AUMdb

Directional Financial Services, Llc

SEC-registered Wealth Manager · Boutique (under $100M) CRD 171903 · SEC file 801-79954 · Seattle, WA · WWW.DIRECTIONALFS.COM
☆ Save with Pro ADV data as of Mar 31, 2026
Regulatory AUM
$11.5M
Discretionary
$11.5M
Clients
34
Avg AUM / client
$337K
Accounts
34
Employees
4

AUM over time

$0 $11.5M
Jun 2014 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 31, 2026

Who they serve

Client typeClientsAUM% of AUM
Individuals (non-high net worth) 34 $11.5M 100.0%

People (5)

roster as of Jul 20, 2026
NameRole / titleCredentialsWith firm sinceOwnership
Kenneth Robert Smith Member CFP Oct 2010 (16y) ≈ 37.5% – 75% via Empirical Wealth Management
Justin Wyatt Buller Chief Compliance Officer Jan 2021 (6y) Less than 5%
Jason Phillip Sulkosky Registered representative CFP Oct 2015 (11y)
Erik James Lehr Registered representative CFA Dec 2018 (8y)
Kevin Byrd Registered representative CFP Mar 2024 (2y)

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
Empirical Wealth Management Owner May 2014 A 75% or more

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

  • Kenneth Robert Smith: 50% – 75% of Empirical Wealth Management × 75% – 100% direct ≈ 37.5% – 75% of the firm

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.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/31/2026 1.19 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
  • Hourly charges
  • Fixed fees

Services

  • Financial planning services
  • Portfolio management for individuals/small businesses

Custody

Reported custodians

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: Mar 31, 2026.

View current Form ADV (SEC/IAPD) ↗