Chief Compliance Officer

0001926596-22-000001.txt : 20220506 0001926596-22-000001.hdr.sgml : 20220506 20220506092518 ACCESSION NUMBER: 0001926596-22-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220506 DATE AS OF CHANGE: 20220506 EFFECTIVENESS DATE: 20220506 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Empirical Asset Management, LLC CENTRAL INDEX KEY: 0001926596 IRS NUMBER: 273376835 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-22459 FILM NUMBER: 22899112 BUSINESS ADDRESS: STREET 1: 77 CENTRAL STREET STREET 2: 2ND FLOOR CITY: WELLESLEY STATE: MA ZIP: 02482 BUSINESS PHONE: (781) 431-2220 MAIL ADDRESS: STREET 1: 77 CENTRAL STREET STREET 2: 2ND FLOOR CITY: WELLESLEY STATE: MA ZIP: 02482 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001926596 XXXXXXXX 12-31-2021 12-31-2021 Empirical Asset Management, LLC

77 CENTRAL STREET 2ND FLOOR WELLESLEY MA 02482

13F HOLDINGS REPORT 028-22459 N MARK H. FISKIO Chief Compliance Officer 781-431-2220 MARK H. FISKIO WELLESLEY MA 05-06-2022 0 150 103608 false INFORMATION TABLE 2 13F_EAM_2021_Q4.xml GENOCEA BIOSCIENCES INC COM NEW COM NEW 372427401 12 10000 SH SOLE 10000 0 0 MERSANA THERAPEUTICS INC COM COM 59045L106 62 10000 SH SOLE 10000 0 0 CECO ENVIRONMENTAL CORP COM COM 125141101 133 21346 SH SOLE 21346 0 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 202 909 SH SOLE 908 0 0 GENERAL DYNAMICS CORP COM COM 369550108 207 995 SH SOLE 995 0 0 SCHWAB US TIPS ETF US TIPS ETF 808524870 209 3330 SH SOLE 3330 0 0 VANGUARD REIT INDEX ETF REAL ESTATE ETF 922908553 211 1817 SH SOLE 1816 0 0 SCHWAB FUNDAMENTAL U.S. LARGE COMPANY INDEX ETF SCHWAB FDT US LG 808524771 214 3647 SH SOLE 3647 0 0 ISHARES CORE S&P MID CAP ETF CORE S&P MCP ETF 464287507 215 758 SH SOLE 758 0 0 SPDR S&P MIDCAP 400 ETF UTSER1 S&PDCRP 78467Y107 215 416 SH SOLE 415 0 0 VANGUARD GROWTH INDEX FUND GROWTH ETF 922908736 217 677 SH SOLE 677 0 0 ADOBE SYS INC COM 00724F101 219 387 SH SOLE 387 0 0 EXXON MOBIL CORP COM COM 30231G102 223 3648 SH SOLE 3648 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 225 753 SH SOLE 753 0 0 VANGUARD TOTAL STOCK MARKET INDEX FUND TOTAL STK MKT 922908769 234 971 SH SOLE 970 0 0 ISHARES S&P SMALL-CAP FUND CORE S&P SCP ETF 464287804 238 2077 SH SOLE 2076 0 0 DISCOVER FINANCIAL SERVICES LLC COM 254709108 240 2078 SH SOLE 2078 0 0 LILLY ELI & CO COM COM 532457108 243 878 SH SOLE 878 0 0 FIRST TRUST ENERGY ALPHADEX FUND ENERGY ALPHADX 33734X127 245 20545 SH SOLE 20545 0 0 META PLATFORMS INC CL A CL A 30303M102 247 733 SH SOLE 733 0 0 ALPHABET INC CAP STK CL C CAP STK CL C 02079K107 249 86 SH SOLE 86 0 0 CHEVRON CORP NEW COM COM 166764100 255 2176 SH SOLE 2175 0 0 S&P GLOBAL INC COM COM 78409V104 257 545 SH SOLE 545 0 0 TORONTO DOMINION BANK COM NEW 891160509 259 3372 SH SOLE 3372 0 0 POWERSHARES FTSE RAFI DEV MKTS EX US FTSE RAFI DEV 46138E743 260 5485 SH SOLE 5485 0 0 AUTODESK INC COM COM 052769106 262 933 SH SOLE 933 0 0 SCHWAB U.S. LARGE-CAP ETF US LRG CAP ETF 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CORP COM COM 03073E105 304 2286 SH SOLE 2285 0 0 VANGUARD S&P 500 ETF S&P 500 ETF SHS 922908363 307 703 SH SOLE 703 0 0 FIRST TRUST LARGE CAP GROWTH ALPHADEX FUND COM SHS 33735K108 309 2571 SH SOLE 2570 0 0 ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF IBOXX INV CP ETF 464287242 320 2414 SH SOLE 2414 0 0 PROSHARES SHORT QQQ SHORT QQQ NEW 74347B714 326 30140 SH SOLE 30140 0 0 SPDR SER TR LEHMAN INTER TERM TREAS ETF PORTFLI INTRMDIT 78464A672 328 10239 SH SOLE 10238 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 336 16716 SH SOLE 16716 0 0 FIRST TR LARGE CAP VALUE OPPORTUNITIES ALPHADEX FD COM SHS COM SHS 33735J101 336 4807 SH SOLE 4806 0 0 CUMMINS INC COM COM 231021106 349 1600 SH SOLE 1600 0 0 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 367 2843 SH SOLE 2842 0 0 INVESCO DB AGRICULTURE FUND AGRICULTURE FD 46140H106 373 18911 SH SOLE 18911 0 0 MEDTRONIC PLC SHS SHS G5960L103 374 3619 SH SOLE 3618 0 0 PROSHARES ULTRA S&P 500 PSHS ULT S&P 500 74347R107 374 2556 SH SOLE 2556 0 0 CAPITAL ONE FINL CORP COM COM 14040H105 381 2629 SH SOLE 2628 0 0 DBX ETF TR MSCI EAFECURRENCY HEDGED EQUITY FD XTRACK MSCI EAFE 233051200 389 9897 SH SOLE 9897 0 0 ISHARES RUSSELL 1000 VALUE ETF RUS 1000 VAL ETF 464287598 396 2357 SH SOLE 2357 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 404 5850 SH SOLE 5850 0 0 VERTEX PHARMACEUTICALS INC COM COM 92532F100 410 1865 SH SOLE 1865 0 0 AMAZON COM INC COM COM 023135106 430 129 SH SOLE 129 0 0 SCHWAB US AGGREGATE BOND ETF US AGGREGATE B 808524839 430 7972 SH SOLE 7972 0 0 CELANESE CORP DEL COM COM 150870103 433 2574 SH SOLE 2574 0 0 BERKSHIRE HATHAWAY INC DEL CL A CL A 084670108 451 1 SH SOLE 1 0 0 HOWMET AEROSPACE INC COM COM 443201108 452 14204 SH SOLE 14203 0 0 SPDR SSGA FIXED INCOME SECTOR ROTATION ETF SPDR SSGA FXD 78470P507 453 14613 SH SOLE 14613 0 0 GENUINE PARTS CO COM COM 372460105 454 3239 SH SOLE 3239 0 0 CRESTWOOD EQUITY PARTNERS LP UNIT LTD PARTNER UNIT LTD PARTNER 226344208 466 16908 SH SOLE 16908 0 0 SALESFORCE COM COM 79466L302 467 1839 SH SOLE 1839 0 0 WEYERHAEUSER CO COM NEW 962166104 470 11425 SH SOLE 11425 0 0 DISNEY WALT CO COM COM 254687106 471 3044 SH SOLE 3043 0 0 AMCOR PLC ORD ORD G0250X107 477 39707 SH SOLE 39706 0 0 ISHARES 20 YR TREASURY ETF 20 YR TR BD ETF 464287432 481 3247 SH SOLE 3246 0 0 HARTFORD MULTIFACTOR DEVELOPED MARKETS (EX-US) ETF HARTFORD MLT ETF 518416102 486 16126 SH SOLE 16125 0 0 SNAP ON INC COM COM 833034101 492 2285 SH SOLE 2284 0 0 VISA INC COM CL A COM CL A 92826C839 504 2328 SH SOLE 2327 0 0 PRICE T ROWE GROUP INC COM COM 74144T108 510 2592 SH SOLE 2592 0 0 MCDONALDS CORP COM COM 580135101 516 1927 SH SOLE 1926 0 0 TEXAS INSTRS INC COM COM 882508104 517 2741 SH SOLE 2740 0 0 ISHARES CORE MSCI EAFE ETF CORE MSCI EAFE 46432F842 524 7023 SH SOLE 7023 0 0 SYNCHRONY FINANCIAL COM COM 87165B103 526 11331 SH SOLE 11331 0 0 CIGNA CORP COM 125523100 539 2345 SH SOLE 2345 0 0 VANGUARD LONG-TERM GOVERNMENT BOND ETF LONG TERM TREAS 92206C847 547 6121 SH SOLE 6121 0 0 SMITH A O CORP COM COM 831865209 548 6384 SH SOLE 6383 0 0 CROWN CASTLE INTL CORP NEW COM COM 22822V101 557 2670 SH SOLE 2669 0 0 IPATH SERIES B BLOOMBERG COFFEE SUBINDEX TOTAL RETURN ETN ETN LKD 48 06746P563 566 9241 SH SOLE 9241 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF CORE MSCI EMKT 46434G103 587 9801 SH SOLE 9800 0 0 PROSHARES TR SHORT 20 YR TREASURY ETF SHRT 20+YR TRE 74347X849 588 36757 SH SOLE 36757 0 0 WABTEC COM COM 929740108 589 6392 SH SOLE 6392 0 0 AMERIPRISE FINL INC COM COM 03076C106 595 1974 SH SOLE 1973 0 0 GARTNER INC COM COM 366651107 609 1822 SH SOLE 1822 0 0 KEYCORP COM COM 493267108 613 26500 SH SOLE 26499 0 0 COMERICA INC COM COM 200340107 622 7153 SH SOLE 7153 0 0 PAYCHEX INC COM COM 704326107 634 4646 SH SOLE 4646 0 0 ULTA BEAUTY INC COM COM 90384S303 636 1542 SH SOLE 1542 0 0 MONDELEZ INTL INC CL A CL A 609207105 641 9661 SH SOLE 9661 0 0 AGFIQ U.S. MARKET NEUTRAL ANTI-BETA FUND AGFIQ US MK ANTI 00110G408 644 36243 SH SOLE 36243 0 0 STRYKER CORP COM 863667101 664 2481 SH SOLE 2481 0 0 ISHARES CORE S&P U.S. GROWTH ETF CORE S&P US GWT 464287671 667 5764 SH SOLE 5764 0 0 PROCTER AND GAMBLE CO COM COM 742718109 667 4080 SH SOLE 4079 0 0 ECOLAB INC COM COM 278865100 668 2849 SH SOLE 2848 0 0 KROGER CO COM COM 501044101 674 14888 SH SOLE 14887 0 0 J M SMUCKER CO NEW COM NEW 832696405 679 4997 SH SOLE 4996 0 0 SCHWAB EMERGING MARKETS EQUITY ETF EMRG MKTEQ ETF 808524706 684 23087 SH SOLE 23087 0 0 ISHARES U.S. TREASURY BOND ETF US TREAS BD ETF 46429B267 690 25868 SH SOLE 25868 0 0 RH TACTICAL OUTLOOK ETF RH TACTICAL OUTL 85521B759 694 43524 SH SOLE 43524 0 0 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 715 9091 SH SOLE 9091 0 0 FIRST TRUST EMERGING MARKETS SMALL CAP ALPHADEX FUND EM SML CP ALPH 33737J307 729 18129 SH SOLE 18128 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ACTIVEBETA EME 381430206 737 19902 SH SOLE 19902 0 0 NEW JERSEY RES CORP COM COM 646025106 740 18016 SH SOLE 18015 0 0 WATERS CP COM 941848103 740 1985 SH SOLE 1985 0 0 AMERICAN WTR WKS CO INC NEW COM COM 030420103 747 3954 SH SOLE 3953 0 0 LOWES COS INC COM COM 548661107 751 2906 SH SOLE 2906 0 0 SPDR INTERNATIONAL GOVERNMENT TIPS ETF FTSE INT GVT ETF 78464A490 763 14180 SH SOLE 14180 0 0 CISCO SYS INC COM 17275R102 772 12190 SH SOLE 12189 0 0 FIRST TRUST MATERIALS ALPHADEX (ETF) MATERIALS ALPH 33734X168 775 12473 SH SOLE 12473 0 0 KEYSIGHT TECHNOLOGIES INC COM COM 49338L103 783 3792 SH SOLE 3792 0 0 SPDR BARCLAYS CAPITAL INTL TREASURY BOND ETF BLOMBERG INTL TR 78464A516 823 29116 SH SOLE 29115 0 0 WISDOMTREE ENHANCED COMMODITY STRATEGY FUND ENHNCD CMMDTY ST 97717Y683 919 44149 SH SOLE 44149 0 0 SPDR GOLD ETF GOLD SHS 78463V107 924 5402 SH SOLE 5402 0 0 CVS HEALTH CORP COM COM 126650100 969 9389 SH SOLE 9389 0 0 IQ ARB GLOBAL RESOURCES ETF IQ GLB RES ETF 45409B883 971 31755 SH SOLE 31755 0 0 APPLE INC COM 037833100 981 5525 SH SOLE 5524 0 0 WISDOMTREE INTERNATIONAL QUALITY DIVIDEND GROWTH FUND INTL QULTY DIV 97717X131 997 24994 SH SOLE 24994 0 0 REAL ESTATE SELECT SECTOR SPDR FUND RL EST SEL SEC 81369Y860 1008 19453 SH SOLE 19453 0 0 TEXAS PACIFIC LAND CORPORATION COM COM 88262P102 1012 810 SH SOLE 810 0 0 IQ HEDGE MULTI-STRATEGY TRACKER ETF HEDGE MLTI ETF 45409B107 1013 31877 SH SOLE 31877 0 0 WISDOMTREE INTERNATIONAL HEDGED QUALITY DIVIDEND GROWTH FUND ITL HDG QTLY DIV 97717X594 1034 22597 SH SOLE 22596 0 0 AUTOMATIC DATA PROCESSING INC COM COM 053015103 1058 4290 SH SOLE 4289 0 0 ISHARES MSCI USA SMALL-CAP MIN VOL FACTOR ETF MSCI USA SMCP MN 46435G433 1084 27735 SH SOLE 27734 0 0 JOHN HANCOCK MULTIFACTOR SMALL CAP ETF MULTIFACTR SML 47804J842 1093 30149 SH SOLE 30149 0 0 O'SHARES U.S. SMALL-CAP QUALITY DIVIDEND ETF OSHARES US SMLCP 67110P100 1104 29701 SH SOLE 29701 0 0 INVESCO QQQ TRUST UNIT SER 1 46090E103 1214 3052 SH SOLE 3052 0 0 ISHARES MORNINGSTAR MID-CAP ETF MRGSTR MD CP ETF 464288208 1280 18004 SH SOLE 18004 0 0 JOHN HANCOCK MULTIFACTOR MID CAP ETF MULTIFACTOR MI 47804J206 1421 25568 SH SOLE 25567 0 0 INVESCO ZACKS MID-CAP ETF 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