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 2017-09-30, filed 2017-11-13, with 139 holding rows worth $433,351,000.
- Accession
- 0001085146-17-002278
- Filer
- CIK 1510434
- Filed
- 2017-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 139 entries on the cover page, a total value of $433,351,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $433,351,000 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 | 1,116,452 | $89,461,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 640,715 | $56,389,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 777,101 | $38,428,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 358,914 | $30,310,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 426,368 | $23,032,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 662,233 | $18,523,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 133,553 | $11,097,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 85,530 | $9,870,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 151,570 | $9,100,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 169,095 | $8,218,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 119,937 | $6,848,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 49,708 | $5,787,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 45,471 | $5,041,000 | thousands by filing date | |
| VTI | 922908769 | COM | 37,756 | $4,890,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 88,790 | $4,649,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 26,250 | $4,046,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 47,160 | $3,513,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 75,617 | $3,283,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 27,713 | $3,148,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 154,349 | $3,099,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 36,326 | $2,945,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 87,377 | $2,738,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 84,139 | $2,634,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 83,074 | $2,236,000 | thousands by filing date | |
| Vanguard Short-Term Bond ETF | 921937827 | SHS | 26,937 | $2,150,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 98,536 | $2,088,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 47,019 | $2,052,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 93,770 | $2,017,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 91,617 | $1,947,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 85,417 | $1,932,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 15,873 | $1,865,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 45,317 | $1,830,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 32,173 | $1,778,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 50,762 | $1,769,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 29,472 | $1,751,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 80,723 | $1,724,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 17,105 | $1,707,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 26,342 | $1,633,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 39,230 | $1,494,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 26,375 | $1,417,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 16,743 | $1,407,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 65,452 | $1,401,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 15,415 | $1,384,000 | thousands by filing date | |
| Guggenheim BulletShares 2023 C | 18383M241 | ETF | 62,037 | $1,309,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 5,132 | $1,298,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 5,167 | $1,298,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 18,261 | $1,291,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 13,770 | $1,274,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,249 | $1,201,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 9,932 | $1,088,000 | thousands by filing date | |
| Vaneck Vectors AMT-Free Inter | 92189F544 | ETF | 42,306 | $1,017,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 39,895 | $986,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M381 | GUG BLT2018 HY | 37,498 | $950,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 37,987 | $948,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 10,090 | $918,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M225 | 2021 HG YLD CB | 36,164 | $914,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 35,691 | $907,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 12,010 | $888,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 8,281 | $872,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 13,806 | $859,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 6,285 | $834,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 31,718 | $816,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 32,682 | $790,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,097 | $787,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 25,076 | $769,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 22,050 | $761,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 7,890 | $748,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 5,138 | $747,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 7,795 | $736,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 16,931 | $728,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,000 | $684,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 10,502 | $674,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 6,175 | $666,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 5,030 | $654,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 11,319 | $607,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 8,723 | $597,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 16,435 | $589,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 14,633 | $573,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 11,024 | $572,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 3,466 | $569,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,043 | $567,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 3,983 | $563,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 556 | $533,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 6,296 | $516,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 510 | $497,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 4,717 | $479,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 17,421 | $477,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,773 | $474,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 9,089 | $450,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 4,481 | $442,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 6,519 | $433,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 16,957 | $430,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 8,597 | $414,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 8,343 | $403,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 10,530 | $401,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 11,473 | $384,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 2,575 | $382,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 23,485 | $370,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,962 | $366,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 3,621 | $346,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 4,248 | $344,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 2,375 | $341,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,195 | $319,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 6,471 | $309,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 4,143 | $307,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 10,166 | $304,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,490 | $299,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 3,264 | $298,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 5,848 | $287,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,534 | $282,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 5,033 | $282,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,320 | $277,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 6,998 | $270,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 1,706 | $267,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 5,730 | $265,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 7,408 | $264,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,458 | $259,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 5,716 | $257,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,100 | $255,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 3,940 | $251,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,321 | $249,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,200 | $241,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 4,957 | $235,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 3,693 | $234,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 1,996 | $233,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,658 | $230,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 4,377 | $227,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 9,030 | $224,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 5,070 | $222,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,992 | $221,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 1,716 | $219,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 4,412 | $218,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,071 | $210,000 | thousands by filing date | |
| IJH | 464287507 | COM | 1,156 | $207,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 1,121 | $206,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,229 | $204,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 3,334 | $203,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 3,724 | $202,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 22,200 | $152,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-002278 | this filing | 2017-11-13 | acceptance time not in the bulk data set |