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