Mark Umek
Advisor at Empirical Wealth management
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Advisor at Empirical Wealth management
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Empirical Wealth management
Location
Seattle, WA 98101
Credentials
CFP®, Series 63, Series 66
Industry experience
19 years
Mark Umek is a CFP® certificant with 19 years of industry experience, currently serving as a financial advisor at Empirical Wealth Management since 2018. Prior to joining Empirical, he worked at Fisher Investments from 2015 to 2018. Empirical Wealth Management is an SEC-registered advisory firm managing approximately $6.7 billion for about 2,100 clients through a team of 53 advisors. The firm employs a Modern Portfolio Theory framework incorporating multiple asset classes and utilizes both discretionary and non-discretionary portfolio management alongside comprehensive financial planning and related services.
Based on Empirical Wealth management
Based on Empirical Wealth management
Stand-alone financial planning services may be fixed fee; license fee for third-party estate planning tools (may be waived or charged separately)
up to 1.00% annually, decreasing with higher asset levels (tiered, negotiable)
Insurance services earn commissions from product sales; real estate services earn commissions from transactions
Stand-alone financial planning services for non-advisory clients billed hourly or fixed fee; tax preparation may be hourly
Performance-based fee arrangements for qualified clients generally with minimum of $3,000,000 AUM; fee is percentage of capital appreciation net of asset-based fee with high water mark; negotiated individually
Account minimum: $3,000,000 Fee-only: Advisory fees based on assets under management; financial planning fees included for clients above $3,000,000 AUM; additional fees for extraordinary planning for others; tax preparation fees fixed or hourly (separate charge); retirement/pension consulting fees (may be charged separately)
1420 5 Th Ave, Suite 3150
Seattle, WA 98101
Alaska · California · Idaho · Oregon · Texas · Washington
Empirical Wealth management
2018 - Present (8 years)
Fisher Investments
2015 - 2018 (3 years)
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Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
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