-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, UGHmJOpsaP0gGhBmj6AyV3wbqHkqoqBYL1ecbrt4OpX5vE0X+ztKTDJ8FjevRHUB mU/myhYn5ZVGbOy/7Zjzuw== 0001085146-10-000317.txt : 20100409 0001085146-10-000317.hdr.sgml : 20100409 20100409133103 ACCESSION NUMBER: 0001085146-10-000317 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100409 DATE AS OF CHANGE: 20100409 EFFECTIVENESS DATE: 20100409 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empirical Wealth Management LLC CENTRAL INDEX KEY: 0001438388 IRS NUMBER: 203810967 STATE OF INCORPORATION: OR FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13322 FILM NUMBER: 10742007 BUSINESS ADDRESS: STREET 1: 9755 SW BARNES RD #210 CITY: PORTLAND STATE: OR ZIP: 97225 BUSINESS PHONE: 503-808-9005 MAIL ADDRESS: STREET 1: 9755 SW BARNES RD #210 CITY: PORTLAND STATE: OR ZIP: 97225 13F-HR 1 emp1q10.txt EMPIRICAL WEALTH MANAGEMENT LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2010 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Empirical Wealth Management, LLC Address: 9755 SW Barnes Road Suite 210 Portland, OR 97225 13F File Number: 28-NEW 028-13322 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Melissa McDermott Title: Chief Compliance Officer Phone: 503-808-9005 Signature, Place, and Date of Signing: /s/ Melissa McDermott Portland, OR April 09, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 24 Form 13F Information Table Value Total: $68,630 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BARCLAYS BK PLC IPSPGS TTL ETN 06738C794 10327 333229 SH SOLE 0 0 333229 BLUE NILE INC COM 09578R103 583 10600 SH SOLE 0 0 10600 COTT CORP QUE COM 22163N106 169 21800 SH SOLE 0 0 21800 INTEL CORP COM 458140100 246 11020 SH SOLE 0 0 11020 ISHARES TR MSCI SMALL CAP 464288273 566 15122 SH SOLE 0 0 15122 ISHARES TR RSSL MCRCP IDX 464288869 2753 64124 SH SOLE 0 0 64124 ISHARES TR S&P DEV EX-US 464288422 610 19711 SH SOLE 0 0 19711 ISHARES TR INDEX MSCI EAFE IDX 464287465 1473 26314 SH SOLE 0 0 26314 ISHARES TR INDEX MSCI EMERG MKT 464287234 386 9164 SH SOLE 0 0 9164 ISHARES TR INDEX S&P 500 INDEX 464287200 240 2048 SH SOLE 0 0 2048 LSI CORPORATION COM 502161102 141 23040 SH SOLE 0 0 23040 MICROSOFT CORP COM 594918104 1133 38687 SH SOLE 0 0 38687 NATIONAL BEVERAGE CORP COM 635017106 170 15283 SH SOLE 0 0 15283 PROCTER & GAMBLE CO COM 742718109 363 5736 SH SOLE 0 0 5736 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 9837 355565 SH SOLE 0 0 355565 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 490 14636 SH SOLE 0 0 14636 SPDR SERIES TRUST DJ REIT ETF 78464A607 811 15087 SH SOLE 0 0 15087 VANGUARD INDEX FDS LARGE CAP ETF 922908637 16415 307981 SH SOLE 0 0 307981 VANGUARD INDEX FDS REIT ETF 922908553 4977 101960 SH SOLE 0 0 101960 VANGUARD INDEX FDS STK MRK ETF 922908769 4091 68652 SH SOLE 0 0 68652 VANGUARD INDEX FDS VALUE ETF 922908744 461 9139 SH SOLE 0 0 9139 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 5237 124251 SH SOLE 0 0 124251 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1209 27146 SH SOLE 0 0 27146 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 5942 171634 SH SOLE 0 0 171634
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