AB
CFA · CFP
Firm Information
Compensation
Fee-Only (AUM)Fixed/Hourly
Number of Advisors
60 advisors
Number of Clients
2,132 clients
Average Client Portfolio
$3.1M average
Assets Under Management
$6.7B
Fee Structure
Minimum Investment:None
Financial Planning:Included in AUM fee
Clients pay a wrap fee covering investment advisory and brokerage services. The standard fee schedule starts at a maximum of 1.00% and scales lower for greater levels of assets under management. Fees are negotiable based on qualitative and quantitative factors. Fees are due quarterly, deducted from accounts. Clients may also pay fees embedded in mutual funds, ETFs, or annuities.
Areas of Practice
Investment ManagementRetirement PlanningTax PlanningEstate PlanningHigh Net WorthBusiness Owners
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Advisor Information
Office location
1420 5th Ave, Suite 3150, Seattle, WA, 98101
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Empirical Wealth Management
July 2022 - Present · 3 yrs 6 mos
Previous Registrations
Forum Financial Management, LP
February 2022 - July 2022 · 5 mos
Dfa Securities LLCBroker
September 2007 - June 2019 · 11 yrs 9 mos
State Registrations3 states
CAORWA
Advisor
Exams
No exam information available for this advisor.