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA

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:a8d37bdc-88f6-345d-51e7-6d19c9d400ec

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

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

SEATTLE, WA

Previous registration

EMPIRICAL WEALTH MANAGEMENT, LLC

Former SEC adviser

Mar 2, 2009

Nov 19, 2010

PORTLAND, OR

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

DIRECTIONAL FINANCIAL SERVICES

n/a

Dec 15, 2017

n/a

Departure no registered destination

Departure

EMPIRICAL WEALTH MANAGEMENT, LLC

EMPIRICAL WEALTH MANAGEMENT

Nov 19, 2010

Jul 27, 2010

-115

Channel change

Other