SourcingSourcing

EMPIRICAL FINANCIAL SERVICES, LLC

C31
CRD 152622·SEC 801-72168·SEATTLE, WA
AUM
$8.43B
$1B+
Est. Revenue
$84.3M
@ 1% on AUM
Est. EBITDA
$25.3M
@ 30% margin
Est. Deal Value
$202.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
EMPIRICAL FINANCIAL SERVICES, LLC
CRD
152622
SEC file #
801-72168
EIN
272114998
DBA names
Empirical Wealth Management

Economics

AUM
$8.43B
AUM band
$1B+
AUM trajectory
'20'26
$1.98B → $8.43B▲ +326%
Client mix
Individuals High Net Worth1,839
Individuals Other555
Charitable Organizations5
Pooled Investment Vehicles1

Operations

Employees (total)
94
Advisory staff (per ADV)
57
Advisory staff (5-yr trend)
'20'26
25 advisors → 57 advisors▲ +128%
Primary office
SEATTLE WA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses
Fee basis
% of AUMHourly chargesFixed feesPerformance-based fees

Filings

Latest ADV filing
03/31/2026
ADV-W filed at
—
Website
linkedin.com/company/empirical-wealth-management(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, KENNETH, ROBERT
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
12
Control Persons
SMITH, KENNETH, ROBERT
ENQUIST, LORNE, DAVID
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:linkedin.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
3
Form 5500 Total Compensation
31,911
Form 5500 Compensation Trajectory 3y
202531,911
Form 5500 Plan Count Trajectory 3y
20253
Schedule C Total Compensation
31,911
Schedule C Service Provider Rows
3

SEC EDGAR

Edgar Cik
0001510434
Edgar Registered
Yes
Edgar Filing Count
74
Edgar First Filing Date
2011-01-28
Edgar Last Filing Date
2026-05-04
Edgar 13f Count
64
Edgar 13f Latest AUM Estimate
Filing Date2026-05-04
Accession0001085146-26-000381
Edgar Former Names
Empirical Financial Services, LLC

Compliance & brand

Firm Registration Status
active

All other collected signals (12)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
50
Bc Firm IAR Count
50
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
1420 5TH AVE SUITE 3150SEATTLE, WA 98101
Business
1420 5TH AVE SUITE 3150SEATTLE, WA 98101
Edgar EIN
272114998
Edgar Recent Filings
13F-HR2026-05-04 · 0001085146-26-000381
SCHEDULE 13G/A2026-01-29 · 0001510434-26-000003
Firm Has Custody
Yes
Mailing Office Differs
No
Top Owner CRD
2598986
Trust Company Affiliate
No

People (54)

54
SMITH, KENNETH, ROBERT
IAR · Direct Owner · 62.5%
2598986
LORNE DAVID ENQUIST
Direct Owner · 17.5%
5270619
BROGA, ETHAN, ANDREW
IAR · Direct Owner · 7.5%
4272080
KELLY, MICHAEL, PATRICK
IAR · Direct Owner · 7.5%
4223175
BULLER, JUSTIN, WYATT
IAR · Executive Officer · 2.5%
2075899
LIU, SIMON, JOSHUA
IAR · Executive Officer · 2.5%
5635019
JONES, JAMES, ALLEN
IAR · Executive Officer · 2.5%
6699732
LEHR, ERIK, JAMES
IAR · Executive Officer · 2.5%
6087553
ZUBAIR, SHAN
IAR · Executive Officer · 2.5%
5594403
MERCADO, JOSEPH HOMER, CARLOS
Executive Officer · 2.5%
7718422
WHITE, JAIME, CHELAN CHRISTINA
Executive Officer · 2.5%
5738075
PARK, HWA, CHONG
Executive Officer · 2.5%
3108228
Robert Thomas
IAR
7748063
TASSIE SONYA MEDLIN
IAR
6394002
LUKE CHO
IAR
5121085
CURTIS FRANK ELIJAH
IAR
6033591
BRIAN DAVID REED
IAR
6281150
JASON PHILLIP SULKOSKY
IAR
4013916
BRADY FRANKLIN MCSWAIN
IAR
8080657
CHANCE JOSEPH LEISETH
IAR
6122719
CHRISTINE YOUNG BOWE
IAR
5181837
Quinn Snell
IAR
6742124
MARK BRET UMEK
IAR
4593353
Ngoc Phung Pauline Le
IAR
7831797
Jordan Alexander Arreola
IAR
7951866
MICHAEL JAY HAMRICK
IAR
7972232
Kilian Patrick Larose
IAR
7971412
SAMUEL REYNOLDS BRIGHAM
IAR
7228465
CRISTINA MARIE CAMPBELL
IAR
5508046
SEAN KELLY RODRICKS
IAR
5855706
Michael Kusumoto Sanger
IAR
7816720
Helena Zhu Dempsey
IAR
7900466
Samuel Platcow
IAR
7527800
Kevin Byrd
IAR
7491228
Erica Renee Long
IAR
8225680
CHRISTOPHER JORDAN EDWARDS
IAR
5275738
JACK ZHENG SUN
IAR
5726481
SHANNON JAMES BENE
IAR
2691744
Robert Dale Thomas
IAR
7195021
JAKE RYAN RIDDELL
IAR
7022720
KELLY JANE ROMANO
IAR
4849823
David O'Day
IAR
6677748
Jack McFarland Mazzera
IAR
6916575
EVA AIHUA XU
IAR
6117337
DAVID SCOTT RANEY
IAR
4832721
PETER JOHN MICHEL
IAR
5790466
LINDSAY MARIE FARNSWORTH
IAR
6521513
MARSHA JONG
IAR
2940201
Jorge Luis Rosas
IAR
7398704
Isaiah Moshe Paul
IAR
6615630
Jacob Ronald Montemayor
IAR
5934788
DUSTIN MICHAEL RUE
IAR
5573209
ERICH ROBERT GEBBIE
IAR
4470735
Robert Michael Higueria
IAR
5753090