DIRECTIONAL FINANCIAL SERVICES
DIRECTIONAL FINANCIAL SERVICES, LLC Legal Name
Adviser information for DIRECTIONAL FINANCIAL SERVICES last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Washington, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 80 | $9.3M |
| Non-Discretionary | 0 | $0 |
| Total | 80 | $9.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 35 | $9.3M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-79954 |
|---|---|
| SEC ERA File Number | 801-79954 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 171903 |
| Legal Entity Identifier | None |
Principal Office
1420 5TH AVESUITE 3150
SEATTLE
WA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 206-508-3240, Fax: 866-496-9877
Websites
Chief Compliance Officer
JUSTIN BULLER
1420 5TH AVE
SUITE 3150
SEATTLE
WA
United States
Tel:
206-923-3474
Fax:
206-923-3484
C*********@************T
(Full email address available in API data)
Industry Affiliates
| EMPIRICAL INSURANCE, LLC | Insurance company or agency |
| EMPIRICAL PROPERTIES | Real estate broker or dealer |
| EMPIRICAL PROPERTIES | Real estate broker or dealer |
| EMPIRICAL WEALTH MANAGEMENT | Other investment adviser, including financial planners |
| SECURE LEGACY LAW GROUP | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| EMPIRICAL WEALTH MANAGEMENT | Domestic Entity | – | OWNER | 05/2014 | > 75% |
| SMITH, KENNETH, ROBERT | Individual | EMPIRICAL WEALTH MANAGEMENT | MEMBER | 10/2010 | 50-75% |
| BULLER, JUSTIN, WYATT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |