0001085146-11-000625.txt : 20110516
0001085146-11-000625.hdr.sgml : 20110516
20110513194645
ACCESSION NUMBER: 0001085146-11-000625
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110516
DATE AS OF CHANGE: 20110513
EFFECTIVENESS DATE: 20110516
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: 11843026
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
emp1q2011.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, 2011
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 May 09, 2011
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: 18
Form 13F Information Table Value Total: $83,379 (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 5156 134584 SH SOLE 0 0 134584
ISHARES TR BARCLYS TIPS BD 464287176 16959 155355 SH SOLE 0 0 155355
ISHARES TR BARCLYS 1-3 YR 464287457 1393 16630 SH SOLE 0 0 16630
ISHARES TR MSCI EAFE INDEX 464287465 512 8528 SH SOLE 0 0 8528
ISHARES TR BARCLYS 1-3YR CR 464288646 17021 162973 SH SOLE 0 0 162973
ISHARES TR BARCLYS 3-7 YR 464288661 6429 56305 SH SOLE 0 0 56305
ISHARES TR RSSL MCRCP IDX 464288869 1260 23699 SH SOLE 0 0 23699
LSI CORPORATION COM 502161102 502 73801 SH SOLE 0 0 73801
PIMCO ETF TR 1-3YR USTREIDX 72201R106 8165 161092 SH SOLE 0 0 161092
PROCTER & GAMBLE CO COM 742718109 325 5269 SH SOLE 0 0 5269
SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 7957 251655 SH SOLE 0 0 251655
VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 6012 74994 SH SOLE 0 0 74994
VANGUARD INDEX FDS REIT ETF 922908553 2812 48101 SH SOLE 0 0 48101
VANGUARD INDEX FDS LARGE CAP ETF 922908637 3269 53796 SH SOLE 0 0 53796
VANGUARD INDEX FDS STK MRK ETF 922908769 531 7732 SH SOLE 0 0 7732
VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 255 5113 SH SOLE 0 0 5113
VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2602 53159 SH SOLE 0 0 53159
VANGUARD TAX-MANAGED FD MSCI EAFE ETF 921943858 2219 59466 SH SOLE 0 0 59466