Empirical Financial Services, LLC d.b.a. Empirical Wealth Management is a fund manager in Seattle with $4.17 bn assets under management.
Company profile
Website
Employees
Incorporated
Location
Fiscal year end
Industry
Former names
Empirical Financial Services, LLC
SEC CIK
IRS number
272114998
SEC advisor number
801-72168
FINRA CRD number
152622
AUM ?
$4.17 bn
(as of 7 Jul 22)
Accounts
5,560
(as of 7 Jul 22)
Employees
50
(30 investment advisory or research)
Address
Empirical Financial Services, LLC d.b.a. Empirical Wealth Management
1420 5TH AVE SUITE 3150
SEATTLE
WA 98101
1420 5TH AVE SUITE 3150
SEATTLE
WA 98101
Office hours
Monday - Friday, 8:00 AM - 5:00 PM
Phone
2069233474
Ownership
Owner | Title | From | %Ownership |
---|---|---|---|
Smith, Kenneth, Robert | Chief Executive Officer & Member | 10/2010 | 50-75% |
Broga, Ethan, Andrew | Director of Financial Planning & Member | 10/2010 | 10-25% |
Enquist, Lorne, David | Chief Financial Officer & Member | 10/2013 | 10-25% |
Kelly, Michael, Patrick | President & Chief Wealth Strategist & Member | 06/2017 | 5-10% |
White, Jaime, Chelan Christina | Chief Operating Officer | 07/2018 | < 5% |
Jones, James, Allen | Director of Tax and Wealth Transfer & Member | 12/2018 | < 5% |
Liu, Simon, Joshua | Chief Marketing Technology Officer & Member | 12/2018 | < 5% |
Zubair, Shan | Financial Advisor & Member | 12/2018 | < 5% |
Lehr, Erik, James | Chief Investment Officer & Member | 05/2020 | < 5% |
Buller, Justin, Wyatt | Chief Compliance Officer | 01/2021 | < 5% |
Ownership
Fund structure | AUM | Fund type |
---|---|---|
Empirical Wealth Management | $4.17 bn | |
Empirical Alternative Income Fund, LP | $13.12 mm | Other Private Fund |
Latest filings (excl ownership)
No filings
Latest ownership filings
SC 13G
INVESCO EXCHANGE-TRADED FUND TRUST
8 Feb 24
SC 13G/A
Belpointe PREP, LLC
8 Feb 24
13F-HR
Quarterly holdings report by institutional manager
6 Feb 24
13F-HR
Quarterly holdings report by institutional manager
2 Nov 23
13F-HR
Quarterly holdings report by institutional manager
11 Aug 23
13F-HR
Quarterly holdings report by institutional manager
9 May 23
13F-HR
Quarterly holdings report by institutional manager
7 Feb 23
SC 13G/A
Belpointe PREP, LLC
7 Feb 23
13F-HR
Quarterly holdings report by institutional manager
2 Nov 22
13F-HR
Quarterly holdings report by institutional manager
2 Aug 22