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