Our Team

$ 6.2 B
Assets Under Management
2006
Founded
38
States with clients
85
Average clients per advisor
90
Employees
100
Accumulated Academic Credentials

As of 1/1/2024

  • Brian Reed, CFP®, MS Regional Manager/Sr. Lead Advisor

    Brian Reed, CFP®, MS

    As a financial advisor at Empirical Wealth Management, Brian works to develop personalized financial planning strategies for our clients focusing on tax minimization, wealth management, and cash flow analysis. Brian is passionate about learning each client’s retirement goals and values to create a comprehensive financial plan while maximizing and protecting their wealth. With his prior experience as a portfolio manager, Brian is well versed in the relationship between financial planning and investment management and how to best implement each client specific strategy.
    Professional Designation
    • CERTIFIED FINANCIAL PLANNER™ professional
    Education
    • Seattle University
      • Master's in Finance
    • University of Washington
      • Bachelor's in Economics
    Community Involvement
    • Humane Society
    Personal Interests
    • Fly fishing
    • Camping throughout the great Northwest
  • Erik Lehr, CFA®, CAIA®, MS, MA Chief Investment Officer | Principal

    Erik Lehr, CFA®, CAIA®, MS, MA

    As Chief Investment Officer, Erik oversees portfolio research, investment strategy execution, and the Portfolio Management team. He works directly with clients to develop and maintain their investment portfolios. Additionally, Erik is the Portfolio Manager of the Empirical Alternative Income Fund, LP. Outside of work, Erik is an active member of his community and serves on several city boards and commissions.
    Professional Designation
    • Chartered Financial Analyst
    • Chartered Alternative Investment Analyst
    Education
    • University of Washington
      • Master’s in Computational Finance and Risk Management
    • University of Oregon
      • Master’s in Economics
      • Bachelor’s in Economics and Mathematics

     

    Community Involvement
    • Chapter Executive - CAIA Society (Seattle Chapter)
    • Board Member – Beaverton Urban Renewal Advisory Committee
    • Board Member – Five Oaks/Triple Creek Neighborhood Association Committee
    • Board Member – Beaverton Committee for Community Involvement
    • CFA Society of Portland
    • Portland Alternative Investment Association
    • City Club of Portland
    Personal Interests
    • Scuba diving
    • Traveling
    • Spending time with his three dachshunds
  • Ethan Broga, CFP®, MS Director of Financial Planning | Principal

    Ethan Broga, CFP®, MS

    As a partner with Empirical Wealth Management, Ethan works to develop, implement and monitor sound financial strategies designed to grow and protect the wealth of individuals, families and non-profit organizations. Ethan is the head of the Financial Planning Committee which oversees the development and expertise of Empirical’s financial planning recommendations. Rather than just another “financial advisor,” Ethan describes his primary role as that of a trusted “Personal Financial Advocate” who weighs the impact of each financial decision within the unique context of each client’s overall financial plan. Ethan is a Northwest native and has been in the financial industry since 1998. He lives in the West Seattle neighborhood of Seattle with his wife Corie and his two children Carsen and True.
    Professional Designation
    • CERTIFIED FINANCIAL PLANNER™ professional
    Education
    • College for Financial Planning
      • Master's in Financial Planning
    • Washington State University
      • Bachelor's in Finance
    Community Involvement
    • The Skagit Land Trust
    • Nooksack Salmon Enhancement Association
    Personal Interests
    • Playing guitar
    • Playing soccer
    • Paddle boarding
    • Golfing
    • Trivia
    • Snowboarding
  • Jaime White Chief of Staff

    Jaime White

    As Chief of Staff, Jaime ensures internal resources are aligned to execute on initiatives and deliver on the firm’s mission. She is passionate about building a team of happy and engaged experts who can provide clients the best financial planning advice possible. Jaime is committed to creating an environment that facilitates the best possible experience for our clients, business partners, and employees.

    Education
    • Seattle University
      • Bachelor's in Finance
    Community Involvement
    • Seattle Humane Society
    Personal Interests
    • Fitness and Nutrition
    • Cooking
  • James A. Jones II, JD, CPA, MPAcc Director of Tax and Wealth Transfer | Principal

    James A. Jones II, JD, CPA, MPAcc

    As Director of Tax and Wealth Transfer, Jim applies his tax and legal expertise to guide the firm’s tax planning and wealth transfer strategies. He provides proactive tax planning solutions to high net worth individuals, families, and their businesses. Jim works with clients to develop estate plans and applies advanced estate and gift tax planning techniques in accordance with each client’s needs. Jim also provides his expertise as a member of the Financial Planning Committee, which develops innovative planning solutions for clients.
    Professional Designation
    • Certified Public Accountant
    Education
    • University of Washington School of Law
      • Juris Doctor (JD)
    • University of Washington
      • Master's in Professional Accounting (Auditing and Assurance)
      • Bachelor's in Business Administration
    Community Involvement
    • President, Issaquah Select Basketball
    • Board Member, Eastside Travel League
    • Youth Basketball Coach, Elite Sports Academy
    Personal Interests
    • Spending time with wife, Katie, and their two sons, James and Liam
    • Reading
    • Playing basketball
    • Sports Coaching
  • Joseph C. Mercado Chief Operating Officer | Principal

    Joseph C. Mercado

    As Chief Operating Officer and Business Development Officer, Joe is responsible for managing operations, growing the firm through the maintenance and development of business relationships, mergers and acquisitions, and opening new markets for expansion. Additionally, he works closely with the Advisory team to ensure all clients are provided an exceptional service.
    Education
    • University of Washington
      • Bachelors of Art
    • Harvard University
      • Strategic Business Management
    Community Involvement
    • Orphans of Asia
    Personal Interests
    • Golf
    • Tennis
    • Basketball
    • Camping
  • Justin Buller, IACCP® Chief Compliance Officer

    Justin Buller, IACCP®

    Justin has over 22 years of experience in the investment management industry, with a deep knowledge of investment operations, trading and served as CCO to a Seattle-based registered investment adviser for over 10 years. His thorough understanding of the investment adviser regulatory landscape helps ensure Empirical maintains the highest level of ethical business practices and upholds its fiduciary obligation of always placing our clients’ interests first.
    Professional Designation
    • IACCP® – Investment Adviser Certified Compliance Professional
    Education
    • Seattle University
      • Bachelor's in Finance
    Personal Interests
    • Enjoys spending time with his wife and four children
    • Owns horses and goats on their property
    • Accomplished amateur golfer
  • Kenneth R. Smith, CFP®, MS Chief Executive Officer | Principal

    Kenneth R. Smith, CFP®, MS

    Ken is the Chief Executive Officer of Empirical Wealth Management. He guides the firm’s long-term strategy and is a senior financial advisor.  Ken is passionate about educating individuals on how to become smarter investors. He hosted an informative financial radio show titled “Empirical Investing Radio” on VoiceAmerica and has designed a proprietary program “Empirical Income Planner” to help individuals plan for retirement.
    Professional Designation
    • CERTIFIED FINANCIAL PLANNER™ professional
    Education
    • College for Financial Planning
      • Master’s in Financial Analysis
    • University of Arizona
      • Bachelor’s in Finance and Accounting
    Personal Interests
    • Ken is a 1st degree Black Belt in the Kajukenbo martial arts system.
    • Writing a book on personal finance
  • Lorne Enquist, CPA/PFS, MPAcc Chief Financial Officer | Principal

    Lorne Enquist, CPA/PFS, MPAcc

    As a partner with Empirical, Lorne manages portfolios and shares his tax consulting experience for strategic tax planning for Empirical clients. Lorne has a combined 20 years of experience advising his clients on their tax and financial affairs. Lorne is a member of the financial planning committee which develops innovative planning solutions for clients. Lorne works with clients to prepare customized financial plans based on their unique needs, resources and goals. He helps them implement the plan with practical strategies, in order to navigate the complexities of their financial lives, building on strengths and addressing weaknesses. He provides ongoing monitoring and revising to meet their goals as well as their lifestyle.
    Professional Designation
    • Certified Public Accountant / Personal Financial Specialist
    Education
    • University of Washington
      • Master's in Professional Accounting in Taxation
      • Bachelor's in Accounting
    Community Involvement
    • American Institute of Certified Public Accountants
    Personal Interests
    • Spending time with his wife Tyera, daughter Maggie, and son Jackson
    • Spectating his children's sporting events
  • Mark B. Umek, CFP® Financial Advisor

    Mark B. Umek, CFP®

    As a financial advisor with 20 years of experience, Mark is dedicated to providing clients with sound financial advice and exceptional service. He guides his clients through the financial planning process to create a plan that acts as their financial road map. Plans are then monitored on a regular basis to identify any necessary adjustments. Mark hopes his clients will consider him their most trusted advisor and advocate. He lives in Camas, WA with his wife Jenna and their two boys.
    Professional Designation
    • CERTIFIED FINANCIAL PLANNER™ professional
    Education
    • San Diego State University
      • Executive Financial Planner Advanced Certificate
    • California State University, Long Beach
      • Bachelor's in Business Administration
    Community Involvement
    • Financial Planning Association of Oregon & S.W. Washington
    Personal Interests
    • Spending time with his family and friends
    • Watching movies and sporting events
  • Michael Kelly, CFA®, CFP®, EA, MS President | Chief Wealth Strategist | Principal

    Michael Kelly, CFA®, CFP®, EA, MS

    As the President and Chief Wealth Strategist, Michael is responsible for overseeing the execution of the firm's long-term vision and strategy. He leads the investment committee and oversees the creation and design of Empirical's investment strategies. Michael works directly with institutions and individual clients to design custom solutions to achieve their financial goals. Michael previously served as Empirical's Chief Investment Officer. Prior to Empirical, he worked as an Institutional Portfolio Specialist serving governments, corporations, non-profits, and other organizations around the world. In this role he reviewed and counseled on investment policy statement design, communicated portfolio strategy details, and led the team’s client servicing efforts. He was a Senior Equity Research Analyst and part of a team that managed over $100 billion of assets across 20 active equity strategies. He covered the Health Care, Financials, Consumer Staples, Utilities, Communication Services, and the Real Estate sectors. He co-authored a book discussing the details and complexities of investing in Health Care equities.
    Professional Designation
    • Chartered Financial Analyst
    • CERTIFIED FINANCIAL PLANNER™ professional
    • IRS Enrolled Agent
    Education
    • Saint Xavier University
      • Master's in Finance
    • Illinois State University
      • Bachelor's in Finance and Marketing
    Community Involvement
    • Board Member - Multnomah Athletic Foundation
    • CFA Society of Portland
    Personal Interests
    • Listening to live music
    • Hiking
  • Shan Zubair, CFP®, MS Financial Advisor | Principal

    Shan Zubair, CFP®, MS

    Shan has been with Empirical Wealth Management since 2007 and has extensive knowledge in the implementation of the firm’s investment management, tax minimization and financial planning strategies. A native to the Pacific Northwest, Shan graduated with a Bachelor of Arts in Finance and a Master of Science in Finance from the Albers School of Business at Seattle University.
    Professional Designation
    • CERTIFIED FINANCIAL PLANNER™ professional
    • Chartered Mutual Fund Counselor
    Education
    • Seattle University
      • Master's in Finance
      • Bachelor’s in Finance
    • University of Washington
      • Certification in Business Development
    Community Involvement
    • Former Member of the Business Leadership Council of Washington DECA
    • Former Board of Trustees at KidsQuest Children’s Museum
    Personal Interests
    • Spending time outdoors with his wife, kids, friends, and family
  • Simon Liu, PMP®, CMFC® Chief Marketing Technology Officer | Principal

    Simon Liu, PMP®, CMFC®

    As Chief Marketing Technology Officer, Simon manages the technology and marketing needs for Empirical. He works to maintain and develop efficiencies with the tools our advisory team uses and ensures that our clients’ personal data is kept private and secure. With a keen eye for design, Simon works closely with the partners to develop and improve the Empirical brand. Through the use of technology, they work to enhance each client’s experience with his or her advisor, building trust and clarity. With a background in portfolio management and as an associate advisor, Simon has a clear understanding of what is required to stay at the forefront of our clients’ needs.
    Professional Designation
    • Project Management Professional ®
    • Chartered Mutual Fund Counselor ℠
    Education

     

    • University of Washington
      • Bachelor's in Economics
    Personal Interests
    • Cooking
    • Traveling
    • Exercising
    • Dining
    • Technology and Gadgets

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