Chief Compliance Officer

0001085146-18-002007.txt : 20180813 0001085146-18-002007.hdr.sgml : 20180813 20180813125545 ACCESSION NUMBER: 0001085146-18-002007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180813 DATE AS OF CHANGE: 20180813 EFFECTIVENESS DATE: 20180813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empirical Financial Services, LLC d.b.a. Empirical Wealth Management 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: 181011314 BUSINESS ADDRESS: STREET 1: 1420 5TH AVE SUITE 3150 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2069233474 MAIL ADDRESS: STREET 1: 1420 5TH AVE SUITE 3150 CITY: SEATTLE STATE: WA ZIP: 98101 FORMER COMPANY: FORMER CONFORMED NAME: Empirical Financial Services, LLC DATE OF NAME CHANGE: 20110114 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001510434 XXXXXXXX 06-30-2018 06-30-2018 false Empirical Financial Services, LLC d.b.a. Empirical Wealth Management

1420 5TH AVE SUITE 3150 SEATTLE WA 98101

13F HOLDINGS REPORT 028-14067 N Lindsay M. Farnsworth Chief Compliance Officer 206-923-3474 /s/ Lindsay M. Farnsworth Seattle WA 08-13-2018 0 185 534077 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 336 1708 SH SOLE 808 0 900 ABBVIE INC COM 00287Y109 209 2255 SH SOLE 2055 0 200 ADOBE SYS INC COM 00724F101 472 1935 SH SOLE 1935 0 0 ALASKA AIR GROUP INC COM 011659109 290 4798 SH SOLE 4461 0 337 ALIGN TECHNOLOGY INC COM 016255101 274 800 SH SOLE 0 0 800 ALPHABET INC CAP STK CL C 02079K107 721 646 SH SOLE 454 0 192 ALPHABET INC CAP STK CL A 02079K305 668 592 SH SOLE 389 0 203 ALTABA INC COM 021346101 384 5248 SH SOLE 4720 0 528 ALTRIA GROUP INC COM 02209S103 613 10786 SH SOLE 10786 0 0 AMAZON COM INC COM 023135106 5966 3510 SH SOLE 1732 0 1778 AMGEN INC COM 031162100 660 3573 SH SOLE 3073 0 500 APPLE INC COM 037833100 5353 28919 SH SOLE 15776 0 13143 AT&T INC COM 00206R102 506 15745 SH SOLE 13256 0 2489 AUTOMATIC DATA PROCESSING IN COM 053015103 509 3796 SH SOLE 825 0 2971 BANK AMER CORP COM 060505104 576 20446 SH SOLE 17246 0 3200 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 980 5252 SH SOLE 2039 0 3213 BOEING CO COM 097023105 1657 4939 SH SOLE 3718 0 1222 BRISTOL MYERS SQUIBB CO COM 110122108 362 6543 SH SOLE 5691 0 852 CAMDEN NATL CORP COM 133034108 1784 39039 SH SOLE 0 0 39039 CATERPILLAR INC DEL COM 149123101 229 1688 SH SOLE 1084 0 603 CEL SCI CORP COM PAR NEW 150837607 14 15535 SH SOLE 15535 0 0 CHESAPEAKE ENERGY CORP COM 165167107 53 10200 SH SOLE 10200 0 0 CHEVRON CORP NEW COM 166764100 1919 15176 SH SOLE 7493 0 7683 CISCO SYS INC COM 17275R102 298 6929 SH SOLE 5679 0 1250 COCA COLA CO COM 191216100 335 7642 SH SOLE 5442 0 2200 CONOCOPHILLIPS COM 20825C104 436 6269 SH SOLE 5159 0 1110 CONSTELLATION BRANDS INC CL A 21036P108 356 1626 SH SOLE 1626 0 0 COSTCO WHSL CORP NEW COM 22160K105 1031 4934 SH SOLE 3791 0 1143 CSX CORP COM 126408103 322 5048 SH SOLE 2648 0 2400 DANAHER CORP DEL COM 235851102 3184 32270 SH SOLE 3862 0 28408 DISNEY WALT CO COM DISNEY 254687106 532 5079 SH SOLE 1888 0 3192 EDWARDS LIFESCIENCES CORP COM 28176E108 552 3793 SH SOLE 3793 0 0 EXXON MOBIL CORP COM 30231G102 2024 24463 SH SOLE 22306 0 2157 FACEBOOK INC CL A 30303M102 1050 5403 SH SOLE 4534 0 869 FIRST TR DJS MICROCAP INDEX COM SHS ANNUAL 33718M105 545 10690 SH SOLE 10690 0 0 FIRST TR EXCH TRD ALPHA FD I EMERG MKT ALPH 33737J182 1501 58058 SH SOLE 54687 0 3371 FIRST TR EXCH TRD ALPHA FD I EM SML CP ALPH 33737J307 354 9270 SH SOLE 0 0 9270 FIRST TR EXCHANGE TRADED FD NO AMER ENERGY 33738D101 252 10865 SH SOLE 8950 0 1915 FIRST TR EXCHANGE TRADED FD SENIOR LN FD 33738D309 386 8078 SH SOLE 7494 0 584 FIRST TR EXCHANGE-TRADED FD PFD SECS INC ETF 33739E108 4901 257152 SH SOLE 225741 0 31411 FISERV INC COM 337738108 308 4158 SH SOLE 4158 0 0 FORTIVE CORP COM 34959J108 1246 16165 SH SOLE 225 0 15940 GENERAL ELECTRIC CO COM 369604103 306 22480 SH SOLE 18049 0 4431 GILEAD SCIENCES INC COM 375558103 340 4798 SH SOLE 4398 0 400 HEWLETT PACKARD ENTERPRISE C COM 42824C109 224 15329 SH SOLE 13670 0 1659 HOME DEPOT INC COM 437076102 309 1584 SH SOLE 1488 0 96 HP INC COM 40434L105 350 15421 SH SOLE 13762 0 1659 INTEL CORP COM 458140100 1542 31024 SH SOLE 29437 0 1588 INTERNATIONAL BUSINESS MACHS COM 459200101 596 4263 SH SOLE 2696 0 1567 INVESCO EXCH TRD SLF IDX FD BULSHS2018 COR 46138J106 1845 87170 SH SOLE 72894 0 14276 INVESCO EXCH TRD SLF IDX FD BULSHS 2018 HY 46138J205 902 35939 SH SOLE 33394 0 2545 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 1818 86613 SH SOLE 72173 0 14440 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 HY 46138J403 919 37998 SH SOLE 34058 0 3940 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 CB 46138J502 1795 85236 SH SOLE 70917 0 14319 INVESCO EXCH TRD SLF IDX FD BULSHS 2020 HY 46138J601 868 35785 SH SOLE 33462 0 2323 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 CB 46138J700 1617 77894 SH SOLE 62407 0 15486 INVESCO EXCH TRD SLF IDX FD BULSHS 2021 HY 46138J809 848 34452 SH SOLE 32229 0 2223 INVESCO EXCH TRD SLF IDX FD BULSHS 2024 CB 46138J841 1193 59454 SH SOLE 46363 0 13092 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 HY 46138J858 670 25812 SH SOLE 23428 0 2384 INVESCO EXCH TRD SLF IDX FD BULSHS 2023 CB 46138J866 1203 59565 SH SOLE 45604 0 13961 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 HY 46138J874 831 33973 SH SOLE 31673 0 2299 INVESCO EXCH TRD SLF IDX FD BULSHS 2022 CB 46138J882 1573 76155 SH SOLE 61156 0 14999 INVESCO EXCHANGE TRADED FD T S&P MDCP400 PR 46137V217 202 1250 SH SOLE 1250 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1896 11045 SH SOLE 11045 0 0 ISHARES INC MSCI FRNTR100ETF 464286145 2552 88588 SH SOLE 68518 0 20069 ISHARES INC CORE MSCI EMKT 46434G103 23810 453436 SH SOLE 322571 0 130865 ISHARES SILVER TRUST ISHARES 46428Q109 356 23485 SH SOLE 23485 0 0 ISHARES TR MRNGSTR LG-CP ET 464287127 246 1600 SH SOLE 1600 0 0 ISHARES TR SELECT DIVID ETF 464287168 411 4201 SH SOLE 3881 0 320 ISHARES TR TIPS BD ETF 464287176 2491 22066 SH SOLE 11616 0 10450 ISHARES TR CORE S&P500 ETF 464287200 1743 6385 SH SOLE 5015 0 1370 ISHARES TR CORE US AGGBD ET 464287226 701 6598 SH SOLE 1691 0 4907 ISHARES TR IBOXX INV CP ETF 464287242 202 1760 SH SOLE 0 0 1760 ISHARES TR S&P 500 GRWT ETF 464287309 368 2265 SH SOLE 2265 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 32683 392028 SH SOLE 227420 0 164608 ISHARES TR MSCI EAFE ETF 464287465 622 9281 SH SOLE 8564 0 717 ISHARES TR CORE S&P MCP ETF 464287507 242 1241 SH SOLE 241 0 1000 ISHARES TR RUS 1000 ETF 464287622 307 2019 SH SOLE 2019 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 536 3272 SH SOLE 3122 0 150 ISHARES TR CORE S&P SCP ETF 464287804 436 5226 SH SOLE 1968 0 3258 ISHARES TR S&P SML 600 GWT 464287887 285 1510 SH SOLE 1510 0 0 ISHARES TR EAFE SML CP ETF 464288273 1725 27498 SH SOLE 25395 0 2103 ISHARES TR JPMORGAN USD EMG 464288281 4500 42144 SH SOLE 36933 0 5211 ISHARES TR NATIONAL MUN ETF 464288414 5781 53016 SH SOLE 40446 0 12570 ISHARES TR INTL DEVPPTY ETF 464288422 465 12235 SH SOLE 5398 0 6837 ISHARES TR 1 3 YR CR BD ETF 464288646 509 4905 SH SOLE 601 0 4304 ISHARES TR 3 7 YR TREAS BD 464288661 216 1797 SH SOLE 292 0 1505 ISHARES TR MICRO-CAP ETF 464288869 1814 17177 SH SOLE 14440 0 2737 ISHARES TR EAFE VALUE ETF 464288877 410 7985 SH SOLE 7220 0 765 ISHARES TR 0-5 YR TIPS ETF 46429B747 584 5862 SH SOLE 5862 0 0 ISHARES TR CORE MSCI EAFE 46432F842 669 10557 SH SOLE 7907 0 2650 ISHARES US ETF TR COMMOD SEL STG 46431W853 2042 52277 SH SOLE 44157 0 8120 JOHNSON & JOHNSON COM 478160104 857 7063 SH SOLE 5338 0 1725 JPMORGAN CHASE & CO COM 46625H100 640 6141 SH SOLE 5591 0 550 LILLY ELI & CO COM 532457108 200 2343 SH SOLE 1393 0 950 MATTHEWS INTL CORP CL A 577128101 921 15671 SH SOLE 0 0 15671 MCDONALDS CORP COM 580135101 817 5213 SH SOLE 4963 0 250 MERCK & CO INC COM 58933Y105 398 6552 SH SOLE 3457 0 3095 MICROCHIP TECHNOLOGY INC COM 595017104 1402 15415 SH SOLE 15415 0 0 MICROSOFT CORP COM 594918104 7380 74845 SH SOLE 62929 0 11916 MIMEDX GROUP INC COM 602496101 128 20000 SH SOLE 20000 0 0 MONDELEZ INTL INC CL A 609207105 283 6912 SH SOLE 6912 0 0 NETFLIX INC COM 64110L106 202 516 SH SOLE 425 0 91 NIKE INC CL B 654106103 896 11245 SH SOLE 9081 0 2164 NORTHWEST NAT GAS CO COM 667655104 257 4030 SH SOLE 4030 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 244 2917 SH SOLE 2917 0 0 ONEOK INC NEW COM 682680103 205 2934 SH SOLE 2934 0 0 OPKO HEALTH INC COM 68375N103 109 23200 SH SOLE 3200 0 20000 ORACLE CORP COM 68389X105 467 10597 SH SOLE 8495 0 2102 PEPSICO INC COM 713448108 381 3495 SH SOLE 2555 0 940 PFIZER INC COM 717081103 603 16616 SH SOLE 13149 0 3467 PHILIP MORRIS INTL INC COM 718172109 440 5455 SH SOLE 5227 0 228 PHILLIPS 66 COM 718546104 878 7818 SH SOLE 7588 0 230 PIMCO ETF TR 0-5 HIGH YIELD 72201R783 378 3799 SH SOLE 2030 0 1769 PROCTER AND GAMBLE CO COM 742718109 1024 13116 SH SOLE 11216 0 1900 PS BUSINESS PKS INC CALIF COM 69360J107 1586 12345 SH SOLE 12345 0 0 RITE AID CORP COM 767754104 17 10000 SH SOLE 10000 0 0 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 294 4461 SH SOLE 3102 0 1359 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 10201 156963 SH SOLE 91348 0 65614 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 233 4377 SH SOLE 4377 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 454 6172 SH SOLE 6172 0 0 SCHWAB STRATEGIC TR EMRG MKTEQ ETF 808524706 3496 135024 SH SOLE 128005 0 7019 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 676 24439 SH SOLE 12039 0 12400 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 445 15062 SH SOLE 15062 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US SC 808524763 376 9432 SH SOLE 9432 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 582 15593 SH SOLE 15593 0 0 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 725 21945 SH SOLE 10395 0 11550 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 4731 93432 SH SOLE 51451 0 41981 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1680 30604 SH SOLE 16536 0 14068 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 868 24078 SH SOLE 23652 0 426 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 203 2829 SH SOLE 2829 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 332 4782 SH SOLE 4782 0 0 SOUTHWEST AIRLS CO COM 844741108 308 6059 SH SOLE 6059 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 533 2197 SH SOLE 1792 0 405 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 313 6515 SH SOLE 4411 0 2104 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 938 19764 SH SOLE 19734 0 30 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 1734 45272 SH SOLE 31030 0 14242 SPDR S&P 500 ETF TR TR UNIT 78462F103 3127 11527 SH SOLE 10200 0 1327 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 368 1037 SH SOLE 1037 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 23486 860610 SH SOLE 623258 0 237352 SPDR SER TR NUVEEN BLMBRG SR 78468R739 11739 244610 SH SOLE 178734 0 65876 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 758 12000 SH SOLE 12000 0 0 SPDR SERIES TRUST NUV HGHYLD MUN 78464A284 10076 178394 SH SOLE 144362 0 34032 SPDR SERIES TRUST PORTFOLIO INTRMD 78464A375 1042 31298 SH SOLE 23538 0 7760 SPDR SERIES TRUST BLOMBRG BRC EMRG 78464A391 246 9120 SH SOLE 8516 0 604 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 1842 61083 SH SOLE 37540 0 23543 SPDR SERIES TRUST DJ REIT ETF 78464A607 1587 16894 SH SOLE 12078 0 4816 SPDR SERIES TRUST S&P DIVID ETF 78464A763 309 3329 SH SOLE 2788 0 541 SPLUNK INC COM 848637104 332 3348 SH SOLE 3348 0 0 STARBUCKS CORP COM 855244109 1316 26949 SH SOLE 19211 0 7738 TELEDYNE TECHNOLOGIES INC COM 879360105 1984 9966 SH SOLE 9966 0 0 UNION PAC CORP COM 907818108 492 3474 SH SOLE 3195 0 279 UNITED TECHNOLOGIES CORP COM 913017109 419 3349 SH SOLE 3043 0 306 UNITEDHEALTH GROUP INC COM 91324P102 431 1757 SH SOLE 1502 0 255 US BANCORP DEL COM NEW 902973304 4295 85875 SH SOLE 85699 0 176 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189F361 2448 77793 SH SOLE 60038 0 17755 VANECK VECTORS ETF TR AMT FREE INT ETF 92189F544 997 42306 SH SOLE 34271 0 8035 VANGUARD BD INDEX FD INC SHORT TRM BOND 921937827 525 6713 SH SOLE 3690 0 3023 VANGUARD GROUP DIV APP ETF 921908844 723 7116 SH SOLE 4163 0 2953 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 290 1164 SH SOLE 1164 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 13597 166938 SH SOLE 120454 0 46483 VANGUARD INDEX FDS SM CP VAL ETF 922908611 259 1911 SH SOLE 990 0 921 VANGUARD INDEX FDS LARGE CAP ETF 922908637 10071 80721 SH SOLE 58606 0 22116 VANGUARD INDEX FDS GROWTH ETF 922908736 1044 6971 SH SOLE 6971 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 1771 17053 SH SOLE 16407 0 645 VANGUARD INDEX FDS SMALL CP ETF 922908751 613 3940 SH SOLE 3940 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 5420 38597 SH SOLE 27704 0 10893 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 2043 35181 SH SOLE 24836 0 10346 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 211 1827 SH SOLE 1796 0 31 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1340 18259 SH SOLE 12295 0 5963 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1010 23935 SH SOLE 18620 0 5315 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 46666 955302 SH SOLE 686003 0 269299 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 103732 1328192 SH SOLE 906836 0 421356 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 63502 760316 SH SOLE 517406 0 242910 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 3671 85567 SH SOLE 62213 0 23354 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 2740 32991 SH SOLE 21355 0 11635 VANGUARD WHITEHALL FDS INC EMERG MKT BD ETF 921946885 264 3500 SH SOLE 3500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 267 5309 SH SOLE 4952 0 357 VISA INC COM CL A 92826C839 410 3098 SH SOLE 3098 0 0 WISDOMTREE TR EMG MKTS SMCAP 97717W281 321 6732 SH SOLE 4256 0 2476 WISDOMTREE TR EMER MKT HIGH FD 97717W315 853 19896 SH SOLE 13611 0 6285 WISDOMTREE TR US SMALLCAP DIVD 97717W604 1603 54050 SH SOLE 37586 0 16464 WISDOMTREE TR INTL SMCAP DIV 97717W760 827 11498 SH SOLE 7029 0 4469 WISDOMTREE TR ITL HIGH DIV FD 97717W802 210 5070 SH SOLE 0 0 5070 XCEL ENERGY INC COM 98389B100 264 5783 SH SOLE 5783 0 0