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