Chief Compliance Officer

0001926596-22-000002.txt : 20220506 0001926596-22-000002.hdr.sgml : 20220506 20220506093303 ACCESSION NUMBER: 0001926596-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 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: 22899132 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 03-31-2022 03-31-2022 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 0 145 105171 false INFORMATION TABLE 2 13F_EAM_2022_Q1.xml GENOCEA BIOSCIENCES INC COM NEW COM NEW 372427401 13 10000 SH SOLE 10000 0 0 MERSANA THERAPEUTICS INC COM COM 59045L106 40 10000 SH SOLE 10000 0 0 MARKFORGED HOLDING CORPORATION COM COM 57064N102 42 10500 SH SOLE 10500 0 0 CANDEL THERAPEUTICS INC COM COM 137404109 61 12000 SH SOLE 12000 0 0 CECO ENVIRONMENTAL CORP COM COM 125141101 117 21346 SH SOLE 21346 0 0 BARINGS BDC INC COM COM 06759L103 173 16700 SH SOLE 16700 0 0 CATERPILLAR INC COM COM 149123101 201 903 SH SOLE 903 0 0 ISHARES CORE S&P MID CAP ETF CORE S&P MCP ETF 464287507 204 759 SH SOLE 759 0 0 PROSHARES TR SHORT 20 YR TREASURY ETF SHRT 20+YR TRE 74347X849 206 11620 SH SOLE 11620 0 0 SCHWAB FUNDAMENTAL U.S. LARGE COMPANY INDEX ETF SCHWAB FDT US LG 808524771 213 3647 SH SOLE 3647 0 0 PPG INDS INC COM COM 693506107 216 1645 SH SOLE 1645 0 0 OTIS WORLDWIDE CORP COM COM 68902V107 223 2896 SH SOLE 2896 0 0 DENTSPLY SIRONA INC COM COM 24906P109 226 4590 SH SOLE 4590 0 0 ISHARES S&P SMALL-CAP FUND CORE S&P SCP ETF 464287804 228 2112 SH SOLE 2112 0 0 NVIDIA CORP COM 67066G104 230 843 SH SOLE 843 0 0 MEDTRONIC PLC SHS SHS G5960L103 240 2164 SH SOLE 2164 0 0 STEEL DYNAMICS INC COM COM 858119100 242 2905 SH SOLE 2905 0 0 POWERSHARES FTSE RAFI DEV MKTS EX US FTSE RAFI DEV 46138E743 243 5270 SH SOLE 5270 0 0 ECOLAB INC COM COM 278865100 247 1401 SH SOLE 1401 0 0 SCHWAB U.S. LARGE-CAP ETF US LRG CAP ETF 808524201 248 4602 SH SOLE 4602 0 0 SPDR PORTFOLIO S&P 500 ETF PORTFOLIO S&P500 78464A854 248 4672 SH SOLE 4672 0 0 FIRST TRUST LARGE CAP GROWTH ALPHADEX FUND COM SHS 33735K108 256 2395 SH SOLE 2395 0 0 EXXON MOBIL CORP COM COM 30231G102 258 3125 SH SOLE 3125 0 0 M & T BK CORP COM COM 55261F104 263 1551 SH SOLE 1551 0 0 ALPHABET INC CAP STK CL C CAP STK CL C 02079K107 268 96 SH SOLE 96 0 0 PIMCO ENHANCED SHORT MATURITY ACTIVE EXCHANGE-TRADED FUND ENHAN SHRT MA AC 72201R833 270 2699 SH SOLE 2699 0 0 BK OF AMERICA CORP COM COM 060505104 282 6835 SH SOLE 6835 0 0 GENERAL DYNAMICS CORP COM COM 369550108 284 1177 SH SOLE 1177 0 0 GOOGLE INC CAP STK CL A 02079K305 284 102 SH SOLE 102 0 0 SCHWAB SHORT-TERM U.S. TREASURY ETF SHT TM US TRES 808524862 286 5772 SH SOLE 5772 0 0 ISHARES IBOXX $ INVESTMENT GRADE CORPORATE BOND ETF IBOXX INV CP ETF 464287242 292 2414 SH SOLE 2414 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW CL B NEW 084670702 293 831 SH SOLE 831 0 0 VANGUARD S&P 500 ETF S&P 500 ETF SHS 922908363 293 706 SH SOLE 706 0 0 ABBOTT LABS COM COM 002824100 294 2488 SH SOLE 2488 0 0 TORONTO DOMINION BANK COM NEW 891160509 294 3705 SH SOLE 3705 0 0 ISHARES S&P 500 INDEX CORE S&P500 ETF 464287200 296 652 SH SOLE 652 0 0 UNITEDHEALTH GROUP COM 91324P102 301 591 SH SOLE 591 0 0 SPDR SER TR LEHMAN INTER TERM TREAS ETF PORTFLI INTRMDIT 78464A672 311 10280 SH SOLE 10280 0 0 FIRST TR LARGE CAP VALUE OPPORTUNITIES ALPHADEX FD COM SHS COM SHS 33735J101 316 4482 SH SOLE 4482 0 0 ISHARES TIPS BOND ETF TIPS BD ETF 464287176 349 2799 SH SOLE 2799 0 0 STATE STR CORP COM COM 857477103 359 4115 SH SOLE 4115 0 0 DBX ETF TR MSCI EAFECURRENCY HEDGED EQUITY FD XTRACK MSCI EAFE 233051200 361 9583 SH SOLE 9583 0 0 CHEVRON CORP NEW COM COM 166764100 362 2225 SH SOLE 2225 0 0 LABORATORY CORP AMER HLDGS COM NEW COM NEW 50540R409 364 1381 SH SOLE 1381 0 0 SYNCHRONY FINANCIAL COM COM 87165B103 376 10794 SH SOLE 10794 0 0 FIRST TRUST MATERIALS ALPHADEX (ETF) MATERIALS ALPH 33734X168 377 5264 SH SOLE 5264 0 0 PRICE T ROWE GROUP INC COM COM 74144T108 378 2503 SH SOLE 2503 0 0 YUM BRANDS INC COM COM 988498101 378 3192 SH SOLE 3192 0 0 ABBVIE INC COM COM 00287Y109 380 2345 SH SOLE 2345 0 0 S&P GLOBAL INC COM COM 78409V104 398 970 SH SOLE 970 0 0 ISHARES 20 YR TREASURY ETF 20 YR TR BD ETF 464287432 402 3040 SH SOLE 3040 0 0 CUMMINS INC COM COM 231021106 404 1968 SH SOLE 1968 0 0 INTERNATIONAL PAPER CO COM COM 460146103 406 8789 SH SOLE 8789 0 0 SCHWAB EMERGING MARKETS EQUITY ETF EMRG MKTEQ ETF 808524706 406 14616 SH SOLE 14616 0 0 CELANESE CORP DEL COM COM 150870103 410 2870 SH SOLE 2870 0 0 HP INC COM COM 40434L105 413 11388 SH SOLE 11388 0 0 CVS HEALTH CORP COM COM 126650100 420 4149 SH SOLE 4149 0 0 AMAZON COM INC COM COM 023135106 421 129 SH SOLE 129 0 0 SPDR SSGA FIXED INCOME SECTOR ROTATION ETF SPDR SSGA FXD 78470P507 422 14613 SH SOLE 14613 0 0 CAPITAL ONE FINL CORP COM COM 14040H105 423 3221 SH SOLE 3221 0 0 AT&T INC COM COM 00206R102 428 18092 SH SOLE 18092 0 0 SYSCO CORP COM COM 871829107 441 5404 SH SOLE 5404 0 0 GENUINE PARTS CO COM COM 372460105 446 3535 SH SOLE 3535 0 0 BEST BUY INC COM COM 086516101 464 5106 SH SOLE 5106 0 0 WEYERHAEUSER CO COM NEW 962166104 464 12234 SH SOLE 12234 0 0 MCDONALDS CORP COM COM 580135101 470 1900 SH SOLE 1900 0 0 SCHWAB US AGGREGATE BOND ETF US AGGREGATE B 808524839 478 9453 SH SOLE 9453 0 0 WALMART INC COM COM 931142103 478 3211 SH SOLE 3211 0 0 ISHARES CORE MSCI EAFE ETF CORE MSCI EAFE 46432F842 498 7159 SH SOLE 7159 0 0 J M SMUCKER CO NEW COM NEW 832696405 504 3725 SH SOLE 3725 0 0 JOHNSON & JOHNSON COM COM 478160104 510 2879 SH SOLE 2879 0 0 KIMBERLY-CLARK CORP COM COM 494368103 513 4162 SH SOLE 4162 0 0 HEWLETT PACKARD ENTERPRISE CO COM COM 42824C109 516 30852 SH SOLE 30852 0 0 CRESTWOOD EQUITY PARTNERS LP UNIT LTD PARTNER UNIT LTD PARTNER 226344208 517 17291 SH SOLE 17291 0 0 ROCKWELL AUTOMATION INC COM COM 773903109 519 1852 SH SOLE 1852 0 0 QUEST DIAGNOSTICS INC COM 74834L100 522 3817 SH SOLE 3817 0 0 AMERIPRISE FINL INC COM COM 03076C106 524 1745 SH SOLE 1745 0 0 BERKSHIRE HATHAWAY INC DEL CL A CL A 084670108 529 1 SH SOLE 1 0 0 HARTFORD MULTIFACTOR DEVELOPED MARKETS (EX-US) ETF HARTFORD MLT ETF 518416102 543 18649 SH SOLE 18649 0 0 AUTOZONE INC COM COM 053332102 546 267 SH SOLE 267 0 0 DOW INC COM COM 260557103 551 8650 SH SOLE 8650 0 0 EQUINIX INC COM COM 29444U700 554 747 SH SOLE 747 0 0 ISHARES CORE MSCI EMERGING MARKETS ETF CORE MSCI EMKT 46434G103 555 9994 SH SOLE 9994 0 0 INCYTE CORP COM COM 45337C102 562 7078 SH SOLE 7078 0 0 ASSURANT INC COM 04621X108 569 3128 SH SOLE 3128 0 0 AKAMAI TECHNOLOGIES INC COM COM 00971T101 573 4801 SH SOLE 4801 0 0 FIDELITY MSCI UTILITIES INDEX ETF MSCI UTILS INDEX 316092865 582 12142 SH SOLE 12142 0 0 HOLOGIC INC COM COM 436440101 600 7806 SH SOLE 7806 0 0 VANGUARD LONG-TERM GOVERNMENT BOND ETF LONG TERM TREAS 92206C847 613 7625 SH SOLE 7625 0 0 CBOE GLOBAL MKTS INC COM COM 12503M108 617 5389 SH SOLE 5389 0 0 ISHARES CORE S&P U.S. GROWTH ETF CORE S&P US GWT 464287671 620 5864 SH SOLE 5864 0 0 PAYCHEX INC COM COM 704326107 620 4544 SH SOLE 4544 0 0 NASDAQ INC COM COM 631103108 633 3553 SH SOLE 3553 0 0 ISHARES U.S. TREASURY BOND ETF US TREAS BD ETF 46429B267 660 26476 SH SOLE 26476 0 0 STARBOARD INVT TR RH TACTICAL OUTL 85521B759 666 45066 SH SOLE 45066 0 0 BIOGEN IDEC INC COM 09062X103 670 3183 SH SOLE 3183 0 0 ISHARES MSCI EAFE ETF MSCI EAFE ETF 464287465 670 9103 SH SOLE 9103 0 0 VERTEX PHARMACEUTICALS INC COM COM 92532F100 703 2692 SH SOLE 2692 0 0 TEXAS INSTRS INC COM COM 882508104 728 3965 SH SOLE 3965 0 0 FIDELITY MSCI ENERGY INDEX ETF MSCI ENERGY IDX 316092402 746 35637 SH SOLE 35637 0 0 AGFIQ U.S. MARKET NEUTRAL ANTI-BETA FUND AGFIQ US MK ANTI 00110G408 793 43242 SH SOLE 43242 0 0 GOLDMAN SACHS ACTIVEBETA EMERGING MARKETS EQUITY ETF ACTIVEBETA EME 381430206 805 23758 SH SOLE 23758 0 0 GILEAD SCIENCES INC COM 375558103 808 13593 SH SOLE 13593 0 0 KROGER CO COM COM 501044101 808 14078 SH SOLE 14078 0 0 NEW JERSEY RES CORP COM COM 646025106 832 18132 SH SOLE 18132 0 0 HOME DEPOT COM 437076102 848 2834 SH SOLE 2834 0 0 PEPSICO INC COM COM 713448108 876 5235 SH SOLE 5235 0 0 FIRST TRUST EMERGING MARKETS SMALL CAP ALPHADEX FUND EM SML CP ALPH 33737J307 878 21611 SH SOLE 21611 0 0 SPDR BARCLAYS CAPITAL INTL TREASURY BOND ETF BLOMBERG INTL TR 78464A516 891 34214 SH SOLE 34214 0 0 SPDR GOLD ETF GOLD SHS 78463V107 898 4969 SH SOLE 4969 0 0 SPDR INTERNATIONAL GOVERNMENT TIPS ETF FTSE INT GVT ETF 78464A490 940 17422 SH SOLE 17422 0 0 CISCO SYS INC COM 17275R102 970 17399 SH SOLE 17399 0 0 SNAP ON INC COM COM 833034101 1029 5009 SH SOLE 5009 0 0 LOWES COS INC COM COM 548661107 1030 5095 SH SOLE 5095 0 0 REAL ESTATE SELECT SECTOR SPDR FUND RL EST SEL SEC 81369Y860 1038 21486 SH SOLE 21486 0 0 STARBOARD INVT TR ADAPTIVE ALPHA 85521B742 1047 43870 SH SOLE 43870 0 0 WISDOMTREE INTERNATIONAL QUALITY DIVIDEND GROWTH FUND INTL QULTY DIV 97717X131 1069 29287 SH SOLE 29287 0 0 IQ HEDGE MULTI-STRATEGY TRACKER ETF HEDGE MLTI ETF 45409B107 1080 35028 SH SOLE 35028 0 0 TEXAS PACIFIC LAND CORPORATION COM COM 88262P102 1098 812 SH SOLE 812 0 0 WISDOMTREE INTERNATIONAL HEDGED QUALITY DIVIDEND GROWTH FUND ITL HDG QTLY DIV 97717X594 1110 25846 SH SOLE 25846 0 0 O'SHARES U.S. SMALL-CAP QUALITY DIVIDEND ETF OSHARES US SMLCP 67110P100 1157 33244 SH SOLE 33244 0 0 JOHN HANCOCK MULTIFACTOR SMALL CAP ETF MULTIFACTR SML 47804J842 1163 33907 SH SOLE 33907 0 0 ISHARES MSCI USA SMALL-CAP MIN VOL FACTOR ETF MSCI USA SMCP MN 46435G433 1170 31459 SH SOLE 31459 0 0 IQ ARB GLOBAL RESOURCES ETF IQ GLB RES ETF 45409B883 1227 34829 SH SOLE 34829 0 0 WISDOMTREE ENHANCED COMMODITY STRATEGY FUND ENHNCD CMMDTY ST 97717Y683 1228 48609 SH SOLE 48609 0 0 AUTOMATIC DATA PROCESSING INC COM COM 053015103 1487 6536 SH SOLE 6536 0 0 ISHARES MORNINGSTAR MID-CAP ETF MRGSTR MD CP ETF 464288208 1487 22097 SH SOLE 22097 0 0 JOHN HANCOCK MULTIFACTOR MID CAP ETF MULTIFACTOR MI 47804J206 1496 28467 SH SOLE 28467 0 0 INVESCO ZACKS MID-CAP ETF ZACKS MID CAP 46137Y401 1561 16423 SH SOLE 16423 0 0 SPDR MSCI EAFE STRATEGICFACTORS ETF MSCI EAFE STRTGC 78463X434 1612 22341 SH SOLE 22341 0 0 SPDR S&P 500 ETF TR UNIT 78462F103 1612 3568 SH SOLE 3568 0 0 APPLE INC COM 037833100 1703 9754 SH SOLE 9754 0 0 DBX ETF TR MSCI EMERGING MKTS CURRENCY HEDGED EQUITY FD XTRACK MSCI EMRG 233051101 1732 70832 SH SOLE 70832 0 0 WISDOMTREE MANAGED FUTURES STRATEGY FUND FUTRE STRAT FD 97717W125 1789 49766 SH SOLE 49766 0 0 FLEXSHARES TR IBOXX 3 YR TARGET DURATION TIPS INDEX FD IBOXX 3R TARGT 33939L506 1805 69672 SH SOLE 69672 0 0 GOLDMAN SACHS ACTIVEBETA U.S. LARGE CAP EQUITY ETF ACTIVEBETA US LG 381430503 1805 20276 SH SOLE 20276 0 0 FIDELITY LOW VOLATILITY FACTOR ETF LOW VOLITY ETF 316092824 1843 36860 SH SOLE 36860 0 0 SPDR SSGA US LARGE CAP LOW VOLATILITY INDEX ETF SSGA US LRG ETF 78468R804 1866 12990 SH SOLE 12990 0 0 PIMCO BROAD U.S. TIPS INDEX EXCHANGE-TRADED FUND BROAD US TIPS 72201R403 1878 29659 SH SOLE 29659 0 0 MICROSOFT COM 594918104 1920 6228 SH SOLE 6228 0 0 SCHWAB INTERMEDIATE-TERM U.S. TREASURY ETF INTRM TRM TRES 808524854 1935 36338 SH SOLE 36338 0 0 UTILITIES SELECT SECTOR SPDR FUND SBI INT-UTILS 81369Y886 2202 29578 SH SOLE 29578 0 0 WISDOMTREE BOFA MERRILL LYNCH HIGH YIELD BOND ZERO DURATION FUND HEDGED HI YLD BD 97717W430 2595 118376 SH SOLE 118376 0 0 ISHARES 1-3 YR TREASURY BOND ETF 1 3 YR TREAS BD 464287457 3891 46679 SH SOLE 46679 0 0 ABRDN PHYSICAL GOLD SHARES ETF PHYSCL GOLD SHS 00326A104 4546 244645 SH SOLE 244645 0 0