0001085146-11-001059.txt : 20111031 0001085146-11-001059.hdr.sgml : 20111031 20111031082128 ACCESSION NUMBER: 0001085146-11-001059 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111031 DATE AS OF CHANGE: 20111031 EFFECTIVENESS DATE: 20111031 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: 111166691 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 emp3q2011.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, 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 October 28, 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: $75,405 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- BANK OF AMERICA CORPORATION COM 060505104 106 17343 SH SOLE 0 0 17343 BARCLAYS BK PLC IPSPGS TTL ETN 06738C794 3680 120846 SH SOLE 0 0 120846 ISHARES TR BARCLYS TIPS BD 464287176 13809 120815 SH SOLE 0 0 120815 ISHARES TR BARCLYS 1-3 YR 464287457 955 11298 SH SOLE 0 0 11298 ISHARES TR MSCI EAFE INDEX 464287465 316 6623 SH SOLE 0 0 6623 ISHARES TR S&P DEV EX-US 464288422 246 8860 SH SOLE 0 0 8860 ISHARES TR BARCLYS 1-3YR CR 464288646 16454 158238 SH SOLE 0 0 158238 ISHARES TR BARCLYS 3-7 YR 464288661 7118 58590 SH SOLE 0 0 58590 LSI CORPORATION COM 502161102 382 73801 SH SOLE 0 0 73801 PIMCO ETF TR 1-3YR USTREIDX 72201R106 8639 168851 SH SOLE 0 0 168851 PROCTER & GAMBLE CO COM 742718109 336 5325 SH SOLE 0 0 5325 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 6095 226985 SH SOLE 0 0 226985 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 448 19433 SH SOLE 0 0 19433 SCHWAB STRATEGIC TR US TIPS ETF 808524870 3406 62571 SH SOLE 0 0 62571 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 5679 69747 SH SOLE 0 0 69747 VANGUARD INDEX FDS REIT ETF 922908553 2260 44426 SH SOLE 0 0 44426 VANGUARD INDEX FDS LARGE CAP ETF 922908637 2237 43320 SH SOLE 0 0 43320 VANGUARD INDEX FDS TOTAL STK MKT 922908769 310 5370 SH SOLE 0 0 5370 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 1663 46405 SH SOLE 0 0 46405 VANGUARD TAX-MANAGED INTL FD MSCI EAFE ETF 921943858 1266 42023 SH SOLE 0 0 42023