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Director of Financial Planning & Member · Empirical Wealth Management

Ethan A. Broga

CRD 4272080 · Named on Form ADV at one SEC-registered adviser

At a glance

Empirical Wealth Management, an SEC-registered wealth manager based in Seattle, WA with $8.4 billion in regulatory assets, lists Ethan A. Broga on its Form ADV as Director of Financial Planning & Member, a control person.

Firms and roles

AtlasMembers

Ethan’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
1 firmLocked
When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (11)

  • Kenneth R. SmithChief Executive Officer & Member, Empirical Wealth Management
  • Lorne D. EnquistChief Financial Officer & Member, Empirical Wealth Management
  • Michael P. KellyPresident & Chief Wealth Strategist & Member, Empirical Wealth Management
  • Jaime C. WhiteChief Strategy Officer & Member, Empirical Wealth Management
  • James A. JonesDirector of Tax and Wealth Transfer & Member, Empirical Wealth Management

6 more people named with Ethan on the same filings, with titles and firms. Free in Atlas with a free account.

See all 11 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Ethan’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.