Gabriel J. Rodriguez

EMPIRIC ADVISORS

Austin, TX 78746

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CRD#: 5165720

Professional summary

Gabriel Jason Rodriguez is a registered financial advisor currently at EMPIRIC ADVISORS, INC. located in Austin, Texas and EMPIRIC INSTITUTIONAL located in Austin, Texas.

Gabriel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Gabriel has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Investment Committee Member of Parkland Hospital System; Dallas Texas; no relationship with Empiric; March 2023; 5 hours at most a month; none during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gabriel Jason Rodriguez'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

June 4, 2008 - Present

EMPIRIC ADVISORS, INC.

Office #1: 500 N Capital Of Texas Hwy Building 8, Suite 150, Austin, TX 78746

RIA

CRD#: 108425

Austin, TX

Current

April 29, 2013 - Present

EMPIRIC INSTITUTIONAL

Office #1: 500 N Capital Of Texas Hwy Building 8, Suite 150, Austin, TX 78746

RIA

CRD#: 164683

Austin, TX

Current

October 24, 2008 - Present

EMPIRIC DISTRIBUTORS, INC.

Office #1: 500 N Capital Of Texas Hwy Building 8, Suite 150, Austin, TX 78746

CRD#: 119143

Austin, TX

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".

EMPIRIC ADVISORS, INC.

EMPIRIC ADVISORS, INC. | FIRST AUSTIN CAPITAL MANAMGEMENT INC | FIRST AUSTIN CAPITAL MANAGEMENT INC

CRD#: 108425 / SEC#: 801-31075

RIA

Registered Investment Advisory firm - (12/10/1987 Approved)

Texas

Registered Investment Advisory firm - (3/11/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Texas
(6/4/2008)

Texas
(10/24/2008)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 6/14/2008

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 6/2/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/22/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPIRIC ADVISORS, INC.

EMPIRIC ADVISORS, INC. | FIRST AUSTIN CAPITAL MANAMGEMENT INC | FIRST AUSTIN CAPITAL MANAGEMENT INC

CRD#: 108425 / SEC#: 801-31075

RIA

Registered Investment Advisory firm - (12/10/1987 Approved)

Texas

Registered Investment Advisory firm - (3/11/2002 Terminated)

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Contact information

Main Address

500 N Capital Of Texas Hwy Building 8, Suite 150, Austin, TX 78746

Mailing Address

Phone number

(512) 328-9321

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPIRIC ADVISORS ADV PART 2 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	42
AUM (Assets Under Management)	$ 63,616,672

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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Gabriel J. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gabriel Jason Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRIC INSTITUTIONAL

EMPIRIC DISTRIBUTORS, INC.

Primary Firm SEC Registration

EMPIRIC ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/14/2008

Series 65

Date: 6/2/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/22/2008

FINRA

Current Firm

EMPIRIC ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRIC ADVISORS, INC.

TRUST BUT VERIFY

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