Advisor at Empirical Asset Management, LLC
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Firm
Empirical Asset Management, LLC
Location
Wellesley, MA 02481
Credentials
Series 63, Series 65
Industry experience
1 year
Joseph Rozzi is a financial advisor at Empirical Asset Management, LLC with one year of industry experience. He holds Series 63 and Series 65 licenses and previously worked at First Republic Bank and Santander Securities LLC. Rozzi also spent four years at Merrimack College prior to his roles in finance. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to a broad range of clients including individuals, high-net-worth clients, trusts, charitable organizations, and institutions. The firm employs a rules-based, long-term investment approach using low-cost ETFs, mutual funds, individual securities, and alternative vehicles through its proprietary Rules Based Investing® methodology.
Based on Empirical Asset Management, LLC
Based on Empirical Asset Management, LLC
0.20% to 2.00% annually (negotiable based on factors such as service complexity and asset level)
20% of gains annually on Qualified Clients' accounts, subject to high water mark, as described in Offering Documents for the Fund.
Fee-only: Investment management fees range from 0.20% to 2.00% annually, paid quarterly in advance, negotiable.
57 River Street, Suite 301
Wellesley, MA 02481
Massachusetts
Empirical Asset Management, LLC
2022 - Present (4 years)
Unemployed
2022 - 2022 (1 year)
First Republic Bank
2019 - 2022 (3 years)
Santander Securities LLC
2018 - 2019 (1 year)
Santander Bank, NA
2018 - 2019 (1 year)
Merrimack College
2014 - 2018 (4 years)
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Is active or affiliated with:
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Is not active or affiliated with:
Insurance agent
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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I began my career in the financial services industry nearly ten years ago. Prior to founding Dreamfield Planning Group, I served as an associate wealth management advisor at Sconset Wealth Management—an advisory practice nested in the downtown Boston office of Northwestern Mutual—where I developed financial plans and managed investment assets. In a preceding role in the same office, I led an internal business unit providing investment consulting services to multiple financial advisors representing more than $200 million of assets under management (AUM). Previous to that, I served as an associate financial advisor at a Foxborough, Massachusetts financial planning practice and as a research analyst at a Cambridge, Massachusetts public policy research firm. I hold a Bachelor of Arts in History from Hendrix College and a Master of Public Policy from Georgetown University. I am both a CERTIFIED FINANCIAL PLANNER™ and a CFA Charterholder. I have lived for many years in Milton, Massachusetts with my wife Allie and our son Ben. In my spare time, I enjoy travel, reading, playing guitar, and taking long walks with the family dog, Louie.
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