0001085146-12-000116.txt : 20120203 0001085146-12-000116.hdr.sgml : 20120203 20120202212610 ACCESSION NUMBER: 0001085146-12-000116 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120203 DATE AS OF CHANGE: 20120202 EFFECTIVENESS DATE: 20120203 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: 12567716 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 efs4q2011.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, 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 Financial Services, LLC d/b/a Empirical Wealth Management Address: 1420 5th Avenue Suite 1740 Seattle, WA 98101 13F File Number: 028-14067 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 February 02, 2012 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: 33 Form 13F Information Table Value Total: $139,432 (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 8689 257444 SH SOLE 0 0 257444 ISHARES TR BARCLYS TIPS BD 464287176 19793 169616 SH SOLE 0 0 169616 ISHARES TR MSCI EMERG MKT 464287234 329 8660 SH SOLE 0 0 8660 ISHARES TR BARCLYS 1-3 YR 464287457 467 5531 SH SOLE 0 0 5531 ISHARES TR MSCI EAFE INDEX 464287465 929 18749 SH SOLE 0 0 18749 ISHARES TR MSCI SMALL CAP 464288273 438 12599 SH SOLE 0 0 12599 ISHARES TR S&P DEV EX-US 464288422 484 17571 SH SOLE 0 0 17571 ISHARES TR HIGH YLD CORP 464288513 247 2764 SH SOLE 0 0 2764 ISHARES TR BARCLYS 1-3YR CR 464288646 24751 237537 SH SOLE 0 0 237537 ISHARES TR BARCLYS 3-7 YR 464288661 9429 77262 SH SOLE 0 0 77262 ISHARES TR RSSL MCRCP IDX 464288869 393 8792 SH SOLE 0 0 8792 MICROSOFT CORP COM 594918104 853 32865 SH SOLE 0 0 32865 PEPSICO INC COM 713448108 338 5101 SH SOLE 0 0 5101 PIMCO ETF TR 1-3YR USTREIDX 72201R106 14791 289338 SH SOLE 0 0 289338 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 329 3348 SH SOLE 0 0 3348 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 5927 198545 SH SOLE 0 0 198545 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 411 17540 SH SOLE 0 0 17540 SCHWAB STRATEGIC TR US TIPS ETF 808524870 9092 163474 SH SOLE 0 0 163474 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 524 15019 SH SOLE 0 0 15019 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 226 5988 SH SOLE 0 0 5988 SPDR SERIES TRUST DJ REIT ETF 78464A607 1222 18976 SH SOLE 0 0 18976 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 9970 123328 SH SOLE 0 0 123328 VANGUARD INDEX FDS REIT ETF 922908553 4564 78698 SH SOLE 0 0 78698 VANGUARD INDEX FDS LARGE CAP ETF 922908637 7884 137599 SH SOLE 0 0 137599 VANGUARD INDEX FDS VALUE ETF 922908744 563 10726 SH SOLE 0 0 10726 VANGUARD INDEX FDS TOTAL STK MKT 922908769 3643 56660 SH SOLE 0 0 56660 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 296 7263 SH SOLE 0 0 7263 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 979 22663 SH SOLE 0 0 22663 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2226 58263 SH SOLE 0 0 58263 VANGUARD SCOTTSDALE FDS SHRT-TERM CORP 92206C409 4208 54043 SH SOLE 0 0 54043 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 2547 30919 SH SOLE 0 0 30919 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 2784 90878 SH SOLE 0 0 90878 ZAGG INC COM 98884U108 106 15000 SH SOLE 0 0 15000