Empirical Asset Management, Llc
- Regulatory AUM
- $560M
- Discretionary
- $540M
- Clients
- 474
- Avg AUM / client
- $1.2M
- Accounts
- 1,399
- Employees
- 14
AUM over time
Annual snapshots from Form ADV filings · as of Jul 07, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 190 | $74.8M | 13.4% |
| High net worth individuals | 267 | $423M | 75.5% |
| Pooled investment vehicles (non-investment companies) | 1 | $445K | 0.08% |
| Pension and profit sharing plans | 6 | $35.3M | 6.31% |
| Charitable organizations | Fewer than 5 clients | $4.3M | 0.76% |
| Corporations and other businesses | 10 | $22.4M | 4.0% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Apr 2024 · $1.3M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Empirical Long Short Fund, L.P. | Hedge Fund | Delaware | $1.3M | 4 |
People (13)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Mark Henry Fiskio | Managing Member And Chief Compliance Officer | Sep 2010 (16y) | 50% – 75% | |
| Wadsworth, Robert, Manning | Investor Member | Mar 2016 (10y) | 5% – 10% | |
| Glenn Andrew Caldicott | Chief Investment Officer | Nov 2021 (5y) | Less than 5% | |
| John Patrick Shreenan | Registered representative | Jan 2020 (7y) | ||
| Warren Francis Mulhern | Registered representative | May 2021 (5y) | ||
| Jonathan Charles Penta | Registered representative | Jan 2022 (5y) | ||
| Thomas Frances Alessi | Registered representative | Jun 2022 (4y) | ||
| Mark John Govoni | Registered representative | Apr 2024 (2y) | ||
| Anthony Gale Gray | Registered representative | Feb 2025 (1y) | ||
| Peter Joseph Martin | Registered representative | Mar 2025 (1y) | ||
| Joseph Rozzi | Registered representative | Nov 2025 (1y) | ||
| Richard Edward Oberuc | Registered representative | Jul 2026 (0y) | ||
| Philip Gabriel Nehro | Registered representative | CFP | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Seven Hills Foundation | Investor | Aug 2011 | A | 5% – 10% |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $1.3M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Empirical Long Short Fund, L.P. | Hedge Fund | $1.3M | $100K | 4 |
From Form ADV Section 7.B private fund reporting.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/07/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $266M (47% of AUM) Jul 2026
- Fidelity Brokerage Services $257M (46% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 07, 2026.
View current Form ADV (SEC/IAPD) ↗