EMPIRICAL WEALTH MANAGEMENT
Firm details
- Headquarters
- SEATTLE, Washington
- CRD number
- 152622
- Registered since
- February 23, 2011
- Website
- www.empirical.net
- Custodians
- CHARLES SCHWAB & CO., INC.
- Fee structure
- Percentage of AUM, Hourly Charges, Fixed Fees, Performance Based Fees
- Client types
- HNWI94.73%
- Individuals3.18%
- Corporations / Businesses1.67%
- Charitable Organizations0.23%
- Pooled Investment Vehicles0.19%
- Services
- Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers
Firm profile
FINTRXOverview
Empirical Wealth Management is an independent, SEC-registered registered investment adviser organized as an LLC and in operation since 2011. The firm serves both individual/family and institutional clients and positions itself as a capital allocator, sourcing and allocating to external managers in addition to managing client portfolios directly. Its advisory services span financial planning, discretionary portfolio management for individuals and pooled vehicles, pension consulting and the selection of other advisers. Fee arrangements are varied and include percentage-of-AUM billing alongside hourly, fixed and performance-based fee options. The firm has received repeated industry recognition, appearing on Barron’s Top 100 RIA Firms lists (2023–2025) and on Forbes’ America’s Top RIA Firms lists (2023–2024).
Assets & Accounts
Public Holdings
Investments & Alternatives
Location & Offices
Investment profile
FINTRXTraditional investments used
Alternative investments used
Active ESG investor
Technology & operations
FINTRXCRM & tech providers
TAMPs used
Clients
FINTRXClient base
Client personas
Asset composition
- Exchange Traded Equities59%
- Public Funds/Mutual Funds24%
- State & Local Bonds11%
- Investment Grade Corp Bonds4%
- US Government Bonds1%
Owners & executives
3 of 11CHRISTINE BOWE
Chief Operating OfficerCRD 5181837
SIMON LIU
Chief Marketing Technology OfficerCRD 5635019
LINDSAY FARNSWORTH
Chief Compliance Officer, Operations ManagerCRD 6521513
Contacts
3 of 60WENWEN DONG
Financial AdvisorCRD 6643585
KELLY ROMANO
Senior Financial AdvisorCRD 4849823
David O'Day
Associate Wealth AdvisorCRD 6677748
Wealth teams
FINTRXNewly hired reps
FINTRXRecent M&A activity
FINTRXRecent filings
FINTRXAwards
FINTRXETF holdings
1 of 303Active vs passive
$3.9B in ETFs
82%
$3.2B
15%
$707M
| ETF | Provider | Style | Category | Value | Shares | % of portfolio |
|---|---|---|---|---|---|---|
| ISHARES MSCI USA QUALITY FACTOR ETF (QUAL) | BlackRock | Passive | Large Blend | $339M | 1,766,694 | 8.72% |
Location
SEATTLE, WA
KING
Location
SEATTLE, WA
Headquartered in SEATTLE, WA, anchoring the Seattle-Tacoma, WA metro in the West.
- Metro area
- Seattle-Tacoma, WA
- Region
- West
- County
- KING
- Address
- 1420 5th Ave
- Time zone
- PT (UTC-8)
- Office locations
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