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 Asset Management, LLC
Latest filing Jul 7, 2026
First filing on the tape Mar 30, 2012 · 52 filings
SEC status approved since Nov 23, 2010
RAUM
$560M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
89%
$498M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$46.7M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
1
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$560M as of Jul 7, 2026
Mar 30, 2012$73.2M then
HNW client RAUM$423M as of Jul 7, 2026
Mar 27, 2018$65.4M then
State-registered IARs (5.B.3)9 as of Jul 7, 2026
Mar 30, 20120 then
Employees (5.A)14 as of Jul 7, 2026
Mar 12, 20133 then
Private funds1 as of Jul 7, 2026
Mar 30, 20121 then
RAUM +20% over the last fiscal year+24% a year over threeIARs 9 to 9offices 6 to 5
Practice profile
derived from the filing of Jul 7, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $46.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $400,299derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 7.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.0derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $220MreportedItem 5.I
- Custody
- $39.5M, 81 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$423M75%
- Individuals$74.8M13%
- Pension and profit-sharing plans$35.3M6.3%
- Corporations and businesses$22.4M4.0%
- Charitable organizations$4.3M0.8%
- Pooled investment vehicles$444,6830.1%
- Individual clients
- 190reported
- HNW clients
- 267reported
- Pension plan clients
- 6reported
- Charitable clients
- n/areported
- Accounts
- 1,399reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $39.5M for 81 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mark Henry Fiskio | Wellesley, Ma | Jun 14, 2012 | 42 y | 2 |
| John Patrick Shreenan | Wellesley, Ma | Jan 15, 2020 | 41 y | 1 |
| Warren Francis Mulhern | Wellesley, Ma | May 18, 2021 | 45 y | 6 |
| Glenn Andrew Caldicott | Wellesley, Ma | Dec 9, 2021 | 41 y | 1 |
| Jonathan Charles Penta | Wellesley, Ma | Jan 19, 2022 | 24 y | 3 |
| Thomas Frances Alessi | Needham, Ma | Jun 28, 2022 | 33 y | 5 |
| Mark John Govoni | Warner, Nh | Apr 3, 2024 | 40 y | 3 |
| Anthony Gale Gray | Wellesley, Ma | Feb 3, 2025 | 13 y | 1 |
| Peter Joseph Martin | Wellesley, Ma | Mar 24, 2025 | 34 y | 0 |
| Joseph Rozzi | Needham, Ma | Nov 19, 2025 | 12 y | 0 |
| Richard Edward Oberuc | Lakewood Ranch, Fl | Jul 1, 2026 | 15 y | 2 |
| Philip Gabriel NehroCertified Financial Planner | Wellesley, Ma | Jul 9, 2026 | 46 y | 4 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Vana Koutsomitis to Raymond James & Associates, Inc.Apr 14, 2025 · RIA to affiliated broker-dealer or bank
- William Holland Davis to Stance Capital LLCApr 3, 2020 · Other
Joined, latest
- Philip Gabriel Nehro from Virtue Capital Management, LLCJul 9, 2026 · RIA to RIA
- Richard Edward Oberuc from Virtue Capital Management, LLCJul 1, 2026 · RIA to RIA
- Anthony Gale Gray from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 3, 2025 · Wirehouse to independent RIA
- Vana Koutsomitis from Morgan StanleyNov 1, 2024 · Wirehouse to independent RIA
- Mark John Govoni from Boston Asset Management, Inc.Apr 3, 2024 · RIA to RIA
- Thomas Frances Alessi from Pinnacle Private Wealth, LLCJun 28, 2022 · RIA to RIA
- Jonathan Charles Penta from Savior WealthJan 19, 2022 · RIA to RIA
- Glenn Andrew Caldicott from Merrill Lynch, Pierce, Fenner & Smith IncorporatedDec 9, 2021 · Wirehouse to independent RIA
- Warren Francis Mulhern from Ars Investment Management, LLCMay 18, 2021 · Other
- John Patrick Shreenan from Advice And Planning ServicesJan 15, 2020 · Other
- William Holland Davis from M3 Advisory Group, LLCMar 4, 2013 · Other
- Mark Henry Fiskio from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 14, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Virtue Capital Management, LLCJul 1, 2026 · Brentwood, Tn
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Empirical Long Short Fund, L.P. | Hedge Fund | $1.3M | 4 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Andrew Glenn Caldicott · Chief Investment Officercontrolsince 11/2021 · owns less than 5%
- Henry Mark Fiskio · Managing Member And Chief Compliance Officercontrolsince 09/2010 · owns 50% to 75%
- Manning Robert Wadsworth · Investor Membersince 03/2016 · owns 5% to 10%
Entity owners
- Seven Hills Foundation · Investordirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Empirical Fiscal Partners, LLCpooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Wellesley, Ma · principal | 12 | 3 | 0 | ||
| Needham, Ma | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hull, MA1 employees
- Needham, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 988 to 1,399Sep 4, 2025 to Mar 30, 2026
- Advisory employees · 11 to 10Sep 4, 2025 to Mar 30, 2026
- Corporate clients · 7 to 10Sep 4, 2025 to Mar 30, 2026
- HNW clients · 216 to 267Sep 4, 2025 to Mar 30, 2026
- Individual clients · 198 to 190Sep 4, 2025 to Mar 30, 2026
- Pension plan clients · 12 to 6Sep 4, 2025 to Mar 30, 2026
- Assets in custody · $47.0M to $39.5MSep 4, 2025 to Mar 30, 2026
- Other offices · 6 to 5Sep 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $449M to $540MSep 4, 2025 to Mar 30, 2026
- HNW RAUM · $360M to $423MSep 4, 2025 to Mar 30, 2026
- Individual RAUM · $53.6M to $74.8MSep 4, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $18.2M to $20.4MSep 4, 2025 to Mar 30, 2026
- Pension RAUM · $26.5M to $35.3MSep 4, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $523,990 to $444,683Sep 4, 2025 to Mar 30, 2026
- RAUM · $467M to $560MSep 4, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 15, 2025
- Accounts · 1,058 to 988Jan 29, 2025 to Mar 28, 2025
- Advisory employees · 7 to 11Jan 29, 2025 to Mar 28, 2025
- Advisory activities · 6 to 5Jan 29, 2025 to Mar 28, 2025
- Corporate clients · 10 to 7Jan 29, 2025 to Mar 28, 2025
- HNW clients · 142 to 216Jan 29, 2025 to Mar 28, 2025
- Individual clients · 170 to 198Jan 29, 2025 to Mar 28, 2025
- Pension plan clients · 16 to 12Jan 29, 2025 to Mar 28, 2025
- Assets in custody · $23.9M to $47.0MJan 29, 2025 to Mar 28, 2025
- Employees · 12 to 14Jan 29, 2025 to Mar 28, 2025
- State-registered IARs · 7 to 9Jan 29, 2025 to Mar 28, 2025
- Other offices · 4 to 6Jan 29, 2025 to Mar 28, 2025
- Discretionary RAUM · $317M to $449MJan 29, 2025 to Mar 28, 2025
- HNW RAUM · $228M to $360MJan 29, 2025 to Mar 28, 2025
- Individual RAUM · $57.2M to $53.6MJan 29, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $11.9M to $18.2MJan 29, 2025 to Mar 28, 2025
- Pension RAUM · $28.3M to $26.5MJan 29, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $576,936 to $523,990Jan 29, 2025 to Mar 28, 2025
- RAUM · $329M to $467MJan 29, 2025 to Mar 28, 2025
- Accounts · 1,044 to 1,058Nov 9, 2023 to Mar 26, 2024
- Corporate clients · 5 to 10Nov 9, 2023 to Mar 26, 2024
- HNW clients · 155 to 142Nov 9, 2023 to Mar 26, 2024
- Individual clients · 164 to 170Nov 9, 2023 to Mar 26, 2024
- Pension plan clients · 10 to 16Nov 9, 2023 to Mar 26, 2024
- Assets in custody · $81.1M to $23.9MNov 9, 2023 to Mar 26, 2024
Signals
4 dated events
- 2 advisors left Virtue Capital Management, LLC (Brentwood, TN) for Empirical Asset Management, LLC on the same dayJul 1, 2026 · Team lift-out · derived
- Vana Koutsomitis left Empirical Asset Management, Llc for Raymond James & Associates, Inc. (registered 2025-03-26)Apr 14, 2025 · Advisor changed firm · fact
- Empirical Asset Management, Llc reported RAUM $467.0M, up 42% from $328.7M (2025-01-29 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Andrew Glenn Caldicott (Chief Investment Officer) appeared on Schedule A of Empirical Asset Management, LlcMar 28, 2022 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 617-855-9970reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-855-9971reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 617-855-9973reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- bostonplatinummanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 781-431-2223reportedpublic record, Form ADV, Jul 7, 2026
- Contact form
- bostonplatinummanagement.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- bostonplatinummanagement.com/meet-the-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
- $46.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026