13F-HR filed by Empirical Financial Services, LLC d.b.a. Empirical Wealth Management
Empirical Financial Services, LLC d.b.a. Empirical Wealth Management filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-24, with 93 holding rows worth $353,641,000.
- Accession
- 0001085146-14-000142
- Filer
- CIK 1510434
- Filed
- 2014-01-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 93 entries on the cover page, a total value of $353,641,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $353,641,000 with VALUE read as thousands by filing date, 13F file number 028-14067. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 914,995 | $72,998,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 518,004 | $42,839,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 510,501 | $25,969,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 587,614 | $25,902,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 419,494 | $22,137,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 532,333 | $17,338,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 305,815 | $12,746,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 191,777 | $12,381,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 144,250 | $12,232,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 183,840 | $9,157,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 77,750 | $8,545,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 67,434 | $7,172,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 55,038 | $5,710,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 171,737 | $5,298,000 | thousands by filing date | |
| VTI | 922908769 | COM | 46,410 | $4,452,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 36,101 | $2,886,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 112,662 | $2,814,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 52,291 | $2,630,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 18,428 | $1,943,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 35,614 | $1,940,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 36,917 | $1,885,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 84,959 | $1,859,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M571 | GUGG CRP BD 2014 | 86,157 | $1,831,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 79,867 | $1,780,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 29,842 | $1,773,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 56,152 | $1,770,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 24,541 | $1,647,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 56,804 | $1,605,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 68,968 | $1,563,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 72,388 | $1,515,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 73,069 | $1,503,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 13,565 | $1,444,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 70,254 | $1,443,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 57,336 | $1,410,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 18,892 | $1,346,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 60,980 | $1,342,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 39,283 | $1,320,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 24,645 | $1,216,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 40,530 | $1,206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 25,548 | $1,176,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 47,672 | $1,158,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 34,198 | $1,154,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 25,921 | $970,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 23,329 | $872,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 11,098 | $848,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 73,801 | $814,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 40,178 | $804,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 5,928 | $712,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 8,373 | $706,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 16,390 | $685,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 3,701 | $684,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 23,287 | $653,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 4,444 | $623,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 8,211 | $617,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 14,762 | $613,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 9,753 | $608,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 22,611 | $606,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 22,560 | $602,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M415 | GUG BLT2016 HY | 21,195 | $573,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,832 | $556,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 10,765 | $549,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 17,766 | $545,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 19,991 | $539,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 19,644 | $533,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A318 | NUVN S&P VRDO MN | 16,313 | $488,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 10,448 | $485,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,797 | $474,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 7,757 | $427,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 6,252 | $424,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 5,312 | $416,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 4,654 | $373,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,228 | $368,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 4,104 | $361,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,859 | $330,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 21,066 | $328,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 11,512 | $315,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 6,303 | $299,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 7,246 | $298,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,119 | $289,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 4,541 | $286,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 65,022 | $283,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 6,574 | $272,000 | thousands by filing date | |
| ISHARES INC | 464286459 | EMKTS VALU IDX | 5,466 | $256,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 4,512 | $248,000 | thousands by filing date | |
| ISHARES | 464289362 | TR 2014 S\&P.* AMTFR | 4,720 | $242,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 3,070 | $235,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 1,981 | $216,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,748 | $206,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 2,228 | $204,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,760 | $201,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 3,774 | $201,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 3,936 | $200,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,000 | $169,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000142 | this filing | 2014-01-24 | acceptance time not in the bulk data set |