DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Empirical Wealth Management, LLC

Former SEC-registered adviserPortland, OregonCRD 140103SEC 801-66642IAPD
Latest filing Dec 21, 2012
First filing on the tape Dec 5, 2011 · 5 filings
RAUM
$198M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$198M as of Dec 21, 2012
Dec 5, 2011$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Dec 21, 2012
Nov 2, 20122 then
Employees (5.A)6 as of Dec 21, 2012
Nov 2, 20126 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Dec 21, 2012; every figure names its basis
RAUM per advisor
$98.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$265,964derivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
743reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Donald Jack Monteith · Presidentcontrol
    since 10/2006 · owns 25% to 50%
  • Marie Shannon Contreras · Chief Compliance Officer
    since 12/2012 · owns less than 5%
Entity owners
  • Empirical Wealth Management · Empirical Financial Services LLC
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
  • Jack Monteith
    insurancey
Offices
Schedule D 1.F, the 25 largest
  • Eugene, OR
  • Seattle, WA
What changed
consecutive filings, newest first
  • Accounts · 733 to 743
    Nov 2, 2012 to Dec 21, 2012
  • Discretionary RAUM · $174M to $188M
    Nov 2, 2012 to Dec 21, 2012
  • Non-discretionary RAUM · $8.4M to $9.9M
    Nov 2, 2012 to Dec 21, 2012
  • RAUM · $182M to $198M
    Nov 2, 2012 to Dec 21, 2012
  • Advisory employees · unset to 3.0
    May 9, 2012 to Nov 2, 2012
  • Employees · unset to 6.0
    May 9, 2012 to Nov 2, 2012
  • State-registered IARs · unset to 2.0
    May 9, 2012 to Nov 2, 2012
  • Accounts · 711 to 733
    Dec 5, 2011 to Mar 28, 2012
  • Advisory activities · 5 to 4
    Dec 5, 2011 to Mar 28, 2012
  • Insurance-licensed employees · 1 to 0
    Dec 5, 2011 to Mar 28, 2012
  • Financial planning clients · 11-25 to 26-50
    Dec 5, 2011 to Mar 28, 2012
  • Discretionary RAUM · $153M to $174M
    Dec 5, 2011 to Mar 28, 2012
  • Non-discretionary RAUM · $0 to $8.4M
    Dec 5, 2011 to Mar 28, 2012
  • RAUM · $153M to $182M
    Dec 5, 2011 to Mar 28, 2012
  • Related adviser · true to false
    Dec 5, 2011 to Mar 28, 2012
  • Related insurance company · false to true
    Dec 5, 2011 to Mar 28, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026