-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DEpKGa/a/Ty6jJmwF16iiseoJUywHqUT7sPcghJ+VU3do5zW5yrPUSzHjhdZgXiD Ka5IQv46oDDXEbsSZ5AeZA== 0001085146-11-000071.txt : 20110128 0001085146-11-000071.hdr.sgml : 20110128 20110128151931 ACCESSION NUMBER: 0001085146-11-000071 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110128 DATE AS OF CHANGE: 20110128 EFFECTIVENESS DATE: 20110128 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empirical Financial Services, LLC CENTRAL INDEX KEY: 0001510434 IRS NUMBER: 272114998 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14067 FILM NUMBER: 11555558 BUSINESS ADDRESS: STREET 1: 1420 5TH AVE SUITE 1740 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2069233474 MAIL ADDRESS: STREET 1: 1420 5TH AVE SUITE 1740 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR 1 efs4q10.txt EMPIRICAL FINANCIAL SERVICES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 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 Financial Services, LLC d/b/a Empirical Wealth Management Address: 1420 5th Aveneu, Suite 1740 Seattle, WA 98101 13F File Number: 028-NEW 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: Jaime Holderman Title: Chief Compliance Officer Phone: 206.923.3474 Signature, Place, and Date of Signing: /s/ Jaime Holderman Seattle, WA January 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: 26 Form 13F Information Table Value Total: $107,713 (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 7716 225445 SH SOLE 0 0 225445 BLUE NILE INC COM 09578R103 456 8000 SH SOLE 0 0 8000 COTT CORP QUE COM 22163N106 196 21800 SH SOLE 0 0 21800 ISHARES TR BARCLYS TIPS BD 464287176 22395 208291 SH SOLE 0 0 208291 ISHARES TR S&P 500 INDEX 464287200 217 1719 SH SOLE 0 0 1719 ISHARES TR MSCI EMERG MKT 464287234 410 8618 SH SOLE 0 0 8618 ISHARES TR BARCLYS 1-3 YR 464287457 684 8156 SH SOLE 0 0 8156 ISHARES TR MSCI EAFE IDX 464287465 1015 17448 SH SOLE 0 0 17448 ISHARES TR MSCI SMALL CAP 464288273 576 13666 SH SOLE 0 0 13666 ISHARES TR S&P DEV EX-US 464288422 547 15997 SH SOLE 0 0 15997 ISHARES TR BARCLYS 1-3YR CR 464288646 21389 205112 SH SOLE 0 0 205112 ISHARES TR BARCLYS 3-7 YR 464288661 7490 65331 SH SOLE 0 0 65331 ISHARES TR RSSL MCRCP IDX 464288869 2097 41865 SH SOLE 0 0 41865 MICROSOFT CORP COM 594918104 1161 41600 SH SOLE 0 0 41600 NOVAGOLD RES INC COM NEW 66987E206 371 26000 SH SOLE 0 0 26000 PIMCO ETF TR 1-3YR USTREIDX 72201R106 10521 206635 SH SOLE 0 0 206635 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 7483 249790 SH SOLE 0 0 249790 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 347 12550 SH SOLE 0 0 12550 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 514 13886 SH SOLE 0 0 13886 VANGUARD INDEX FDS REIT ETF 922908553 3664 66184 SH SOLE 0 0 66184 VANGUARD INDEX FDS LARGE CAP ETF 922908637 7419 128788 SH SOLE 0 0 128788 VANGUARD INDEX FDS VALUE ETF 922908744 525 9849 SH SOLE 0 0 9849 VANGUARD INDEX FDS STK MRK ETF 922908769 3400 52373 SH SOLE 0 0 52373 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1109 23214 SH SOLE 0 0 23214 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 2664 55331 SH SOLE 0 0 55331 VANGUARD TAX-MANAGED FD EUROPE PAC ETF 921943858 3347 92601 SH SOLE 0 0 92601
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