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| Happy Holidays!! thanks for using AUM13F!! |
| Empirical Financial Services LLC
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| CRD # | 152622 |
| SEC # | 801-72168 |
| CIK # | 0001085146, 0001510434 |
| AUM | $6.7 B (2025-07-01) |
| Employees | 94 (56% Investors, 0% Brokers) |
| Phone | 206-923-3474 |
| Address | 1420 5th Ave Seattle, WA 98101 |
| Source | [IAPD] [EDGAR] [Website] [Twitter] [LinkedIn] [Facebook] [Instagram] |
| Total AUM ($B) |
|---|
| Sector | Form 13F Holdings | Value ($B) | |
|---|---|---|---|
| Nvidia Corp | 0.2 | ||
| Apple Inc | 0.1 | ||
| Microsoft Corp | 0.1 | ||
| Facebook Inc | 0.1 | ||
| Amazon Com Inc | 0.0 | ||
| Costco Wholesale Corp /NEW | 0.0 | ||
| Cisco Systems Inc | 0.0 | ||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold ($M) | AUM ($M) |
|---|---|---|---|---|
| VC | Empirical Venture Capital Fund LP | [2018-07-10] | 0.0 | 0.0 |
| Other | Empirical Alternative Income Fund LP | [2018-02-15] | 18.5 | 19.5 |
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 579 | 0.3 |
| (b) Individuals (high net worth individuals) | 1,552 | 6.2 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 1 | 0.0 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.1 |
| (n) Other | 0 | 0.0 |
| Total | 8,402 | 6.7 |
| By Discretionary | ||
| Discretionary | 8,400 | 6.7 |
| Non-Discretionary | 2 | 0.0 |
| Total | 8,402 | 6.7 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 6.7 | |
| Total | 8,402 | 6.7 |
| Form D Directors | # Filings | # Firms | 2011 - 2025 |
|---|---|---|---|
| Brendan Lake | 120 | ||
| Adam Stern | 113 | ||
| Ken Smith | 7 | ||
| NA Empirical Financial Services LLC | 1 | ||
| NA Ppb Empirical Aif Mgt LLC | 1 |
| EDGAR Form | CIK | 2011 - 2025 |
|---|---|---|
| 13F-HR | [0001085146] | |
| 13F-HR | [0001510434] | |
| SC 13G | [0001510434] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| Empirical Financial Services LLC DBA Empirical Wealth Management | Invesco Exchange-Traded Fund Trust | [2024-02-08] |
| Empirical Financial Services LLC DBA Empirical Wealth Management | Belpointe PREP LLC | [2022-02-14] |
| Comparable Firms | State | AUM ($B) |
|---|---|---|
|
Clarkston Capital Partners LLC
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|
MI | 6.8 |
|
Kornitzer Capital Management Inc
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|
KS | 6.8 |
|
Mutual Advisors LLC
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NE | 6.8 |
|
Kingsview Wealth Management LLC
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OR | 6.7 |
|
John W Bristol & Co Inc
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|
NY | 6.7 |
|
Composition Wealth LLC
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|
CA | 6.7 |
|
Callan Family Office LLC
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|
PA | 6.7 |
|
Hardman Johnston Global Advisors LLC
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|
CT | 6.7 |
|
Provident Trust Company
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|
WI | 6.6 |
|
Human Interest Advisors LLC
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|
CA | 6.6 |