-----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, TCadXTItxmE9spk3DS4Gm67K/n/UgLXxQWUCy1dl06cGTW05pTyRYS/uj4aVWnEE HemrzNNt6x1qfQmQLZEhDQ== 0001085146-10-000807.txt : 20101015 0001085146-10-000807.hdr.sgml : 20101015 20101015160528 ACCESSION NUMBER: 0001085146-10-000807 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101015 DATE AS OF CHANGE: 20101015 EFFECTIVENESS DATE: 20101015 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: 101125936 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 emp3q10.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: September 30, 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: 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 October 15, 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: $64,649 (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 10178 339039 SH SOLE 0 0 339039 BLUE NILE INC COM 09578R103 409 9200 SH SOLE 0 0 9200 COTT CORP QUE COM 22163N106 171 21800 SH SOLE 0 0 21800 INTEL CORP COM 458140100 204 10644 SH SOLE 0 0 10644 ISHARES TR MSCI EMERG MKT 464287234 401 8963 SH SOLE 0 0 8963 ISHARES TR MSCI EAFE IDX 464287465 1342 24444 SH SOLE 0 0 24444 ISHARES TR MSCI SMALL CAP 464288273 520 13538 SH SOLE 0 0 13538 ISHARES TR S&P DEV EX-US 464288422 642 19327 SH SOLE 0 0 19327 ISHARES TR RSSL MCRCP IDX 464288869 2631 62654 SH SOLE 0 0 62654 LSI CORPORATION COM 502161102 336 73801 SH SOLE 0 0 73801 MICROSOFT CORP COM 594918104 950 38785 SH SOLE 0 0 38785 NATIONAL BEVERAGE CORP COM 635017106 214 15283 SH SOLE 0 0 15283 PROCTER & GAMBLE CO COM 742718109 348 5803 SH SOLE 0 0 5803 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 13162 485870 SH SOLE 0 0 485870 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 350 13347 SH SOLE 0 0 13347 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 602 16676 SH SOLE 0 0 16676 SPDR SERIES TRUST DJ REIT ETF 78464A607 777 13553 SH SOLE 0 0 13553 VANGUARD INDEX FDS REIT ETF 922908553 5533 106239 SH SOLE 0 0 106239 VANGUARD INDEX FDS LARGE CAP ETF 922908637 10607 203676 SH SOLE 0 0 203676 VANGUARD INDEX FDS VALUE ETF 922908744 449 9226 SH SOLE 0 0 9226 VANGUARD INDEX FDS STK MRK ETF 922908769 3402 58278 SH SOLE 0 0 58278 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1132 25265 SH SOLE 0 0 25265 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 5003 110052 SH SOLE 0 0 110052 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 5286 153131 SH SOLE 0 0 153131
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