Joseph Rozzi

EMPIRICAL ASSET MANAGEMENT

NEEDHAM, MA 02494

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CRD#: 6969697

Professional summary

Joseph Rozzi is a registered financial advisor currently at EMPIRICAL ASSET MANAGEMENT, LLC located in Needham, Massachusetts.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Joseph has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Rozzi'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

November 19, 2025 - Present

EMPIRICAL ASSET MANAGEMENT, LLC

Office #1: 60 Kendrick St, Needham, MA 02494

RIA

CRD#: 155436

NEEDHAM, MA

Past

July 9, 2018 - June 10, 2019

SANTANDER SECURITIES LLC

CRD#: 41791

CHESTNUT HILL, 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

Massachusetts
(11/19/2025)

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: 10/1/2025

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/1/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/9/2018

Investment Company Products/Variable Contracts Representative 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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Joseph Rozzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Rozzi's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL ASSET MANAGEMENT, LLC

SANTANDER SECURITIES LLC

Primary Firm SEC Registration

EMPIRICAL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2025

Series 63

Date: 8/1/2018

SIE

Date: 10/1/2018

Series 6

Date: 7/9/2018

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

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