Mark Henry Fiskio

Current Employers

Empirical Asset Management, Llc

57 River Street Suite 301, Wellesley, MA 02481 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2015-05-28
MA	RA	APPROVED	2012-06-14

TX RA
APPROVED_RES

Since 2015-05-28
MA RA
APPROVED

Since 2012-06-14

Branch Locations

57 River Street Suite 301, Wellesley, MA 02481 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Empirical Asset Management, Llc	Wellesley	MA	10/2010	Present
Race Rock Capital Llc	Boston	MA	05/2016	07/2017

10/2010 → Present

Empirical Asset Management, Llc

Wellesley, MA
05/2016 → 07/2017

Race Rock Capital Llc

Boston, MA

Previous Registrations

2012-10-12 → 2013-11-18

M3 Advisory Group, Llc

Needham Heights, MA
2006-09-22 → 2010-10-01

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boston, MA

Wellesley Hills, MA

Boston, MA

New York, NY

Other Businesses

EMPIRICAL FISCAL PARTNERS; YES; SAME ADDRESS; GP TO PRIVATE FUND; MANAGER; 08/2011; 5 HRS/MNTH; 5 HRS/MNTH DURING TRADING HRS; MANAGER AND MEMBER OF ENTITY THAT SERVES AS GP OF EAM PRIVATE FUND

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-04-03
S63	Uniform Securities Agent State Law Examination	1983-10-27

S65 Uniform Investment Adviser Law Examination

2007-04-03
S63 Uniform Securities Agent State Law Examination

1983-10-27

View on SEC IAPD

Current Employers

Empirical Asset Management, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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