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EMPIRICAL ASSET MANAGEMENT, LLC

WELLESLEY, MA · CRD 155436 · IAPD ↗ · empiricalam.com · 781-431-2223

$560.0MRegulatory AUM
10Advisory reps
14Employees
2Clients
n/aPlanning clients
1Private funds
18States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

70
April 2026 — EMPIRICAL ASSET MANAGEMENT, LLC crossed $500M in regulatory AUM ($467.0M -> $560.0M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
49
December 2025 — EMPIRICAL ASSET MANAGEMENT, LLC notice-filed in AZ, CO, ME.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
45
June 2025 — EMPIRICAL ASSET MANAGEMENT, LLC notice-filed in SC.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
53
April 2025 — EMPIRICAL ASSET MANAGEMENT, LLC added office(s): 4 -> 6 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
66
April 2025 — EMPIRICAL ASSET MANAGEMENT, LLC reported RAUM up 42% ($328.7M -> $467.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
72
April 2025 — EMPIRICAL ASSET MANAGEMENT, LLC grew from 7 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
45
February 2025 — EMPIRICAL ASSET MANAGEMENT, LLC notice-filed in MN.
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.