Empirical Financial Services, LLC d.b.a. Empirical Wealth Management

Registered adviser

CIK

1510434

Location

Seattle, WA

Portfolio Value

Mid $7,060,846,716

Diversification

Diversified

Reports for

Quantinno Capital Management Brooklyn Investment Group

Filing Date

Global Rank

#713 / 8,818 ▲ 33 · as of Jun 2026

Top Industry

Semiconductors 25.5%

Period ended 28 days ago

Filed Oct 27, 2026 · 1d

27 quarters · since Mar 2020

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Oct 1, 2026

Form ADV adviser

CRD 152622

Roster of Oct 1, 2026

Regulatory AUM

$8,428,968,273

Main clients

Individuals and high net worth (98% of AUM)

Private funds

1 fund · Other private funds

Focus by fund count, roster of Oct 1, 2026

$16,387,744 gross assets

Private funds on Schedule D 7.B.(1)

As filed Mar 28, 2024; SEC's bulk Form ADV archive ends with 2024 filings.

$21,460,639 gross assets in 1 fund Other private funds $21,460,639 (1)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Oct 2026	$8,428,968,273	Individuals and high net worth (98%)
Apr 2025 to Mar 2026	$6,701,226,120	Individuals and high net worth (98%)
Apr 2024 to Mar 2025	$5,525,184,211	Individuals and high net worth (97%)
May 2023 to Mar 2024	$4,178,934,091	Individuals and high net worth (96%)
Apr 2023	$4,178,934,091	Individuals and high net worth (96%)
Apr 2022 to Mar 2023	$4,166,875,809	Individuals and high net worth (95%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Concentrated

The top 10 positions are 60.1% of the book (60%+)

Turnover

Low turnover

10.5% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 22.1 quarters (12+), a floor since 67.3% of the book was already held when coverage starts

Closest benchmark: every 13F filer's combined book, active share 58.1%; sector active share 49.0% against the combined 13F book's sector weights.

Over time 26 measured quarters

How the bands are measured

Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.

Clone Performance

Build a hypothetical price-return history from this filer's public 13F holdings.

View clone backtest

Portfolio Concentration

1,131 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

21.6%

−3.4 pts

Top 5

45.9%

−2.0 pts

Top 10

58.9%

−1.3 pts

HHI

680

Diversified−131

Portfolio Trend

27 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	57.5%	$4,061,995,807	264
Technology	21.2%	$1,495,977,269	160
Financial Services	4.3%	$301,036,234	154
Communication Services	3.5%	$249,175,636	30
Consumer Cyclical	3.1%	$220,163,963	97
Industrials	3.0%	$212,242,109	124
Healthcare	2.6%	$180,939,726	100
Consumer Defensive	1.9%	$135,051,454	39
Energy	1.1%	$76,427,474	46
Basic Materials	0.6%	$45,168,347	42
Real Estate	0.6%	$42,974,257	42
Utilities	0.6%	$39,694,440	33

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
IQLT	iShares MSCI Intl Quality Factor ETF	+343,608	8,234,727	$407,371,944
NVDA	Nvidia Corp	+341,422	2,401,816	$548,526,737
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	+255,520	5,401,538	$265,863,700
PAGS	PagSeguro Digital Ltd.	+196,089	267,937	$2,384,639
DFUV	Dimensional U.S. Marketwide Value ETF	+168,161	3,523,255	$193,779,025
SPSB	State Street(R) SPDR(R) Portfolio Short Term Corporate Bond ETF	+161,367	385,043	$11,393,422
SB	Safe Bulkers, Inc.	+144,371	155,668	$1,329,404
EFV	iShares MSCI EAFE Value ETF	+126,210	2,260,904	$178,927,942
FULT	Fulton Financial Corp	+105,588	122,497	$2,763,532
SCHC	Schwab International Small-Cap Equity ETF	+104,306	1,055,721	$52,511,562
FPE	First Trust Preferred Securities and Income ETF	+83,694	1,376,791	$23,474,286
IEMG	iShares Trust	+74,665	2,103,258	$0
ADT	ADT Inc.	+69,610	100,026	$608,158
WIT	Wipro Ltd	+65,573	231,212	$381,499
QGRW	WisdomTree U.S. Quality Growth Fund	+63,780	1,224,011	$84,065,074
SCHB	Schwab U.S. Broad Market ETF	+59,786	283,283	$8,303,024
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	+58,840	2,936,652	$226,856,366
COMT	iShares GSCI Commodity Dynamic Roll Strategy ETF	+58,219	72,176	$2,660,407
DHT	DHT Holdings, Inc.	+54,601	112,121	$2,530,570
VNQI	VANGUARD GLOBAL EX-U.S. REAL ESTATE INDEX FUND	+54,584	554,606	$23,581,846
SPCX	Space Exploration Technologies Corp	+47,485	50,337	$7,593,839
SCHX	Schwab U.S. Large-Cap ETF	+46,828	1,100,655	$33,019,650
SSRM	Ssr Mining Inc.	+45,772	85,624	$2,852,991
SPIB	State Street(R) SPDR(R) Portfolio Intermediate Term Corporate Bond ETF	+45,317	244,647	$7,897,204
LAUR	Laureate Education, Inc.	+45,083	106,033	$4,046,218
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
COLB	Columbia Banking System, Inc.	−132,615	25,107	$718,060
NTCT	Netscout Systems Inc	−54,019	40,610	$1,631,708
FLO	Flowers Foods Inc	−26,219	39,840	$221,112
HYD	VanEck High Yield Muni ETF	−22,443	38,892	$1,867,982
ACMR	ACM Research, Inc.	−21,271	11,882	$961,491
SNAP	Snap Inc	−20,199	30,234	$163,263
SANM	Sanmina Corp	−19,721	1,029	$221,142
KAT	Scharf ETF	−17,027	35,012	$1,972,401
RELY	Remitly Global, Inc.	−15,617	92,272	$1,969,084
DUHP	Dimensional US High Profitability ETF	−14,802	677,134	$28,378,685
AXS	Axis Capital Holdings Ltd	−12,695	9,330	$878,885
LYTS	Lsi Industries Inc	−12,608	25,013	$519,019
SCHZ	Schwab U.S. Aggregate Bond ETF	−12,506	124,126	$2,743,184
WRB	Berkley W R Corp	−11,093	48,629	$3,284,402
INTC	Intel Corp	−10,927	94,583	$11,371,713
MU	Micron Technology Inc	−10,133	21,797	$23,216,201
IGPT	Victory Portfolios II	−10,120	2,247	$0
GTX	Garrett Motion Inc.	−10,059	35,216	$916,672
CHAT	Roundhill Generative AI & Technology ETF	−9,705	4,291	$394,686
UNM	Unum Group	−9,406	7,372	$646,744
VTV	VANGUARD VALUE INDEX FUND	−8,795	327,502	$70,766,631
G	Genpact LTD	−8,297	23,390	$760,876
GLPI	Gaming & Leisure Properties, Inc.	−8,014	11,402	$432,933
STIP	iShares 0-5 Year TIPS Bond ETF	−7,418	161,742	$16,125,677
CMF	iShares California Muni Bond ETF	−7,293	36,885	$1,996,216
No positions match the current search.

New Positions

Positions the filer opened this quarter

25 positions

Ticker	Company	Shares	Value
AAUB		294,745	$15,111,575
EBF	Ennis, Inc.	87,735	$1,974,914
BFH	Bread Financial Holdings, Inc.	16,720	$1,634,380
AMAL	Amalgamated Financial Corp.	31,875	$1,516,293
AZZ	Azz Inc	10,596	$1,423,995
RBRK	Rubrik, Inc.	11,959	$1,368,946
CTS	Cts Corp	23,248	$1,364,424
SGI	Somnigroup International Inc.	21,016	$1,305,303
OBT	Orange County Bancorp, Inc.	32,739	$1,209,705
ROG	Rogers Corp	7,530	$1,152,013
WTM	White Mountains Insurance Group Ltd	502	$1,007,257
GOLD	Gold.com, Inc.	23,197	$987,495
NTAP	NetApp, Inc.	4,480	$941,158
ASO	Academy Sports & Outdoors, Inc.	18,491	$889,231
ANF	Abercrombie & Fitch Co	6,565	$884,238
GCT	GigaCloud Technology Inc	16,767	$866,517
EPAM	EPAM Systems, Inc.	7,992	$866,012
MLAB	Mesa Laboratories Inc	6,455	$838,762
SWK	Stanley Black & Decker, Inc.	9,189	$814,053
P	Everpure, Inc.	5,962	$779,709
AXTI	Axt Inc	9,807	$759,159
DAR	Darling Ingredients Inc.	12,369	$750,921
CALY	Callaway Golf Co	53,161	$749,038
MCS	Marcus Corp	26,715	$745,080
PVH	Pvh Corp.	9,931	$735,390
No positions match the current search.

Sold Out

Positions the filer fully exited

25 positions

Ticker	Company	Shares	Value
WRLD	World Acceptance Corp	11,326	$2,535,097
—		73,041	$2,295,679
NXT	Nextpower Inc.	15,083	$1,796,988
RMBS	Rambus Inc	11,506	$1,527,305
ETD	Ethan Allen Interiors Inc	43,249	$966,182
THNQ	ROBO Global Artificial Intelligence ETF	10,473	$955,242
IDT	Idt Corp	14,881	$865,478
DGICA	Donegal Group Inc	44,875	$846,342
FN	Fabrinet	1,469	$825,695
STRL	Sterling Infrastructure, Inc.	866	$726,884
NTGR	Netgear, Inc.	28,621	$668,299
SKWD	Skyward Specialty Insurance Group, Inc.	11,134	$649,668
CMCL	Caledonia Mining Corp Plc	33,856	$646,648
GPGI	GPGI, Inc.	39,857	$631,733
—		51,868	$607,374
TK	Teekay Corp Ltd	59,718	$597,180
GPOR	Gulfport Energy Corp	3,412	$579,016
TDS	Telephone & Data Systems Inc	15,424	$570,841
CBRS	Cerebras Systems Inc.	2,579	$569,959
SMG	Scotts Miracle-Gro Co	8,312	$566,130
LRN	Stride, Inc.	6,479	$558,748
—		10,631	$552,280
NYF	iShares New York Muni Bond ETF	10,226	$551,283
LHX	L3harris Technologies, Inc.	1,789	$519,865
—		2,438	$499,886
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

1,131 tracked positions · $7,060,846,716 total · filing declares 2,055 positions · $7,384,366,570 · as of Sep 30, 2026

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 1,131 positions by value · page 1 of 23

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
NVDA	Nvidia Corp PUT CALL + SHARES Technology	Added	2,559,316	+382,322	$584,496,587	+34.2%	8.28%
IQLT	iShares MSCI Intl Quality Factor ETF	Added	8,234,727	+343,608	$407,371,944	+4.2%	5.77%
QUAL	iShares MSCI USA Quality Factor ETF	Added	1,809,936	+15,484	$402,240,176	+2.2%	5.70%
MTUM	iShares MSCI USA Momentum Factor ETF	Reduced	930,403	-1,210	$295,254,087	−7.6%	4.18%
VTIP	VANGUARD SHORT-TERM INFLATION-PROTECTED SECURITIES INDEX FUND	Added	5,401,538	+255,520	$265,863,700	+2.9%	3.77%
VCSH	VANGUARD SHORT-TERM CORPORATE BOND INDEX FUND	Added	2,936,652	+58,840	$226,856,366	−0.3%	3.21%
AAPL	Apple Inc. PUT CALL + SHARES Technology	Added	652,624	+31,881	$217,336,844	+21.0%	3.08%
DFUV	Dimensional U.S. Marketwide Value ETF	Added	3,523,255	+168,161	$193,779,025	+5.0%	2.74%
EFV	iShares MSCI EAFE Value ETF	Added	2,260,904	+126,210	$178,927,942	+9.5%	2.53%
MSFT	Microsoft Corp PUT CALL + SHARES Technology	Added	241,142	+11,652	$123,681,731	+44.5%	1.75%
SPY	Spdr S&P 500 ETF Trust PUT CALL + SHARES	Added	157,396	+52,666	$120,034,911	+53.5%	1.70%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Added	1,494,823	+39,993	$117,059,589	−2.6%	1.66%
DFIV	Dimensional International Value ETF	Added	1,849,166	+13,289	$103,294,412	+4.2%	1.46%
META	Meta Platforms, Inc. Communication Services	Added	134,152	+24,740	$97,284,346	+57.9%	1.38%
QGRW	WisdomTree U.S. Quality Growth Fund	Added	1,224,011	+63,780	$84,065,074	+9.7%	1.19%
AMZN	Amazon Com Inc PUT CALL + SHARES Consumer Cyclical	Added	328,553	+13,605	$81,858,979	+9.1%	1.16%
AVDV	Avantis International Small Cap Value ETF	Added	705,864	+41,924	$77,207,403	+12.8%	1.09%
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	Added	1,235,960	+22,999	$71,141,857	+0.8%	1.01%
VTV	VANGUARD VALUE INDEX FUND	Reduced	327,502	-8,795	$70,766,631	−3.4%	1.00%
GOOG	Alphabet Inc. Communication Services	Added	205,633	+21,402	$70,067,387	+7.6%	0.99%
VEA	Vanguard FTSE Developed Markets ETF	Added	908,798	+9,242	$64,170,226	+0.1%	0.91%
DFAT	Dimensional U.S. Targeted Value ETF	Reduced	919,747	-2,985	$61,107,990	−5.3%	0.87%
CSCO	Cisco Systems, Inc. Technology	Added	510,699	+29,599	$54,966,533	−2.7%	0.78%
AVUV	Avantis U.S. Small Cap Value ETF	Added	465,908	+21,335	$54,869,984	−1.1%	0.78%
SCHC	Schwab International Small-Cap Equity ETF	Added	1,055,721	+104,306	$52,511,562	+14.7%	0.74%
AVGO	Broadcom Inc. PUT CALL + SHARES Technology	Added	131,718	+24,789	$46,258,044	+14.5%	0.66%
VNQ	VANGUARD REAL ESTATE INDEX FUND	Added	505,041	+25,177	$45,266,824	−2.2%	0.64%
DELL	Dell Technologies Inc. Technology	Reduced	78,890	-4,355	$42,438,875	+18.2%	0.60%
AMD	Advanced Micro Devices Inc Technology	Added	58,122	+4,546	$35,556,714	+14.2%	0.50%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	93,311	+7,011	$34,920,707	+9.4%	0.49%
SCHF	Schwab International Equity ETF	Added	1,264,387	+20,695	$34,732,710	+0.8%	0.49%
SCHX	Schwab U.S. Large-Cap ETF	Added	1,100,655	+46,828	$33,019,650	+6.5%	0.47%
JPM	Jpmorgan Chase & Co Financial Services	Added	98,867	+8,312	$32,708,169	+10.3%	0.46%
VSS	VANGUARD FTSE ALL-WORLD EX-US SMALL-CAP INDEX FUND	Reduced	204,569	-849	$31,759,337	+0.2%	0.45%
GOOGL	Alphabet Inc. Communication Services	Added	91,643	+2,272	$31,532,523	−1.3%	0.45%
TSLA	Tesla, Inc. Consumer Cyclical	Added	88,382	+2,719	$31,358,816	−13.0%	0.44%
DFAC	Dimensional U.S. Core Equity 2 ETF	Reduced	703,026	-2,778	$31,249,505	−0.2%	0.44%
VBR	VANGUARD SMALL-CAP VALUE INDEX FUND	Reduced	129,584	-1,515	$29,937,790	−6.0%	0.42%
ESGD	iShares ESG Aware MSCI EAFE ETF	Added	288,703	+6,491	$29,750,844	+2.5%	0.42%
MGC	VANGUARD MEGA CAP INDEX FUND	Added	100,650	+3,134	$28,414,501	+6.5%	0.40%
DUHP	Dimensional US High Profitability ETF	Reduced	677,134	-14,802	$28,378,685	−1.7%	0.40%
MGK	VANGUARD MEGA CAP GROWTH INDEX FUND	Added	296,417	+11,689	$27,463,034	+9.7%	0.39%
BNY	Bank of New York Mellon Corp Financial Services	Added	189,248	+9,979	$27,370,937	+5.6%	0.39%
MO	Altria Group, Inc. Consumer Defensive	Added	390,029	+18,217	$26,264,552	−1.8%	0.37%
IWC	iShares Micro-Cap ETF	Reduced	137,397	-3,340	$25,390,965	−9.8%	0.36%
JNJ	Johnson & Johnson Healthcare	Added	94,705	+4,674	$25,072,201	+9.7%	0.36%
DFAS	Dimensional U.S. Small Cap ETF	Added	317,829	+412	$24,606,320	−5.9%	0.35%
LRCX	Lam Research Corp Technology	Added	74,445	+467	$24,455,926	−23.7%	0.35%
MU	Micron Technology Inc CALL + SHARES Technology	Reduced	22,297	-9,733	$23,748,756	−35.8%	0.34%
VNQI	VANGUARD GLOBAL EX-U.S. REAL ESTATE INDEX FUND	Added	554,606	+54,584	$23,581,846	+5.2%	0.33%

Showing the top 50 of 1,131 positions. Create a free account to see every position, past quarters, search, filters and CSV export.

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.