Empirical Asset Management, LLC

RIASEC RegisteredEst. 2010
Total AUM
$560M
Discretionary
$540M
96% of AUM
Avg account
$400K
Accounts
1,399
Employees
14
Advisory reps
13

Firm details

Headquarters
Wellesley, Massachusetts
CRD number
155436
Registered since
November 23, 2010
Website
www.empiricalam.com
Custodians
CHARLES SCHWAB & CO., INC., FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Performance Based Fees
Client types
  • HNWI75.49%
  • Individuals13.36%
  • Pension & Profit Sharing Plans6.31%
  • Corporations / Businesses4%
  • Charitable Organizations0.76%
Services
Portfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Empirical Asset Management, LLC is an SEC-registered investment advisor organized as an LLC and operating since 2010. The firm is classified as a hedge fund manager and serves both individual/family and institutional clients. Its compensation includes a percentage-of-AUM component and performance-based fees, consistent with an active, manager-driven strategy. Empirical provides portfolio management across individuals/small businesses, pooled investment vehicles, and institutional clients, and it performs pension consulting and selection of other advisers. It also acts as sponsor, general partner, and managing member of pooled investment vehicles. The firm identifies itself as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 47%, Exchange Traded Equities 34%, Cash & Cash Equivalents 8%, US Government Bonds 4%, Investment Grade Corp Bonds 2%, State & Local Bonds 1%, Sovereign Bonds 1%, Non-Investment Grade Corp Bonds 1%, Derivatives 1%, Private Funds 1%47%
  • Public Funds/Mutual Funds47%
  • Exchange Traded Equities34%
  • Cash & Cash Equivalents8%
  • US Government Bonds4%
  • Investment Grade Corp Bonds2%

Owners & executives

2 of 2
  • Mark Fiskio

    Mark Fiskio

    Founder, Chief Executive OfficerCRD 1197038

  • Glenn Caldicott

    Glenn Caldicott

    Chief Investment OfficerCRD 1367578

Contacts

3 of 11
  • Philip Nehro

    Philip Nehro

    Investment Advisor RepresentativeCRD 817539

  • Mark Govoni

    Mark Govoni

    Investment Advisor RepresentativeCRD 1410122

  • Joseph Rozzi

    Assistant Vice PresidentCRD 6969697

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

FINTRX

ETF holdings

1 of 221

Active vs passive

$236M in ETFs

Passive

86%

$202M

Active

11%

$33.8M

ETFProviderStyleCategoryValueShares% of portfolio
SPDR S&P 500 ETF TRUST (SPY)State StreetPassiveLarge Blend$12.4M19,1405.27%
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Location

Primary office

Wellesley, MA

Norfolk

Location

Wellesley, MA

Headquartered in Wellesley, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
Norfolk
Address
57 River St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth