# EMPIRICAL FINANCIAL SERVICES, LLC

EMPIRICAL FINANCIAL SERVICES, LLC of SEATTLE, WA is an SEC-registered investment adviser.

## Registration

- CRD: 152622
- Type: SEC-registered investment adviser
- SEC file number: 801-72168
- Location: 1420 5TH AVE, SUITE 3150, SEATTLE, WA, 98101
- Phone: 206-923-3474
- Latest filing: 2026-07-29
- Regulatory AUM: $8.4B
- Discretionary AUM: $8.4B
- Non-discretionary AUM: $3.2M
- Clients: 94
- Accounts: 8,690

## Business model

- Compensation: % of AUM, Hourly, Fixed, Performance
- Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Investment cos, Other

## Officers, owners & control persons (30)

_Showing 25 of 30 people._

| Name | Role | Location |
| --- | --- | --- |
| KELLY PATRICK | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER & MEMBER; PRESIDENT & CHIEF WEALTH STRATEGIST & MEMBER | MONTREAL, A8 |
| Kenneth Robert Smith | CHIEF EXECUTIVE OFFICER & MEMBER | — |
| Ethan Andrew Broga | DIRECTOR OF FINANCIAL PLANNING & MEMBER | — |
| Lorne David Enquist | CHIEF FINANCIAL OFFICER & MEMBER | — |
| Michael Patrick Kelly | PRESIDENT & CHIEF WEALTH STRATEGIST & MEMBER | — |
| Jaime Chelan Christina White | CHIEF OF STAFF; CHIEF STRATEGY OFFICER & MEMBER | — |
| James Allen Jones | DIRECTOR OF TAX AND WEALTH TRANSFER & MEMBER | — |
| Simon Joshua Liu | CHIEF MARKETING TECHNOLOGY OFFICER & MEMBER | — |
| Shan Zubair | FINANCIAL ADVISOR & MEMBER | — |
| Erik James Lehr | CHIEF INVESTMENT OFFICER & MEMBER | — |
| Justin Wyatt Buller | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & MEMBER | — |
| Joseph Homer Carlos Mercado | CHIEF BUSINESS DEVELOPMENT OFFICER & MEMBER; CHIEF OPERATIONS OFFICER & MEMBER | — |
| Hwa Chong Park | CHIEF OPERATING OFFICER & MEMBER | — |
| SMITH JEFFREY ROBERT | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & MEMBER; MANAGING MEMBER | — |
| MERCADO CARLOS | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER & MEMBER | — |
| JONES KREG ALLEN | CHIEF COMPLIANCE OFFICER; DIRECTOR OF TAX AND WEALTH TRANSFER & MEMBER | — |
| MONTEITH JACK DONALD | PRESIDENT | — |
| BULLER JUSTIN WYATT | CHIEF COMPLIANCE OFFICER | — |
| VAN GINHOVEN PAUL SCOTT | PRINCIPAL | — |
| HOLDERMAN JAIME CHELAN CHRISTINA | CHIEF COMPLIANCE OFFICER; CHIEF OPERATIONS OFFICER | — |
| BROGA ETHAN ANDREW | CHIEF OPERATING OFFICER; DIRECTOR OF FINANCIAL PLANNING & MEMBER; MEMBER (+1 more) | — |
| ENQUIST LORNE DAVID | CHIEF FINANCIAL OFFICER & MEMBER; PRINCIPAL | — |
| WHITE JAIME CHELAN CHRISTINA | CHIEF OF STAFF; CHIEF OPERATING OFFICER; CHIEF OPERATIONS OFFICER | — |
| SIPPLE JULIA BALITSKY | CHIEF COMPLIANCE OFFICER | — |
| CONTRERAS SHANNON MARIE | CHIEF COMPLIANCE OFFICER | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/152622/brochure
- Similar advisers: https://search.stillhousedata.com/firm/152622/similar
- Related entities: https://search.stillhousedata.com/firm/152622/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/152622

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.