Empirical Asset Management, LLC

Glenn Caldicott is a financial advisor at Empirical Asset Management, LLC with 40 years of industry experience. He holds Series 63 and Series 65 licenses and has worked previously at Bank of America Corporation and Merrill Lynch, Pierce, Fenner & Smith Incorporated. 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, estates, charitable organizations, and institutions. The firm utilizes a rules-based, long-term investment approach centered on its Rules Based Investing® methodology, incorporating low-cost ETFs, mutual funds, and proprietary models.

Mark Fiskio is a financial advisor at Empirical Asset Management, LLC in Wellesley, MA, with 40 years of industry experience. He holds Series 63 and Series 65 licenses and has been with Empirical Asset Management since 2010. Fiskio previously worked at Race Rock Capital LLC from 2016 to 2017. He also serves as a manager and general partner of Empirical Fiscal Partners, an entity that acts as general partner of an Empirical Asset Management private fund. 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, estates, charitable organizations, businesses, and institutions. The firm employs a rules-based, long-term investment approach using low-cost ETFs, mutual funds, individual securities, and alternative vehicles, and supports proprietary models and strategies.

Jonathan Penta is a financial advisor at Empirical Asset Management, LLC with 24 years of industry experience. He holds the Series 66 designation and has previously worked at UBS Financial Services Inc, Savior Wealth, LLC, and Purshe Kaplan Sterling Investments. He has been with Empirical Asset Management since 2019. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to a diverse client base including individuals, high-net-worth clients, trusts, and institutions. The firm uses a rules-based, long-term investment approach featuring proprietary models and emphasizes disciplined rebalancing, tax-aware implementation, and the use of third-party research.

Thomas Alessi is a financial advisor at Empirical Asset Management, LLC with 33 years of industry experience. He holds the Series 63 and Series 65 designations. His prior roles include positions at Pinnacle Private Wealth, LLC, Comprehensive Asset Management and Servicing, Inc., and Platinum Wealth Partners. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to individuals, high-net-worth clients, trusts, estates, charitable organizations, businesses, and institutions. The firm employs a rules-based, long-term investment approach using its Rules Based Investing® methodology and offers a range of proprietary strategies and models.

Peter Martin is a financial advisor at Empirical Asset Management, LLC with 16 years of industry experience. He holds the Series 63 and Series 65 designations and previously worked at Alpha Simplex Group and 1251 Diffractive Managers Group. Outside of his advisory role, he serves as an advisor to the founder of Trefis, an investment research platform, and is a board member of WorkSimplr, an educational organization providing temporary employment opportunities to college-level students. Empirical Asset Management offers discretionary investment management and advisory services to individuals, high-net-worth clients, trusts, estates, charitable organizations, businesses, and institutions. The firm employs a rules-based, long-term investment approach using low-cost ETFs, mutual funds, individual securities, and alternative vehicles, along with proprietary models and disciplined portfolio management.

Mark Govoni is a financial advisor at Empirical Asset Management, LLC with 20 years of industry experience. He holds Series 63 and Series 66 designations and previously worked at Boston Asset Management Inc for 15 years. Outside of his advisory role, he is involved in running a nursery and farm business in Warner, NH. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to a range of clients including individuals, high-net-worth clients, trusts, and institutions. The firm employs a rules-based, long-term investment approach using low-cost ETFs, mutual funds, individual securities, and alternative vehicles, supported by proprietary models and disciplined rebalancing.

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.

Anthony Gray is a financial advisor at Empirical Asset Management, LLC in Minneapolis, MN, with 12 years of industry experience. He holds Series 63 and Series 65 licenses and has previously worked at JPMorgan Chase Bank NA, Merrill, and Bank of America. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to a diverse client base including individuals, high-net-worth clients, trusts, estates, and institutions. The firm uses a rules-based, long-term investment approach with proprietary models and emphasizes disciplined rebalancing, tax-aware implementation, and the use of third-party research.

Warren Mulhern is a financial advisor at Empirical Asset Management, LLC with 17 years of industry experience. He holds Series 63 and Series 65 designations and has previously worked at HJ SIMS & Co. and Dolan Capital Group, LLC. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to a diverse client base including individuals, high-net-worth clients, trusts, estates, and institutions. The firm employs a rules-based, long-term investment approach using its Rules Based Investing® methodology and offers proprietary models, tax-aware implementation, and performance-management systems.

John Shreenan Jr. is a financial advisor at Empirical Asset Management, LLC with 36 years of industry experience. He holds the Series 63, Series 65, and Series 66 designations. His prior roles include positions at TIAA-CREF and Uber Technologies, Inc. Empirical Asset Management provides discretionary investment management, retirement-plan advisory services, and consulting to a diverse client base, including individuals, 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, supported by proprietary models and disciplined rebalancing.