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| Empirical Financial Services LLC
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| CRD # | 152622 |
| SEC # | 801-72168 |
| CIK # | 0001085146, 0001510434 |
| AUM | 8,429.0 M (2026-06-03) |
| Employees | 94 (61% 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 | 0.4 | ||
| Apple Inc | 0.2 | ||
| Microsoft Corp | 0.1 | ||
| Amazon Com Inc | 0.1 | ||
| Alphabet Inc | 0.1 | ||
| Facebook Inc | 0.1 | ||
| Cisco Systems Inc | 0.1 | ||
| Broadcom Inc | 0.0 | ||
| Micron Technology Inc | 0.0 | ||
| Holdings by Sector ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| VC | Empirical Venture Capital Fund LP | [2018-07-10] | ||
| Filed 2018-06-13 (D) · Exemption 3(c), 3(c)(1) · Minimum $250,000 · Remaining Indefinite · Duration One year or less · Net Assets Decline to Disclose | ||||
| Other | Empirical Alternative Income Fund LP | [2018-02-15] | 28.9 M | 16.4 M |
| Filed 2026-03-20 (D/A) · Exemption 506(b), 3(c), 3(c)(1) · Minimum $250,000 · Remaining Indefinite · Duration More than one year · Revenue Decline to Disclose | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 555 | 0.3 |
| (b) Individuals (high net worth individuals) | 1,839 | 8.0 |
| (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 | 5 | 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 | 8,690 | 8.4 |
| By Discretionary | ||
| Discretionary | 8,689 | 8.4 |
| Non-Discretionary | 1 | 0.0 |
| Total | 8,690 | 8.4 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 8.4 | |
| Total | 8,690 | 8.4 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Brendan Lake | Executive Officer | 139 | 15 | |
| Adam Stern | Executive Officer | 116 | 10 | |
| Ken Smith | Executive Officer | 7 | 2 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 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] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $0.9B |
| Serves | Institutional, Retail |
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|---|---|---|
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