0001085146-20-002871.txt : 20201112 0001085146-20-002871.hdr.sgml : 20201112 20201112151312 ACCESSION NUMBER: 0001085146-20-002871 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 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: 201306187 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 09-30-2020 09-30-2020 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 Lindsay M. Farnsworth 206-923-3474 /s/ Lindsay M. 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SCHWB FDT EMK LG 808524730 3086 130102 SH SOLE 125503 0 4599 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 1299 16307 SH SOLE 14270 0 2037 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 461 8332 SH SOLE 8252 0 80 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 11150 138286 SH SOLE 107602 0 30684 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 6406 93771 SH SOLE 93305 0 466 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 3611 111019 SH SOLE 93496 0 17523 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 445 8030 SH SOLE 8030 0 0 SCHWAB STRATEGIC TR SCHWB FDT INT LG 808524755 4313 175523 SH SOLE 154305 0 21218 SCHWAB STRATEGIC TR US LCAP GR ETF 808524300 752 6525 SH SOLE 5905 0 620 SCHWAB STRATEGIC TR US REIT ETF 808524847 1436 40597 SH SOLE 38447 0 2150 SCHWAB STRATEGIC TR US TIPS ETF 808524870 1975 32043 SH SOLE 20049 0 11994 SCHWAB STRATEGIC TR SCHWAB FDT US LG 808524771 229 5912 SH SOLE 5700 0 212 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 4846 86420 SH SOLE 57333 0 29087 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 449 4253 SH SOLE 3653 0 600 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 235 1597 SH SOLE 1597 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 506 4338 SH SOLE 3417 0 921 SHERWIN WILLIAMS CO COM 824348106 2602 3735 SH SOLE 3735 0 0 SHOPIFY INC CL A 82509L107 688 673 SH SOLE 600 0 73 SKYWORKS SOLUTIONS INC COM 83088M102 438 3012 SH SOLE 3012 0 0 SMUCKER J M CO COM NEW 832696405 387 3349 SH SOLE 3180 0 169 SORRENTO THERAPEUTICS INC COM NEW 83587F202 126 11265 SH SOLE 11265 0 0 SOUTHERN COPPER CORP COM 84265V105 346 7638 SH SOLE 7063 0 575 SOUTHWEST AIRLS CO COM 844741108 333 8884 SH SOLE 8454 0 430 SPARTAN ENERGY ACQUISITION C *W EXP 08/27/202 846784122 184 42074 SH SOLE 42074 0 0 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 372 1341 SH SOLE 1341 0 0 SPDR GOLD TR GOLD SHS 78463V107 212 1197 SH SOLE 1060 0 137 SPDR INDEX SHS FDS DJ GLB RL ES ETF 78463X749 302 7656 SH SOLE 5132 0 2524 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 446 12200 SH SOLE 0 0 12200 SPDR INDEX SHS FDS S&P EMKTSC ETF 78463X756 5685 128094 SH SOLE 94839 0 33255 SPDR INDEX SHS FDS DJ INTL RL ETF 78463X863 811 27290 SH SOLE 18490 0 8800 SPDR INDEX SHS FDS S&P INTL ETF 78463X772 3372 99980 SH SOLE 74503 0 25477 SPDR S&P 500 ETF TR TR UNIT 78462F103 30045 89717 SH SOLE 89171 0 546 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 324 955 SH SOLE 955 0 0 SPDR SER TR NUVEEN BBG BRCLY 78464A284 7827 137659 SH SOLE 115417 0 22242 SPDR SER TR DJ REIT ETF 78464A607 624 8005 SH SOLE 6574 0 1432 SPDR SER TR S&P DIVID ETF 78464A763 233 2520 SH SOLE 1979 0 541 SPDR SER TR BLOOMBERG SRT TR 78468R408 35660 1378412 SH SOLE 1143945 0 234467 SPDR SER TR NUVEEN BLMBRG SR 78468R739 8612 172682 SH SOLE 138397 0 34285 SPDR SER TR PORTFOLIO INTRMD 78464A375 3079 83751 SH SOLE 61003 0 22748 SPDR SER TR S&P 600 SML CAP 78464A813 505 8300 SH SOLE 0 0 8300 SPDR SER TR PORTFOLIO SHORT 78464A474 4365 139151 SH SOLE 89980 0 49171 SPLUNK INC COM 848637104 931 4949 SH SOLE 4949 0 0 SQUARE INC CL A 852234103 816 5023 SH SOLE 2015 0 3008 SSGA ACTIVE ETF TR BLKSTN GSOSRLN 78467V608 209 4664 SH SOLE 4664 0 0 STARBUCKS CORP COM 855244109 2824 32871 SH SOLE 27599 0 5272 STRYKER CORPORATION COM 863667101 511 2454 SH SOLE 2314 0 140 T2 BIOSYSTEMS INC COM 89853L104 15 10747 SH SOLE 10747 0 0 TARGET CORP COM 87612E106 214 1361 SH SOLE 934 0 427 TELEDYNE TECHNOLOGIES INC COM 879360105 1534 4944 SH SOLE 4944 0 0 TESLA INC COM 88160R101 1392 3245 SH SOLE 2320 0 925 TEXAS INSTRS INC COM 882508104 423 2960 SH SOLE 2960 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 295 667 SH SOLE 667 0 0 T-MOBILE US INC COM 872590104 1030 9003 SH SOLE 8323 0 680 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 66 25277 SH SOLE 25277 0 0 UNION PAC CORP COM 907818108 573 2909 SH SOLE 2753 0 156 UNITED PARCEL SERVICE INC CL B 911312106 1291 7746 SH SOLE 7416 0 330 UNITEDHEALTH GROUP INC COM 91324P102 616 1977 SH SOLE 1873 0 104 US BANCORP DEL COM NEW 902973304 1581 44105 SH SOLE 44105 0 0 VALERO ENERGY CORP COM 91913Y100 210 4847 SH SOLE 4742 0 105 VANECK VECTORS ETF TR HIGH YLD MUN ETF 92189H409 5928 99133 SH SOLE 84227 0 14907 VANECK VECTORS ETF TR INTRMDT MUNI ETF 92189H201 1280 24956 SH SOLE 21484 0 3472 VANGUARD BD INDEX FDS SHORT TRM BOND 921937827 2124 25575 SH SOLE 20859 0 4716 VANGUARD INDEX FDS VALUE ETF 922908744 20733 198380 SH SOLE 170374 0 28005 VANGUARD INDEX FDS GROWTH ETF 922908736 1660 7294 SH SOLE 3962 0 3332 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6746 39613 SH SOLE 35067 0 4546 VANGUARD INDEX FDS LARGE CAP ETF 922908637 11499 73504 SH SOLE 55429 0 18075 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 20133 254977 SH SOLE 212879 0 42099 VANGUARD INDEX FDS SML CP GRW ETF 922908595 237 1101 SH SOLE 354 0 747 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 905 2942 SH SOLE 2942 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 7134 64483 SH SOLE 54139 0 10344 VANGUARD INDEX FDS SMALL CP ETF 922908751 6865 44638 SH SOLE 36761 0 7877 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 346 1923 SH SOLE 1923 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 6851 158452 SH SOLE 139864 0 18588 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 4195 86291 SH SOLE 71652 0 14639 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1721 21343 SH SOLE 15659 0 5684 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 13150 124891 SH SOLE 115340 0 9550 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 93273 1828173 SH SOLE 1552291 0 275882 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 45990 740701 SH SOLE 607718 0 132983 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 127922 1544022 SH SOLE 1245602 0 298420 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 78553 819966 SH SOLE 659369 0 160597 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 930 7231 SH SOLE 6097 0 1135 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 25469 622715 SH SOLE 616606 0 6109 VANGUARD WHITEHALL FDS INTL HIGH ETF 921946794 323 6200 SH SOLE 6200 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 3370 41638 SH SOLE 28930 0 12708 VANGUARD WORLD FD ESG INTL STK ETF 921910725 492 9536 SH SOLE 7969 0 1567 VANGUARD WORLD FD MEGA CAP VAL ETF 921910840 842 10978 SH SOLE 10490 0 488 VANGUARD WORLD FD MEGA CAP INDEX 921910873 1158 9660 SH SOLE 9660 0 0 VANGUARD WORLD FD MEGA GRWTH IND 921910816 778 4198 SH SOLE 3847 0 351 VEEVA SYS INC CL A COM 922475108 327 1162 SH SOLE 1162 0 0 VELODYNE LIDAR INC *W EXP 09/29/202 92259F119 197 40279 SH SOLE 40279 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2246 37747 SH SOLE 33907 0 3840 VISA INC COM CL A 92826C839 6478 32394 SH SOLE 19844 0 12550 WALGREENS BOOTS ALLIANCE INC COM 931427108 395 11009 SH SOLE 10659 0 350 WALMART INC COM 931142103 548 3919 SH SOLE 3919 0 0 WASTE MGMT INC DEL COM 94106L109 322 2842 SH SOLE 2410 0 432 WEC ENERGY GROUP INC COM 92939U106 240 2478 SH SOLE 2318 0 160 WESTERN UN CO COM 959802109 499 23290 SH SOLE 21455 0 1835 WHIRLPOOL CORP COM 963320106 569 3095 SH SOLE 2845 0 250 WISDOMTREE TR US SMALLCAP DIVD 97717W604 1824 86543 SH SOLE 63761 0 22782 WISDOMTREE TR US HIGH DIVIDEND 97717W208 517 8269 SH SOLE 6304 0 1965 WISDOMTREE TR EMG MKTS SMCAP 97717W281 795 19232 SH SOLE 15641 0 3592 WISDOMTREE TR INTL SMCAP DIV 97717W760 2160 36055 SH SOLE 28327 0 7727 WISDOMTREE TR EMER MKT HIGH FD 97717W315 1700 48242 SH SOLE 38748 0 9494 XCEL ENERGY INC COM 98389B100 859 12446 SH SOLE 7939 0 4507 ZENDESK INC COM 98936J101 483 4690 SH SOLE 4690 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 6161 60642 SH SOLE 60524 0 118