EMPIRICAL WEALTH MANAGEMENT
Latest filing: Mar 25, 2025 (63 days ago)
AUM
$6,701,226,120
21% change vs. 1 year ago
61% change vs. 3 years ago
152% change vs. 5 years ago
611% change vs. 10 years ago
Employee Count
94
21% change vs. 1 year ago
88% change vs. 3 years ago
129% change vs. 5 years ago
370% change vs. 10 years ago
Main Office
SEATTLE, WA
1420 5TH AVE, SEATTLE, WA, UNITED STATES, 98101
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $6.7 |
| Non-Discretionary | $0.0 |
| Total | $6.7 |
| Client | AUM |
|---|---|
| Retail | $6.5 |
| Pooled | $0.0 |
| Institutional | $0.1 |
| Total | $6.7 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 579 | $0.3 |
| Average Individual AUM | $559,228 | |
| HNW | 1,552 | $6.2 |
| Average HNW AUM | $4,006,363 | |
| Retail Total | 2,131 | $6.5 |
| Average Retail AUM | $3,069,765 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| CHARLES SCHWAB & CO., INC. | SAN FRANCISCO-CA-USA | $5.5 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $6.7 |
| Retail SMA AUM | $6.5 |
| Institutional SMA AUM | $0.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 57% | $3.8 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.1 |
| Municipal | 11% | $0.7 |
| Sovereign | 0% | $0.0 |
| IG Credit | 3% | $0.2 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 25% | $1.7 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $0.2 |
| Other | 0% | $0.0 |
| Total | 100% | $6.7 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| DIRECTIONAL FINANCIAL SERVICES, LLC | $0.0 | 171903 | |
| EMPIRICAL REAL ESTATE SERVICES, INC. | $0.0 | - | |
| EMPIRICAL INSURANCE, LLC | $0.0 | - | |
| SECURE LEGACY LAW GROUP, P.C. | $0.0 | law firm | - |
| EMPIRICAL PROPERTIES, LLC | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
11 active
| Name | Title |
|---|---|
| BROGA, ETHAN, ANDREW | DIRECTOR OF FINANCIAL PLANNING & MEMBER |
| SMITH, KENNETH, ROBERT | CHIEF EXECUTIVE OFFICER & MEMBER |
| ENQUIST, LORNE, DAVID | CHIEF FINANCIAL OFFICER & MEMBER |
| KELLY, MICHAEL, PATRICK | PRESIDENT & CHIEF WEALTH STRATEGIST & MEMBER |
| WHITE, JAIME, CHELAN CHRISTINA | CHIEF OF STAFF |
| JONES, JAMES, ALLEN | DIRECTOR OF TAX AND WEALTH TRANSFER & MEMBER |
| LIU, SIMON, JOSHUA | CHIEF MARKETING TECHNOLOGY OFFICER & MEMBER |
| ZUBAIR, SHAN | FINANCIAL ADVISOR & MEMBER |
| LEHR, ERIK, JAMES | CHIEF INVESTMENT OFFICER & MEMBER |
| BULLER, JUSTIN, WYATT | CHIEF COMPLIANCE OFFICER |
| MERCADO, JOSEPH HOMER, CARLOS | CHIEF OPERATIONS OFFICER & MEMBER |
ADVDB.CO • SOURCE: SEC
Representatives
54 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| ROBERT THOMAS | SEATTLE | WA | S65|2022-05-23 | ||||||
| ALEX MEDIN | SEATTLE | WA | S66|2016-06-24 | CERTIFIED FINANCIAL PLANNER | |||||
| JAMES JONES | SEATTLE | WA | S65|2016-12-21 | ||||||
| SHANNON BENE | SEATTLE | WA | S63|1995-12-28|S66|2007-01-11 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTINE BOWE | SEATTLE | WA | S63|2014-08-08|S65|2024-02-17 | ||||||
| CHARLES PYLE | SEATTLE | WA | S66|2008-12-22|S63|2017-02-24 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| JASON SULKOSKY | SEATTLE | WA | S63|1999-12-20|S65|2000-03-23 | CERTIFIED FINANCIAL PLANNER | |||||
| NADIA REYNOLDS | SEATTLE | WA | S63|2009-05-12|S65|2006-09-01 | CERTIFIED FINANCIAL PLANNER | |||||
| JOHN MILLER | SEATTLE | WA | S65|2018-04-26 | ||||||
| TANYA RHODES | SEATTLE | WA | S63|1998-11-06 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| DUSTIN RUE | SEATTLE | WA | S66|2008-10-14 | CERTIFIED FINANCIAL PLANNER | |||||
| WENWEN DONG | SEATTLE | WA | S65|2016-06-29|S63|2016-06-09 | CERTIFIED FINANCIAL PLANNER | |||||
| CHRISTOPHER AUTEN | SEATTLE | WA | S63|2011-05-09|S65|2012-03-08 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| MICHAEL KELLY | SEATTLE | WA | S63|2000-09-08 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL ANALYST | |||||
| JAKE LARSON | SEATTLE | WA | S65|2022-02-13 | ||||||
| JACK MAZZERA | SEATTLE | WA | S65|2022-11-18 | ||||||
| YINJIE SHI | SEATTLE | WA | S63|2010-03-04|S66|2013-08-20 | CERTIFIED FINANCIAL PLANNER | |||||
| LINDSAY FARNSWORTH | SEATTLE | WA | S65|2015-11-23 | ||||||
| SIMON LIU | SEATTLE | WA | S65|2009-02-27 | ||||||
| PATRICK YAGHOOBIANS | SEATTLE | WA | S66|2019-08-08 | CERTIFIED FINANCIAL PLANNER | |||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $6.7 | $0.0 | 0% | 94 | 0 | 0% |
| 2025-04-21 | $6.7 | $0.0 | 0% | 94 | 0 | 0% |
| 2024-04-02 | $5.5 | $1.2 | 21% | 78 | 16 | 21% |
| 2023-04-04 | $4.2 | $2.5 | 60% | 65 | 29 | 45% |
| 2022-04-01 | $4.2 | $2.5 | 61% | 50 | 44 | 88% |
| 2021-04-05 | $3.0 | $3.7 | 120% | 42 | 52 | 124% |
| 2020-04-01 | $2.7 | $4.0 | 152% | 41 | 53 | 129% |
| 2019-04-01 | $2.0 | $4.7 | 239% | 34 | 60 | 176% |
| 2018-04-02 | $1.5 | $5.2 | 340% | 28 | 66 | 236% |
| 2017-04-01 | $1.2 | $5.5 | 449% | 24 | 70 | 292% |
| 2016-04-01 | $1.0 | $5.7 | 586% | 20 | 74 | 370% |
| 2015-04-01 | $0.9 | $5.8 | 611% | 20 | 74 | 370% |
| 2014-04-01 | $0.8 | $5.9 | 729% | 19 | 75 | 395% |
| 2013-04-01 | $0.7 | $6.0 | 904% | 15 | 79 | 527% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| WA, AK-02/23/2011, AR-10/01/2018, AZ-02/23/2011, CA-07/28/2010, CO-04/30/2015, CT-07/07/2022, DC-02/10/2021, DE-11/23/2015, FL-08/13/2015, GA-07/19/2021, HI-05/20/2015, ID-08/10/2015, IL-04/30/2015, IN-04/03/2019, KS-04/28/2022, KY-03/25/2025, LA-01/02/2013, MA-03/11/2015, MD-02/04/2025, ME-08/23/2023, MI-09/17/2020, MN-03/11/2015, MO-08/23/2016, MT-04/17/2014, NC-02/25/2019, NH-12/08/2021, NJ-02/12/2013, NM-04/17/2020, NV-03/11/2015, NY-03/11/2015, OH-02/15/2018, OR-02/23/2011, PA-08/03/2020, SC-01/12/2024, TX-02/23/2011, UT-09/17/2020, VA-12/02/2021, WA-02/23/2011, WI-03/31/2021, WY-01/11/2024 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
ADVDB.CO • SOURCE: SEC FORM ADV