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EMPIRICAL WEALTH MANAGEMENT

SEATTLE, WA · CRD 152622 · IAPD ↗ · 206-923-3474

$8.43BRegulatory AUM
57Advisory reps
94Employees
0Clients
More than 500Planning clients
1Private funds
51States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

55
July 2026 — EMPIRICAL WEALTH MANAGEMENT notice-filed in AL, IA, MS, ND, NE, OK, RI, SD, VT, WV.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2026 — EMPIRICAL WEALTH MANAGEMENT added office(s): 14 -> 17 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
65
April 2026 — EMPIRICAL WEALTH MANAGEMENT reported RAUM up 26% ($6.70B -> $8.43B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
47
January 2026 — EMPIRICAL WEALTH MANAGEMENT notice-filed in TN.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
47
April 2025 — EMPIRICAL WEALTH MANAGEMENT notice-filed in KY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2025 — EMPIRICAL WEALTH MANAGEMENT shrank from 59 to 53 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
47
March 2025 — EMPIRICAL WEALTH MANAGEMENT notice-filed in MD.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
55
April 2024 — EMPIRICAL WEALTH MANAGEMENT added office(s): 12 -> 14 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2024 — EMPIRICAL WEALTH MANAGEMENT reported RAUM up 32% ($4.18B -> $5.53B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
85
April 2024 — EMPIRICAL WEALTH MANAGEMENT grew from 34 to 59 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
49
February 2024 — EMPIRICAL WEALTH MANAGEMENT notice-filed in SC, WY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.