TrueAdvisor
TrueAdvisor
GC
GC

Glenn Caldicott

Empirical Asset Management, LLC
41 Years of Experience
Wellesley, MA
1 Disclosure
View SEC Summary
View SEC Summary

Glenn Caldicott is a registered investment advisor at Empirical Asset Management, LLC, based in Wellesley, MA, with 41 years of industry experience. Glenn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Socially Responsible Investing. Their firm serves 474 clients with $560M in assets under management.

Empirical Asset Management, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
12 advisors
Number of Clients
474 clients
Average Client Portfolio
$1.2M average
Assets Under Management
$560.0M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Investment management fees range from 0.20% to 2.00% annually (and up to 2.00% for wrap fee programs) depending on asset level, complexity, and relationship scope. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

57 River Street, Suite 301, Wellesley, MA, 02481

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 1996
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Empirical Asset Management, LLC
December 2021 - Present · 4 yrs 10 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2006 - November 2021 · 15 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2006 - November 2021 · 15 yrs 8 mos
Advest, INC.Broker
June 1994 - March 2006 · 11 yrs 9 mos
Gruntal & CO. IncorporatedBroker
February 1988 - June 1994 · 6 yrs 4 mos
L. F. Rothschild & CO. IncorporatedBroker
May 1987 - February 1988 · 9 mos
Moseley Securities CorporationBroker
June 1985 - June 1987 · 2 yrs
Robert C. Carr & CO., INC.Broker
May 1985 - June 1985 · 1 mo
State Registrations1 state
MA
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Wellesley, MA →All financial advisors in Massachusetts →