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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

DIRECTIONAL FINANCIAL SERVICES

DIRECTIONAL FINANCIAL SERVICES, LLC, CRD 171903

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:fcf9306a-4fe5-45e5-4681-e67c48018012

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 11
On other graphs: 0
Observed: Jun 16, 2014 to Mar 31, 2026
23 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $11.5MItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $11.5M
Private client RAUM: $11.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $2.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 4
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 34
Individual clients: 34
High net worth clients: 0
Custody, client assets: $1.5M
SEC number: 801-79954
CRD: 171903
Filings on the tape: 23
First filed: Jun 16, 2014
Latest filed: Mar 31, 2026
Organised: Limited Liability Company, WA
Website: directionalfs.com

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
BULLER, JUSTIN, WYATT	CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Feb 10, 2021	Mar 28, 2024
EMPIRICAL WEALTH MANAGEMENT	Owner	E	yes	05/2014	Jun 16, 2014	Mar 28, 2024
SMITH, KENNETH, ROBERT	Member	D	yes	10/2010	Jun 16, 2014	Mar 28, 2024

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
EMPIRICAL FINANCIAL SERVICES, LLC	n/a	Independent wealth	$8.4B	Y	yes	n/a
EMPIRICAL INSURANCE, LLC	n/a	n/a	n/a	N	yes	n/a
EMPIRICAL PROPERTIES, LLC	n/a	n/a	n/a	Y	yes	n/a
EMPIRICAL REAL ESTATE SERVICES, INC.	n/a	n/a	n/a	Y	yes	n/a
SECURE LEGACY LAW GROUP, P.C.	n/a	n/a	n/a	N	no	n/a

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
2025	Mar 31, 2026	$11.5M	$11.5M	4	3	0	n/a	n/a
2024	Mar 27, 2025	$9.0M	$9.0M	4	3	0	n/a	n/a
2023	Mar 28, 2024	$9.3M	$9.3M	6	4	0	n/a	n/a
2022	Mar 29, 2023	$7.3M	$7.3M	7	6	3	n/a	n/a
2021	Mar 31, 2022	$8.2M	$8.2M	8	7	2	n/a	n/a
2020	Mar 31, 2021	$9.0M	$9.0M	9	8	1	n/a	n/a
2019	Mar 30, 2020	$8.9M	$8.9M	9	8	2	n/a	n/a
2018	Mar 25, 2019	$8.1M	$8.1M	8	5	1	n/a	n/a
2017	Mar 30, 2018	$7.2M	$7.2M	7	5	1	n/a	n/a
2016	Mar 29, 2017	$6.8M	$6.8M	22	19	n/a	n/a	n/a
2015	Mar 30, 2016	$7.6M	$7.6M	19	13	n/a	n/a	n/a
2014	Mar 30, 2015	$1.4M	$1.4M	1	1	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$11.5M	$9.0M	26.5%	$7.3M	16.3%	4	4	0	0

Relationships

Affiliated with (2)

← EMPIRICAL WEALTH MANAGEMENTRegistered adviserother investment adviser, control
factForm ADV
→ EMPIRICAL WEALTH MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV

Registered with (21)

← Kevin ByrdAdvisorregistration: current employment
Mar 20, 2024 to presentfactForm ADV
← JUSTIN WYATT BULLERAdvisorregistration: current employment
Jan 20, 2021 to presentfactForm ADV
← ERIK JAMES LEHRAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← JASON PHILLIP SULKOSKYAdvisorregistration: current employment
Oct 3, 2015 to presentfactForm ADV
← LINDSAY MARIE FARNSWORTHAdvisorregistration: previous registration
Jan 18, 2018 to Mar 20, 2024factForm ADV
← John Thomas MillerAdvisorregistration: previous registration
Dec 14, 2018 to Mar 20, 2024factForm ADV
← Karina Bianca Bayani DahiligAdvisorregistration: previous registration
Dec 13, 2018 to Apr 19, 2021factForm ADV
← JAMES ALLEN JONESAdvisorregistration: previous registration
Dec 21, 2016 to Jan 17, 2018factForm ADV
← KENNETH ROBERT SMITHAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← JEANNIE ESTHER MATZAAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← MICHAEL PATRICK KELLYAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← ETHAN ANDREW BROGAAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← JOSEPH MARTIN CONACHYAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← LORNE DAVID ENQUISTAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← SHAN ZUBAIRAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← SIMON JOSHUA LIUAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← ELLIOTT MARVIN APPELAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← BRIAN DAVID REEDAdvisorregistration: previous registration
Oct 3, 2015 to Dec 15, 2017factForm ADV
← ALLYSON SHEA EISENHOWERAdvisorregistration: previous registration
Oct 3, 2015 to Jul 10, 2017factForm ADV
← JACK DONALD MONTEITHAdvisorregistration: previous registration
Oct 5, 2015 to Jan 5, 2017factForm ADV
← Julia Balitsky SippleAdvisorregistration: previous registration
Oct 3, 2015 to Sep 23, 2016factForm ADV

Controls (3)

← EMPIRICAL WEALTH MANAGEMENTOwnerOWNER, ownership code E, domestic entity
Jun 16, 2014 to Mar 28, 2024factForm ADV
← BULLER, JUSTIN, WYATTOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 10, 2021 to Mar 28, 2024factForm ADV
← SMITH, KENNETH, ROBERTOwnerMEMBER, ownership code D, individual
Jun 16, 2014 to Mar 28, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 20, 2024
Advisor departed, no destination yet
Lindsay Marie Farnsworth no longer registered at Directional Financial Services; no later IA registration on IAPD
Form ADVobserved 4 days ago
Occurred
Mar 20, 2024
Advisor departed, no destination yet
John Thomas Miller no longer registered at Directional Financial Services; no later IA registration on IAPD
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Control person left
Patrick Michael Kelly (Chief Investment Officer) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Control person left
Andrew Ethan Broga (Member) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Control person left
David Lorne Enquist (Chief Financial Officer And Member) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 4 days ago
Occurred
Mar 31, 2022
Control person left
Chelan Christina Jaime White (Chief Operating Officer) no longer on Schedule A of Directional Financial Services (listed 2021-03-31, absent 2022-03-31)
Form ADVobserved 4 days ago
Occurred
Feb 10, 2021
Control person joined
Wyatt Justin Buller (Chief Compliance Officer) appeared on Schedule A of Directional Financial Services
Form ADVobserved 4 days ago
Occurred
Mar 25, 2019
Control person joined
Chelan Christina Jaime White (Chief Operating Officer) appeared on Schedule A of Directional Financial Services
Form ADVobserved 4 days ago
Occurred
Mar 25, 2019
Control person left
Chong Hwa Park (Chief Operating Officer) no longer on Schedule A of Directional Financial Services (listed 2018-03-30, absent 2019-03-25)
Form ADVobserved 4 days ago
Occurred
Jun 16, 2014
First Form ADV filing
Directional Financial Services filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

Occurred
Mar 30, 2018
Directional Financial Services reported 5 state-registered advisory representatives, down from 19 (2017-03-29 to 2018-03-30)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fcf9306a-4fe5-45e5-4681-e67c48018012
First observed: Jun 16, 2014
Last observed: Mar 31, 2026 5 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.

DIRECTIONAL FINANCIAL SERVICES

DIRECTIONAL FINANCIAL SERVICES, LLC, CRD 171903

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:fcf9306a-4fe5-45e5-4681-e67c48018012

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:18 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BULLER, JUSTIN, WYATT

CHIEF COMPLIANCE OFFICER

yes

01/2021

Feb 10, 2021

Mar 28, 2024

EMPIRICAL WEALTH MANAGEMENT

Owner

yes

05/2014

Jun 16, 2014

Mar 28, 2024

SMITH, KENNETH, ROBERT

Member

yes

10/2010

Jun 16, 2014

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

EMPIRICAL FINANCIAL SERVICES, LLC

n/a

Independent wealth

$8.4B

yes

n/a

EMPIRICAL INSURANCE, LLC

n/a

yes

n/a

EMPIRICAL PROPERTIES, LLC

n/a

yes

n/a

EMPIRICAL REAL ESTATE SERVICES, INC.

n/a

yes

n/a

SECURE LEGACY LAW GROUP, P.C.

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$11.5M

n/a

2024

Mar 27, 2025

$9.0M

n/a

2023

Mar 28, 2024

$9.3M

n/a

2022

Mar 29, 2023

$7.3M

n/a

2021

Mar 31, 2022

$8.2M

n/a

2020

Mar 31, 2021

$9.0M

n/a

2019

Mar 30, 2020

$8.9M

n/a

2018

Mar 25, 2019

$8.1M

n/a

2017

Mar 30, 2018

$7.2M

n/a

2016

Mar 29, 2017

$6.8M

n/a

2015

Mar 30, 2016

$7.6M

n/a

2014

Mar 30, 2015

$1.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$11.5M

$9.0M

26.5%

$7.3M

16.3%