Richard E. Oberuc

EMPIRICAL ASSET MANAGEMENT

LAKEWOOD RANCH, FL

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CRD#: 1652957

Professional summary

Richard Edward Oberuc, who also goes by Richard Oberuc, is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Lakewood Ranch, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Richard has worked at 3 firms and has passed the Series 65 and Series 3 exams.

At a Glance

Always Fiduciary

Aliases

Richard Oberuc

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Edward Oberuc's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 1, 2026 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

RIA

CRD#: 155436

LAKEWOOD RANCH, FL

Past

January 8, 2026 - July 1, 2026

VIRTUE CAPITAL MANAGEMENT, LLC

RIA

CRD#: 167816

LAKEWOOD RANCH, FL

Past

May 15, 2012 - December 31, 2025

FIRST NATIONAL ADVISORS LLC

RIA

CRD#: 120859

ROCKLAND, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(7/1/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/14/2011

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 3/23/1987

National Commodity Futures Examination

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

BOSTON PLATINUM MANAGEMENT | PENTA WEALTH MANAGEMENT, LLC | KEARSAGE INVESTMENT ADVISORS | EMPIRICAL ASSET MANAGEMENT, LLC

CRD#: 155436 / SEC#: 801-71967

RIA

Registered Investment Advisory firm - (11/23/2010 Approved)

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Contact information

Main Address

57 River Street Suite 301, Wellesley, MA 02481

Mailing Address

Phone number

(781) 431-2223

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAM DISCLOSURE BROCHURE AND WRAP FEE PROGRAM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	988
AUM (Assets Under Management)	$ 467,001,856

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard E. Oberuc

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Edward Oberuc's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL ASSET MANAGEMENT, LLC

VIRTUE CAPITAL MANAGEMENT, LLC

FIRST NATIONAL ADVISORS LLC

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/14/2011

Series 3

Date: 3/23/1987

Current Firm

EMPIRICAL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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