0001085146-11-000783.txt : 20110728
0001085146-11-000783.hdr.sgml : 20110728
20110727213132
ACCESSION NUMBER: 0001085146-11-000783
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110630
FILED AS OF DATE: 20110728
DATE AS OF CHANGE: 20110727
EFFECTIVENESS DATE: 20110728
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: 11991457
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
emp2q2011.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: June 30, 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 July 27, 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: 20
Form 13F Information Table Value Total: $80,134 (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 4250 122598 SH SOLE 0 0 122598
ISHARES TR BARCLYS TIPS BD 464287176 14843 134153 SH SOLE 0 0 134153
ISHARES TR BARCLYS 1-3 YR 464287457 1029 12207 SH SOLE 0 0 12207
ISHARES TR MSCI EAFE INDEX 464287465 415 6901 SH SOLE 0 0 6901
ISHARES TR BARCLYS 1-3YR CR 464288646 16730 159410 SH SOLE 0 0 159410
ISHARES TR BARCLYS 3-7 YR 464288661 6812 58170 SH SOLE 0 0 58170
ISHARES TR RSSL MCRCP IDX 464288869 1105 21558 SH SOLE 0 0 21558
LSI CORPORATION COM 502161102 525 73801 SH SOLE 0 0 73801
PIMCO ETF TR 1-3YR USTREIDX 72201R106 8563 167895 SH SOLE 0 0 167895
PROCTER & GAMBLE CO COM 742718109 337 5295 SH SOLE 0 0 5295
SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 7398 234945 SH SOLE 0 0 234945
SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 343 11745 SH SOLE 0 0 11745
SCHWAB STRATEGIC TR US TIPS ETF 808524870 1908 36284 SH SOLE 0 0 36284
VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 5814 71751 SH SOLE 0 0 71751
VANGUARD INDEX FDS REIT ETF 922908553 2778 46229 SH SOLE 0 0 46229
VANGUARD INDEX FDS LARGE CAP ETF 922908637 2519 41576 SH SOLE 0 0 41576
VANGUARD INDEX FDS STK MRK ETF 922908769 358 5234 SH SOLE 0 0 5234
VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 206 3957 SH SOLE 0 0 3957
VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2346 48260 SH SOLE 0 0 48260
VANGUARD TAX-MANAGED INTL FD MSCI EAFE ETF 921943858 1855 48724 SH SOLE 0 0 48724