Chief Compliance Officer

0001085146-21-000680.txt : 20210212 0001085146-21-000680.hdr.sgml : 20210212 20210212074129 ACCESSION NUMBER: 0001085146-21-000680 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21622788 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 false false 0001510434 XXXXXXXX 12-31-2020 12-31-2020 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 Justin W. Buller Chief Compliance Officer 206-923-3474 /s/Justin W. 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808524805 2294 63699 SH SOLE 49887 0 13813 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 3880 103043 SH SOLE 86520 0 16523 SCHWAB STRATEGIC TR SCHWAB FDT US BM 808524789 223 4969 SH SOLE 4969 0 0 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 248 5484 SH SOLE 5272 0 212 SCHWAB STRATEGIC TR SCHWB FDT EMK LG 808524730 3505 124039 SH SOLE 120171 0 3868 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 5887 201054 SH SOLE 174306 0 26748 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 4860 86737 SH SOLE 57199 0 29538 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1485 16320 SH SOLE 14275 0 2045 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 260 2026 SH SOLE 1406 0 620 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 5966 100224 SH SOLE 67256 0 32968 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 11450 125889 SH SOLE 96715 0 29174 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 429 6294 SH SOLE 6294 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 1422 37450 SH SOLE 35300 0 2150 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 8195 92082 SH SOLE 91816 0 266 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1994 32121 SH SOLE 19954 0 12167 SELECT SECTOR SPDR TR ENERGY 81369Y506 455 12003 SH SOLE 11967 0 36 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 328 2041 SH SOLE 2041 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 647 5705 SH SOLE 5105 0 600 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 692 5323 SH SOLE 4444 0 879 SERVICENOW INC COM 81762P102 210 382 SH SOLE 330 0 52 SHERWIN WILLIAMS CO COM 824348106 2638 3590 SH SOLE 3590 0 0 SHOPIFY INC CL A 82509L107 874 772 SH SOLE 654 0 118 SIMON PPTY GROUP INC NEW COM 828806109 204 2391 SH SOLE 2090 0 301 SKYWORKS SOLUTIONS INC COM 83088M102 482 3155 SH SOLE 2988 0 167 SMUCKER J M CO COM NEW 832696405 783 6772 SH SOLE 6259 0 513 SNAP INC CL A 83304A106 786 15705 SH SOLE 15705 0 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 77 11265 SH SOLE 11265 0 0 SOUTHERN COPPER CORP COM 84265V105 620 9524 SH SOLE 8323 0 1201 SOUTHWEST AIRLS CO COM 844741108 365 7824 SH SOLE 7644 0 180 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 511 1671 SH SOLE 1331 0 339 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 326 7333 SH SOLE 4919 0 2414 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 926 27170 SH SOLE 18370 0 8800 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 546 12960 SH SOLE 760 0 12200 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 6595 127728 SH SOLE 94967 0 32761 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 3642 99605 SH SOLE 72982 0 26623 SPDR S&P 500 ETF TR TR UNIT 78462F103 32681 87409 SH SOLE 86513 0 897 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 397 945 SH SOLE 945 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 39868 1479336 SH SOLE 1241220 0 238116 SPDR SER TR DJ REIT ETF 78464A607 656 7562 SH SOLE 6131 0 1432 SPDR SER TR NUVEEN BBG BRCLY 78464A284 8336 141318 SH SOLE 120629 0 20689 SPDR SER TR NUVEEN BLMBRG SR 78468R739 8327 167240 SH SOLE 132885 0 34355 SPDR SER TR PORTFOLIO INTRMD 78464A375 3099 83357 SH SOLE 61889 0 21468 SPDR SER TR PORTFOLIO SHORT 78464A474 4164 132610 SH SOLE 95854 0 36756 SPDR SER TR S&P 600 SMCP VAL 78464A300 250 3784 SH SOLE 3758 0 26 SPDR SER TR S&P 600 SML CAP 78464A813 660 8300 SH SOLE 0 0 8300 SPDR SER TR S&P DIVID ETF 78464A763 204 1921 SH SOLE 1380 0 541 SPLUNK INC COM 848637104 821 4835 SH SOLE 4835 0 0 SQUARE INC CL A 852234103 899 4129 SH SOLE 4121 0 8 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 213 4664 SH SOLE 4664 0 0 STARBUCKS CORP COM 855244109 2539 23734 SH SOLE 18580 0 5153 STRYKER CORPORATION COM 863667101 276 1128 SH SOLE 988 0 140 T2 BIOSYSTEMS INC COM 89853L104 13 10747 SH SOLE 10747 0 0 TARGET CORP COM 87612E106 357 2020 SH SOLE 1793 0 227 TELADOC HEALTH INC COM 87918A105 274 1370 SH SOLE 1370 0 0 TELEDYNE TECHNOLOGIES INC COM 879360105 1546 3944 SH SOLE 3944 0 0 TESLA INC COM 88160R101 2586 3664 SH SOLE 2783 0 881 TEXAS INSTRS INC COM 882508104 599 3647 SH SOLE 3640 0 7 THERMO FISHER SCIENTIFIC INC COM 883556102 306 656 SH SOLE 656 0 0 T-MOBILE US INC COM 872590104 1458 10814 SH SOLE 9701 0 1113 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 97 42538 SH SOLE 42538 0 0 TUSCAN HLDGS CORP *W EXP 04/01/202 90069K112 52 10898 SH SOLE 10898 0 0 UNION PAC CORP COM 907818108 559 2685 SH SOLE 2529 0 156 UNITED PARCEL SERVICE INC CL B 911312106 1392 8266 SH SOLE 7588 0 678 UNITEDHEALTH GROUP INC COM 91324P102 782 2231 SH SOLE 2127 0 104 US BANCORP DEL COM NEW 902973304 1936 41555 SH SOLE 41555 0 0 VALERO ENERGY CORP COM 91913Y100 345 6104 SH SOLE 5479 0 625 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 43 1205 SH SOLE 1205 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1171 32500 SH Call SOLE 0 0 32500 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 5992 97372 SH SOLE 82997 0 14375 VANECK VECTORS ETF TR INTRMDT MUNI ETF 92189H201 1299 24956 SH SOLE 21484 0 3472 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 1995 24070 SH SOLE 19002 0 5068 VANGUARD INDEX FDS GROWTH ETF 922908736 1644 6490 SH SOLE 4242 0 2248 VANGUARD INDEX FDS LARGE CAP ETF 922908637 12677 72135 SH SOLE 55517 0 16618 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 499 2351 SH SOLE 2257 0 94 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 373 3140 SH SOLE 2870 0 270 VANGUARD INDEX FDS MID CAP ETF 922908629 710 3435 SH SOLE 3435 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 23158 272672 SH SOLE 227804 0 44868 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1029 2995 SH SOLE 2995 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 10792 75886 SH SOLE 65631 0 10255 VANGUARD INDEX FDS SMALL CP ETF 922908751 8598 44163 SH SOLE 36128 0 8035 VANGUARD INDEX FDS SML CP GRW ETF 922908595 905 3380 SH SOLE 2812 0 568 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6652 34178 SH SOLE 29948 0 4230 VANGUARD INDEX FDS VALUE ETF 922908744 26301 221088 SH SOLE 191000 0 30088 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 7916 157974 SH SOLE 139344 0 18630 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 15665 128574 SH SOLE 118414 0 10160 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 5069 93332 SH SOLE 78497 0 14835 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 2098 22661 SH SOLE 16715 0 5946 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 98416 1925951 SH SOLE 1631911 0 294040 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 80881 832622 SH SOLE 672334 0 160287 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 44534 722953 SH SOLE 585343 0 137611 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 133146 1599346 SH SOLE 1293708 0 305639 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 995 7050 SH SOLE 6176 0 873 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 29575 626457 SH SOLE 621484 0 4974 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3525 38525 SH SOLE 27307 0 11218 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 377 6200 SH SOLE 6200 0 0 VANGUARD WORLD FD ESG INTL STK ETF 921910725 663 11191 SH SOLE 11191 0 0 VANGUARD WORLD FD MEGA CAP INDEX 921910873 2199 16478 SH SOLE 15688 0 790 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 2110 24305 SH SOLE 21648 0 2657 VANGUARD WORLD FD MEGA GRWTH IND 921910816 3423 16801 SH SOLE 16007 0 794 VEEVA SYS INC CL A COM 922475108 316 1162 SH SOLE 1162 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2244 38193 SH SOLE 33769 0 4424 VISA INC COM CL A 92826C839 6013 27491 SH SOLE 16327 0 11164 WALGREENS BOOTS ALLIANCE INC COM 931427108 1236 30984 SH SOLE 30132 0 852 WALMART INC COM 931142103 737 5114 SH SOLE 5113 0 1 WASTE MGMT INC DEL COM 94106L109 347 2945 SH SOLE 2604 0 341 WEC ENERGY GROUP INC COM 92939U106 228 2478 SH SOLE 2318 0 160 WHIRLPOOL CORP COM 963320106 750 4156 SH SOLE 3726 0 430 WHITE MTNS INS GROUP LTD COM G9618E107 200 200 SH SOLE 200 0 0 WISDOMTREE TR CLOUD COMPUTNG 97717Y691 217 4045 SH SOLE 4045 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 2064 50172 SH SOLE 39889 0 10283 WISDOMTREE TR EMG MKTS SMCAP 97717W281 945 19812 SH SOLE 15569 0 4243 WISDOMTREE TR INTL SMCAP DIV 97717W760 2258 33146 SH SOLE 26620 0 6526 WISDOMTREE TR US HIGH DIVIDEND 97717W208 550 7925 SH SOLE 5960 0 1965 WISDOMTREE TR US SMALLCAP DIVD 97717W604 2254 84738 SH SOLE 62480 0 22257 XCEL ENERGY INC COM 98389B100 636 9544 SH SOLE 5167 0 4377 ZENDESK INC COM 98936J101 641 4479 SH SOLE 4479 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 5281 40685 SH SOLE 40567 0 118