Dustin M. Rue

EMPIRICAL WEALTH MANAGEMENT

Portland, OR 97205

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CRD#: 5573209

Professional summary

Dustin Michael Rue, CFP® is a registered financial advisor currently at EMPIRICAL WEALTH MANAGEMENT located in Portland, Oregon.

Dustin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Dustin has worked at 11 firms and has passed the Series 66, SIE, Series 31 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.

Name of other business: Empirical Insurance, LLC. Is business investment-related: Yes. Address of other business: 1420 Fifth Ave., Suite 3150, Seattle, WA 98101. Nature of other business: Insurance planning services. Position/title/relationship: Affiliated Insurance Producer. Start date of relationship: 04/21022. Approximate number of hours/month devoted to other business: 1 hour. Number of hours devoted to the other business during securities trading hours: 1 hour. Duties related to other business: Recommend insurance products designed to address the life, disability, and long-term care insurance needs of clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Michael Rue'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®

CFP^®

Certified Financial Planner

Experience

Current

April 18, 2022 - Present

EMPIRICAL WEALTH MANAGEMENT

Office #1: 805 Sw Broadway, Portland, OR 97205

RIA

CRD#: 152622

Portland, OR

Past

February 5, 2016 - April 22, 2022

HARRISDIRECT LLC

RIA

CRD#: 42159

Portland, OR

Past

January 27, 2016 - April 22, 2022

E*TRADE SECURITIES LLC

CRD#: 29106

Portland, OR

Past

May 15, 2013 - January 25, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 8209

PORTLAND, OR

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 WEALTH MANAGEMENT

EMPIRICAL FINANCIAL SERVICES, LLC | EMPIRICAL WEALTH MANAGEMENT

CRD#: 152622 / SEC#: 801-72168

RIA

Registered Investment Advisory firm - (2/23/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/23/2011 Terminated)

California

Registered Investment Advisory firm - (2/25/2011 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2011 Terminated)

Washington

Registered Investment Advisory firm - (2/23/2011 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.

Highlighted states indicate IAR registrations

IAR

California
(4/18/2022)

IAR

Oregon
(4/18/2022)

IAR

Washington
(4/18/2022)

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 66

Date: 10/14/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/8/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/15/2008

General Securities Representative Examination

Current Firm

EMPIRICAL WEALTH MANAGEMENT

EMPIRICAL FINANCIAL SERVICES, LLC | EMPIRICAL WEALTH MANAGEMENT

CRD#: 152622 / SEC#: 801-72168

RIA

Registered Investment Advisory firm - (2/23/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/23/2011 Terminated)

California

Registered Investment Advisory firm - (2/25/2011 Terminated)

Texas

Registered Investment Advisory firm - (2/23/2011 Terminated)

Washington

Registered Investment Advisory firm - (2/23/2011 Terminated)

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Contact information

Main Address

1420 5th Ave Suite 3150, Seattle, WA 98101

Mailing Address

Phone number

(206) 923-3474

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (11/7/2025)

EMPIRICAL WEALTH MANAGEMENT (11/7/2025)

Regulatory assets under management

Total Number of Accounts	8,402
AUM (Assets Under Management)	$ 6,701,226,120

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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Advisor Monitoring

Firm Stability Insights

Dustin M. Rue

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dustin Michael Rue's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

Primary Firm SEC Registration

EMPIRICAL WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2008

SIE

Date: 10/1/2018

Series 31

Date: 11/8/2008

Series 7

Date: 9/15/2008

Current Firm

EMPIRICAL WEALTH MANAGEMENT

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EMPIRICAL WEALTH MANAGEMENT

TRUST BUT VERIFY

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