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.
SEC-registered adviser
Empirical Wealth Management
Legal name Empirical Financial Services, LLC
Latest filing Jul 29, 2026
First filing on the tape Mar 30, 2012 · 80 filings
SEC status approved since Feb 23, 2011
RAUM
$8.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$8.3B individuals and HNW
Advisors
69
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
94
57 advisory (5.B.1)
Offices
17
beyond the principal office
Private funds
1
reported on Schedule D
History
80 filings and snapshots on the tape
RAUM$8.4B as of Jul 29, 2026
Mar 30, 2012$364M then
HNW client RAUM$8.0B as of Jul 29, 2026
Mar 30, 2018$1.3B then
State-registered IARs (5.B.3)61 as of Jul 29, 2026
Mar 28, 201310 then
Employees (5.A)94 as of Jul 29, 2026
Mar 28, 201315 then
Private funds1 as of Jul 29, 2026
Mar 30, 20181 then
RAUM +26% over the last fiscal year+26% a year over threeIARs 60 to 61offices 14 to 17
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $969,962derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 3.8derived18 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +1.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 2,500reportedItem 5.H
- Wrap fee program
- $7.3BreportedItem 5.I
- Custody
- $2.1B, 1,110 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$8.0B95%
- Individuals$268M3.2%
- Corporations and businesses$141M1.7%
- Charitable organizations$19.5M0.2%
- Pooled investment vehicles$16.4M0.2%
- Individual clients
- 555reported
- HNW clients
- 1,839reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 8,690reported
- Financial planning clients
- 2,500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $2.1B for 1,110 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
69 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Robert SmithCertified Financial Planner | Seattle, Wa | Jun 18, 2010 | 31 y | 4 |
| Shan ZubairCertified Financial Planner | Irvine, Ca | Jul 27, 2010 | 17 y | 2 |
| Ethan Andrew BrogaCertified Financial Planner | Seattle, Wa | Jul 27, 2010 | 25 y | 5 |
| Simon Joshua Liu | Seattle, Wa | Jul 27, 2010 | 17 y | 2 |
| Lorne David Enquist | Seattle, Wa | Jun 1, 2011 | 25 y | 4 |
| Erik James LehrChartered Financial Analyst | Portland, Or | Nov 22, 2013 | 14 y | 1 |
| Brian David ReedCertified Financial Planner | San Francisco, Ca | Dec 16, 2013 | 12 y | 1 |
| Jason Phillip SulkoskyCertified Financial Planner | Seattle, Wa | Apr 22, 2014 | 26 y | 1 |
| Michael Patrick KellyCertified Financial Planner, Chartered Financial Analyst | Portland, Or | May 28, 2015 | 26 y | 2 |
| Lindsay Marie Farnsworth | Seattle, Wa | Nov 23, 2015 | 10 y | 1 |
| James Allen Jones | Seattle, Wa | Dec 21, 2016 | 11 y | 1 |
| John Thomas MillerCertified Financial Planner | Seattle, Wa | Apr 26, 2018 | 12 y | 1 |
| Mark Bret UmekCertified Financial Planner | Seattle, Wa | Dec 11, 2019 | 23 y | 5 |
| Tassie Sonya MedlinCertified Financial Planner | Bellevue, Wa | Feb 12, 2020 | 11 y | 2 |
| Christopher Jordan EdwardsCertified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Mar 9, 2020 | 18 y | 2 |
| Justin Wyatt Buller | Bellevue, Wa | Jan 20, 2021 | 29 y | 1 |
| Cristina Marie CampbellCertified Financial Planner | Los Angeles, Ca | Jan 26, 2021 | 17 y | 5 |
| Shannon James BeneCertified Financial Planner | Seattle, Wa | Feb 22, 2021 | 30 y | 4 |
| Chance Joseph LeisethCertified Financial Planner | San Francisco, Ca | Oct 6, 2021 | 14 y | 2 |
| Kevin ByrdCertified Financial Planner | Seattle, Wa | Jan 10, 2022 | 10 y | 0 |
| Samuel Platcow | Seattle, Wa | Apr 4, 2022 | 10 y | 0 |
| Dustin Michael RueCertified Financial Planner | Seattle, Wa | Apr 18, 2022 | 17 y | 9 |
| Robert Dale Thomas | Seattle, Wa | May 23, 2022 | 10 y | 0 |
| Alex Julian MedinCertified Financial Planner | Seattle, Wa | Jun 15, 2022 | 10 y | 3 |
| Alexander Joseph BartosCertified Financial Planner, Chartered Financial Analyst | Seattle, Wa | Jul 13, 2022 | 19 y | 1 |
| Wenwen DongCertified Financial Planner | Seattle, Wa | Sep 30, 2022 | 12 y | 5 |
| Eric Arndt | Seattle, Wa | Nov 4, 2022 | 11 y | 3 |
| David Scott RaneyCertified Financial Planner, Chartered Financial Consultant | Seattle, Wa | Feb 9, 2023 | 21 y | 1 |
| Erich Robert GebbieCertified Financial Planner | Seattle, Wa | Apr 12, 2023 | 14 y | 2 |
| Charles E PyleCertified Financial Planner, Chartered Financial Analyst | Seattle, Wa | May 18, 2023 | 17 y | 2 |
| Peter John MichelChartered Financial Analyst | Seattle, Wa | Jun 23, 2023 | 16 y | 2 |
| Robert Thomas | Seattle, Wa | Jul 5, 2023 | 12 y | 0 |
| Luke ChoCertified Financial Planner | Irvine, Ca | Aug 23, 2023 | 24 y | 1 |
| Christine Young Bowe | Seattle, Wa | Feb 19, 2024 | 13 y | 1 |
| Helena Zhu Dempsey | Bellevue, Wa | Apr 8, 2024 | 13 y | 0 |
| Jack Zheng SunChartered Financial Analyst | San Mateo, Ca | Jun 11, 2024 | 16 y | 1 |
| Robert Michael Higueria | Seattle, Wa | Jun 17, 2024 | 15 y | 2 |
| Jacob Ronald MontemayorCertified Financial Planner | Seattle, Wa | Jun 17, 2024 | 13 y | 2 |
| Jake Ryan RiddellChartered Financial Analyst | Seattle, Wa | Jun 18, 2024 | 11 y | 1 |
| Yisha WangCertified Financial Planner | Walnut Creek, Ca | Jun 24, 2024 | 10 y | 3 |
Advisor movement
3 left, 8 joined in 12 months
net +5 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 4.3% of current headcount11 left over 36 months
Left, latest
- Jack Mcfarland Mazzera to Jordan Park Group LLCJun 15, 2026 · RIA to RIA
- Paige Renee Carmona to Iconiq Capital, LLCDec 3, 2025 · Other
- Patrick A Yaghoobians to Noor Financial ServicesSep 22, 2025 · RIA to a state-registered adviser
- Scott Michael Malbasa to Xypn SapphireJul 16, 2025 · RIA to RIA
- Christopher Michael Auten to Osaic Wealth, Inc.Jun 27, 2025 · RIA to affiliated broker-dealer or bank
- Jake Larson to Multnomah Group, Inc.Apr 15, 2025 · Other
- Mustafa Hma Binns to Ep Wealth AdvisorsNov 20, 2024 · RIA to RIA
- Jessica May Roks to Jdm Financial Group LLCSep 6, 2024 · RIA to RIA
- Richard Thomas Boyer to MarinerFeb 28, 2024 · RIA to affiliated broker-dealer or bank
- Alexandra Marie Scott to MarinerFeb 28, 2024 · RIA to affiliated broker-dealer or bank
- Carla Lisseth Avendano to LnwSep 20, 2023 · RIA to RIA
- Maggie Chi Liu to Bordeaux Wealth AdvisorsJul 19, 2023 · RIA to RIA
- Michael Abraham Randall to Oak Summit Wealth Management, Inc.May 10, 2022 · Other
- Erica Jean Cortez to Commonwealth Financial NetworkApr 4, 2022 · RIA to affiliated broker-dealer or bank
- Elliott Marvin Appel to Directional Financial ServicesSep 7, 2021 · Other
Joined, latest
- Alexander Gangl from Mercer Global Advisors Inc.Jun 30, 2026 · RIA to RIA
- Sean Patrick Hanson from Northrock Partners, LLCJun 23, 2026 · RIA to RIA
- David O'Day from Creative Planning Institutional Advisors, LLCMay 6, 2026 · Other
- Jack Edward Rimbach from Rockefeller Capital ManagementMay 5, 2026 · Affiliated broker-dealer or bank to independent RIA
- Sogol Javan Oskouei from First Foundation AdvisorsFeb 6, 2026 · RIA to RIA
- Kelly Jane Romano from Fisher InvestmentsJan 13, 2026 · RIA to RIA
- Jorge Luis Rosas from Aldrich Wealth LPJan 6, 2026 · RIA to RIA
- Bohan Liu from Fisher InvestmentsOct 8, 2025 · RIA to RIA
- Cameron D Cole from Solidarity Wealth, LLCJul 11, 2025 · RIA to RIA
- Sean Kelly Rodricks from Strategic Advisers LLCJul 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- Marsha Jong from Blackrock Fund AdvisorsApr 22, 2025 · Other
- Dominic Anthony Wright from LPL Financial LLCApr 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- Isaiah Moshe Paul from Cws Capital Partners LLCDec 9, 2024 · Other
- Jason Dunbar from Fisher InvestmentsNov 4, 2024 · RIA to RIA
- Joyce Virginia Bloomquist from Apella WealthOct 2, 2024 · RIA to RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Empirical Alternative Income Fund, LP | Other Private Fund | $16.4M | 62 | Feb 15, 2018 |
| Empirical Venture Capital Fund, LPno longer reported | Venture Capital Fund | $0 | 1 | Jul 10, 2018 |
Owners and control persons
Schedule A and B, latest filing
- Andrew Ethan Broga · Director Of Financial Planning & Membercontrolsince 10/2010 · owns 5% to 10%
- Wyatt Justin Buller · Chief Compliance Officer & Membercontrolsince 01/2021 · owns less than 5%
- David Lorne Enquist · Chief Financial Officer & Membercontrolsince 10/2013 · owns 10% to 25%
- Allen James Jones · Director Of Tax And Wealth Transfer & Membercontrolsince 12/2018 · owns less than 5%
- Patrick Michael Kelly · President & Chief Wealth Strategist & Membercontrolsince 06/2017 · owns 5% to 10%
- James Erik Lehr · Chief Investment Officer & Membercontrolsince 05/2020 · owns less than 5%
- Joshua Simon Liu · Chief Marketing Technology Officer & Membercontrolsince 12/2018 · owns less than 5%
- Carlos Joseph Homer Mercado · Chief Business Development Officer & Membercontrolsince 02/2023 · owns less than 5%
- Robert Kenneth Smith · Chief Executive Officer & Membercontrolsince 10/2010 · owns 50% to 75%
- Chelan Christina Jaime White · Chief Of Staffcontrolsince 02/2023 · owns less than 5%
- Shan Zubair · Financial Advisor & Membercontrolsince 12/2018 · owns less than 5%
- Chong Hwa Park · Chief Operating Officer & Membersince 10/2025 · owns less than 5%
Related persons
Schedule D 7.A
- Directional Financial Servicesinvestment adviseryRAUM $11.5M
- Empirical Insurance, LLCreal estatey
- Empirical Properties, LLCinvestment companyy
- Empirical Real Estate Services, Inc.investment companyy
- Secure Legacy Law Group, P.C.n
Advisers that list Empirical Wealth Management as a related person
- 171903 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 68 | 18 | 2 | ||
| Irvine, Ca | 12 | 4 | 0 | ||
| Portland, Or | 12 | 5 | 0 | ||
| San Francisco, Ca | 9 | 4 | 0 | ||
| Bellevue, Wa | 6 | 0 | 0 | ||
| San Mateo, Ca | 4 | 0 | 0 | ||
| Los Angeles, Ca | 3 | 1 | 1 | ||
| Fort Worth, Tx | 3 | 0 | 0 | ||
| Walnut Creek, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Irvine, CA9 employees
- Portland, OR7 employees
- San Francisco, CA5 employees
- Bellevue, WA5 employees
- Newport Beach, CA1 employees
- Reno, NV1 employees
- San Diego, CA1 employees
- San Mateo, CA1 employees
- Spokane, WA1 employees
- Anchorage, AK1 employees
- Walnut Creek, CA1 employees
- Fort Worth, TX1 employees
- Los Angeles, CA1 employees
- Los Gatos, CA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 29, 2026ENQUIST, LORNE, DAVID (CHIEF FINANCIAL OFFICER & MEMBER) left Schedule A between the filings of 2023-03-31 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 29, 2026WHITE, JAIME, CHELAN CHRISTINA (CHIEF OF STAFF) left Schedule A between the filings of 2023-03-31 and 2026-07-29peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 8,402 to 8,690Dec 8, 2025 to Mar 31, 2026
- Advisory employees · 53 to 57Dec 8, 2025 to Mar 31, 2026
- Charity clients · unset to 5.0Dec 8, 2025 to Mar 31, 2026
- HNW clients · 1,552 to 1,839Dec 8, 2025 to Mar 31, 2026
- Individual clients · 579 to 555Dec 8, 2025 to Mar 31, 2026
- Assets in custody · $1.6B to $2.1BDec 8, 2025 to Mar 31, 2026
- State-registered IARs · 60 to 61Dec 8, 2025 to Mar 31, 2026
- Other offices · 14 to 17Dec 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $6.7B to $8.4BDec 8, 2025 to Mar 31, 2026
- HNW RAUM · $6.2B to $8.0BDec 8, 2025 to Mar 31, 2026
- Individual RAUM · $324M to $268MDec 8, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $7.0M to $3.2MDec 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $19.5M to $16.4MDec 8, 2025 to Mar 31, 2026
- RAUM · $6.7B to $8.4BDec 8, 2025 to Mar 31, 2026
- Financial planning clients · More than 500 to More than 500Mar 25, 2025 to Jul 1, 2025
- Accounts · 7,267 to 8,402Feb 4, 2025 to Mar 25, 2025
- Advisory employees · 59 to 53Feb 4, 2025 to Mar 25, 2025
- HNW clients · 1,448 to 1,552Feb 4, 2025 to Mar 25, 2025
- Individual clients · 521 to 579Feb 4, 2025 to Mar 25, 2025
- Assets in custody · $1.3B to $1.6BFeb 4, 2025 to Mar 25, 2025
- Employees · 78 to 94Feb 4, 2025 to Mar 25, 2025
- Insurance-licensed employees · 3 to 4Feb 4, 2025 to Mar 25, 2025
- State-registered IARs · 53 to 60Feb 4, 2025 to Mar 25, 2025
- Discretionary RAUM · $5.5B to $6.7BFeb 4, 2025 to Mar 25, 2025
- HNW RAUM · $5.1B to $6.2BFeb 4, 2025 to Mar 25, 2025
- Individual RAUM · $261M to $324MFeb 4, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $6.2M to $7.0MFeb 4, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $21.5M to $19.5MFeb 4, 2025 to Mar 25, 2025
- RAUM · $5.5B to $6.7BFeb 4, 2025 to Mar 25, 2025
- Accounts · 6,280 to 7,267Jan 12, 2024 to Mar 28, 2024
- Advisory employees · 34 to 59Jan 12, 2024 to Mar 28, 2024
- Corporate clients · 24.0 to unsetJan 12, 2024 to Mar 28, 2024
- HNW clients · 1,110 to 1,448Jan 12, 2024 to Mar 28, 2024
- Individual clients · 641 to 521Jan 12, 2024 to Mar 28, 2024
- Assets in custody · $949M to $1.3BJan 12, 2024 to Mar 28, 2024
- Employees · 65 to 78Jan 12, 2024 to Mar 28, 2024
- Insurance-licensed employees · 6 to 3Jan 12, 2024 to Mar 28, 2024
- State-registered IARs · 43 to 53Jan 12, 2024 to Mar 28, 2024
- Other offices · 12 to 14Jan 12, 2024 to Mar 28, 2024
- Discretionary RAUM · $4.2B to $5.5BJan 12, 2024 to Mar 28, 2024
Signals
32 dated events
- Jack Mcfarland Mazzera left Empirical Wealth Management for Jordan Park Group Llc (registered 2026-06-23)Jun 15, 2026 · Advisor changed firm · fact
- Empirical Wealth Management reported RAUM $8.4B, up 26% from $6.7B (2025-12-08 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Paige Renee Carmona left Empirical Wealth Management for Iconiq Capital, Llc (registered 2026-01-12)Dec 3, 2025 · Advisor changed firm · fact
- Patrick A Yaghoobians left Empirical Wealth Management for Noor Financial Services (registered 2025-11-06)Sep 22, 2025 · Advisor changed firm · fact
- Scott Michael Malbasa left Empirical Wealth Management for Xypn Sapphire (registered 2025-06-26)Jul 16, 2025 · Advisor changed firm · fact
- Christopher Michael Auten left Empirical Wealth Management for Osaic Wealth, Inc. (registered 2025-10-13)Jun 27, 2025 · Advisor changed firm · fact
- Jake Larson left Empirical Wealth Management for Multnomah Group, Inc. (registered 2025-04-10)Apr 15, 2025 · Advisor changed firm · fact
- Mustafa Hma Binns left Empirical Wealth Management for Ep Wealth Advisors (registered 2024-12-10)Nov 20, 2024 · Advisor changed firm · fact
- Jessica May Roks left Empirical Wealth Management for Jdm Financial Group Llc (registered 2024-12-16)Sep 6, 2024 · Advisor changed firm · fact
- Empirical Wealth Management reported 53 state-registered advisory representatives, up from 43 (2024-01-12 to 2024-03-28)Mar 28, 2024 · Advisor headcount change · derived
- Empirical Wealth Management reported RAUM $5.5B, up 32% from $4.2B (2024-01-12 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Alexandra Marie Scott left Empirical Wealth Management for Mariner (registered 2024-02-06)Feb 28, 2024 · Advisor changed firm · fact
- Richard Thomas Boyer left Empirical Wealth Management for Mariner (registered 2024-02-02)Feb 28, 2024 · Advisor changed firm · fact
- 2 advisors left Empirical Wealth Management (Seattle, WA) for Mariner on the same dayFeb 28, 2024 · Team lift-out · derived
- Carla Lisseth Avendano left Empirical Wealth Management for Lnw (registered 2023-09-22)Sep 20, 2023 · Advisor changed firm · fact
- Maggie Chi Liu left Empirical Wealth Management for Bordeaux Wealth Advisors (registered 2023-07-05)Jul 19, 2023 · Advisor changed firm · fact
- Empirical Wealth Management reported 43 state-registered advisory representatives, up from 31 (2022-07-07 to 2023-03-31)Mar 31, 2023 · Advisor headcount change · derived
- Carlos Joseph Homer Mercado (Chief Operations Officer) appeared on Schedule A of Empirical Wealth ManagementMar 31, 2023 · Control person joined · fact
- Michael Abraham Randall left Empirical Wealth Management for Oak Summit Wealth Management, Inc. (registered 2022-05-11)May 10, 2022 · Advisor changed firm · fact
- Erica Jean Cortez left Empirical Wealth Management for Commonwealth Financial Network (registered 2022-03-28)Apr 4, 2022 · Advisor changed firm · fact
- Empirical Wealth Management reported 31 state-registered advisory representatives, up from 19 (2021-12-08 to 2022-03-31)Mar 31, 2022 · Advisor headcount change · derived
- Empirical Wealth Management reported RAUM $4.2B, up 37% from $3.0B (2021-12-08 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Empirical Wealth Management reported 19 state-registered advisory representatives, down from 29 (2021-02-10 to 2021-03-31)Mar 31, 2021 · Advisor headcount change · derived
- Marie Lindsay Farnsworth (Chief Compliance Officer) no longer on Schedule A of Empirical Wealth Management (listed 2020-09-17, absent 2021-02-10)Feb 10, 2021 · Control person left · inference
- Wyatt Justin Buller (Chief Compliance Officer) appeared on Schedule A of Empirical Wealth ManagementFeb 10, 2021 · Control person joined · fact
- James Erik Lehr (Chief Investment Officer) appeared on Schedule A of Empirical Wealth ManagementJun 30, 2020 · Control person joined · fact
- Empirical Wealth Management reported RAUM $2.7B, up 35% from $2.0B (2019-07-31 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Empirical Wealth Management reported RAUM $2.0B, up 30% from $1.5B (2019-02-25 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Allen James Jones (Director Of Tax And Wealth Transfer & Member) appeared on Schedule A of Empirical Wealth ManagementMar 29, 2019 · Control person joined · fact
- Joshua Simon Liu (Chief Marketing Technology Officer & Member) appeared on Schedule A of Empirical Wealth ManagementMar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Empirical Wealth Management · Independent Sponsorsshared crd · capital_provider
- Empirical Wealth Management · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 800-923-4307reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/empirical-wealth-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- empirical.netreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 206-923-3474reportedpublic record, Form ADV, Jul 29, 2026
- Contact form
- empirical.net/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- empirical.net/about-us/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026