Thomas Alessi
Thomas Alessi is a registered investment advisor at Empirical Asset Management, LLC, based in Wellesley, MA, with 33 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management, Retirement Planning. Their firm serves 434 clients with $470M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Empirical Asset Management's (EAM) investment management fees range from 0.20% to 2.00% annually, based on the complexity of services, level of assets managed, and the overall relationship with EAM. Fees are paid quarterly, in advance, based on the market value of assets at the end of the prior quarter. Fees may be negotiable at EAM's discretion.
Location
57 River Street, Suite 301, Wellesley, MA, 02481
Get directionsHistory
Regulatory History (7)
Customer Dispute
January 2011Employment Separation After Allegations
December 2010Customer Dispute
July 2010Customer Dispute
June 2009Customer Dispute
June 2004Customer Dispute
August 2002Customer Dispute
July 2002Other Business ActivitiesSells Insurance
Thomas is a licensed insurance agent in an independent capacity since 2019. This activity takes about 10% of his time.
Employment History
Current Registrations
Empirical Asset Management, LLC
Previous Registrations
Pinnacle Private Wealth, LLC
Comprehensive Asset Management and Servicing, INC.Broker
G.F. Investment Services, LLCBroker
Lasalle St Securities, L.L.C.Broker
Platinum Wealth Partners
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Citigroup Global Markets INC.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Quick & Reilly, INC.
Quick & Reilly, INC.Broker
Bankboston Investor Services, INC.Broker
Sei Financial Services CompanyBroker
Cibc Wood Gundy Securities CORP.Broker
Fidelity Brokerage Services, INC.Broker
First Investors CorporationBroker
First Jersey Securities, INC.Broker
State Registrations1 state
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.