Directional Financial Services, Llc
- Regulatory AUM
- $11.5M
- Discretionary
- $11.5M
- Clients
- 34
- Avg AUM / client
- $337K
- Accounts
- 34
- Employees
- 4
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 34 | $11.5M | 100.0% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Kenneth Robert Smith | Member | CFP | Oct 2010 (16y) | ≈ 37.5% – 75% via Empirical Wealth Management |
| Justin Wyatt Buller | Chief Compliance Officer | Jan 2021 (6y) | Less than 5% | |
| Jason Phillip Sulkosky | Registered representative | CFP | Oct 2015 (11y) | |
| Erik James Lehr | Registered representative | CFA | Dec 2018 (8y) | |
| Kevin Byrd | Registered representative | CFP | Mar 2024 (2y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Empirical Wealth Management | Owner | May 2014 | A | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Kenneth Robert Smith: 50% – 75% of Empirical Wealth Management × 75% – 100% direct ≈ 37.5% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.19 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- Charles Schwab & Co. $11.5M (100% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗