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Jonathan Penta

Empirical Asset Management, LLC
24 Years of Experience
Wellesley, MA
3 Disclosures
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Jonathan Penta is a registered investment advisor at Empirical Asset Management, LLC, based in Wellesley, MA, with 24 years of industry experience. Jonathan 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

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History

Regulatory History (3)
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.
Regulatory
January 2022
Final
Customer Dispute
May 2019
Denied
Employment Separation After Allegations
April 2019
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Empirical Asset Management, LLC
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
Purshe Kaplan Sterling InvestmentsBroker
August 2019 - October 2019 · 2 mos
Savior Wealth
April 2019 - September 2021 · 2 yrs 5 mos
UBS Financial Services INC.Broker
March 2007 - May 2019 · 12 yrs 2 mos
UBS Financial Services INC.
March 2007 - May 2019 · 12 yrs 2 mos
Morgan Stanley
September 2006 - March 2007 · 6 mos
Morgan Stanley Dw INC.Broker
September 2001 - March 2007 · 5 yrs 6 mos
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.
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