Empirical Wealth Management

Asset Manager SEC-registered adviser

Legal name: Empirical Financial Services, LLC

Seattle, WA Website LinkedIn X

AUM

$8.4B
Regulatory AUM

Private funds

1
Other 1

Private fund assets

$16.4M
Gross asset value

Employees

94

Last Form D raise

Mar 2026
Most recent fund filing

From SEC Form ADV filing (filed Jul 29, 2026). View on SEC

People(12)

Owners and executive officers named on the firm's SEC Form ADV.

E
Erik Lehr
Chief Investment Officer & Member
Source: SEC Form ADV
E
Ethan Broga
Director of Financial Planning & Member
Source: SEC Form ADV
H
Hwa Park
Chief Operating Officer & Member
Source: SEC Form ADV
J
Jaime White
Chief Strategy Officer & Member
Source: SEC Form ADV
J
James Jones
Director of Tax and Wealth Transfer & Member
Source: SEC Form ADV
J
Joseph Homer Mercado
Chief Business Development Officer & Member
Source: SEC Form ADV
J
Justin Buller
Chief Compliance Officer & Member
Source: SEC Form ADV
K
Kenneth Smith
Chief Executive Officer & Member
Source: SEC Form ADV
L
Lorne Enquist
Chief Financial Officer & Member
Source: SEC Form ADV
M
Michael Kelly
President & Chief Wealth Strategist & Member
Source: SEC Form ADV
S
Shan Zubair
Financial Advisor & Member
Source: SEC Form ADV
S
Simon Liu
Chief Marketing Technology Officer & Member
Source: SEC Form ADV

Funds(1)

Private funds reported on Form ADV, with amounts raised from the funds' SEC Form D filings.

FundTypeGross assetsRaised (Form D)InvestorsLast Form DRecency
Empirical Alternative Income Fund, LPOther$16.4M$28.9M55Mar 2026Warm

Board seats

Companies whose SEC Form D filings name one of this firm's people as a director, matched by name and office ZIP code.

No board seats matched from SEC filings yet.

Regulatory identifiers

CRD number
152622
SEC file number
801-72168
CIK
1510434

Sources