Empirical Financial Services, LLC d/b/a Empirical Wealth Management

Empirical Financial Services as of Sept. 30, 2013

Portfolio Holdings for Empirical Financial Services

Empirical Financial Services holds 88 positions in its portfolio as reported in the September 2013 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vanguard Short Term Corporate Bond ETF (VCSH) 21.5 $69M 864k 79.60
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 12.9 $41M 496k 83.42
Pimco Etf Tr 1-3yr ustreidx 7.7 $25M 483k 50.91
Schwab Strategic Tr us lrg cap etf (SCHX) 6.7 $21M 531k 40.21
Schwab Strategic Tr 0 (SCHP) 6.5 $21M 387k 54.06
Barclays Bk Plc Ipspgs Ttl Etn etf 5.0 $16M 491k 32.75
Vanguard Large-Cap ETF (VV) 3.7 $12M 155k 77.34
Vanguard REIT ETF (VNQ) 3.5 $11M 171k 66.14
iShares Barclays TIPS Bond Fund (TIP) 3.0 $9.6M 85k 112.58
Vanguard Europe Pacific ETF (VEA) 2.4 $7.6M 193k 39.58
Pimco Etf Tr 0-5 high yield (HYS) 2.2 $7.0M 67k 104.90
Vanguard Short-Term Bond ETF (BSV) 1.8 $5.8M 72k 80.38
Ishares Inc core msci emkt (IEMG) 1.5 $4.7M 96k 48.65
iShares S&P Natl AMTFr Mncpl Bd (MUB) 1.3 $4.2M 40k 104.50
Vanguard Total Stock Market ETF (VTI) 1.3 $4.2M 48k 87.65
Spdr Short-term High Yield mf (SJNK) 1.2 $4.0M 130k 30.54
iShares Barclays 1-3 Year Cred Bd Fd ETF (IGSB) 0.7 $2.2M 21k 105.30
PowerShares VRDO Tax Free Weekly Por ETF 0.6 $1.9M 77k 24.95
Market Vectors High Yield Muni. Ind 0.6 $1.8M 62k 29.22
Vanguard Total World Stock Idx (VT) 0.5 $1.7M 31k 55.54
Schwab Strategic Tr us aggregate b (SCHZ) 0.5 $1.7M 33k 50.82
Schwab International Equity ETF (SCHF) 0.5 $1.5M 49k 30.39
Claymore Exchange-traded Fd gugg crp bd 2013 0.5 $1.5M 70k 20.76
Claymore Exchange-traded Fd gugg crp bd 2014 0.5 $1.5M 69k 21.30
Guggenheim Bulletshar 0.5 $1.5M 68k 21.87
iShares MSCI EAFE Index Fund (EFA) 0.4 $1.4M 22k 63.79
Market Vectors-Inter. Muni. Index 0.4 $1.4M 61k 22.31
Claymore Exchange-traded Fd gugg crp bd 2016 0.4 $1.3M 61k 22.24
iShares Lehman Aggregate Bond (AGG) 0.4 $1.3M 12k 107.20
SPDR DJ Wilshire REIT (RWR) 0.4 $1.3M 18k 72.91
Claymore Exchange-traded Fd gugg crp bd 2017 0.4 $1.3M 58k 22.63
Claymore Exchange Trd Fd Tr gug bull2018 e 0.4 $1.3M 61k 20.89
Schwab Emerging Markets Equity ETF (SCHE) 0.4 $1.2M 51k 24.58
Claymore Exchange Trd Fd Tr gug bull2019 e 0.4 $1.3M 61k 20.60
Vanguard Intl Equity Index F glb ex us etf (VNQI) 0.4 $1.2M 21k 56.71
Claymore Exchange Trd Fd Tr gug bull2020 e 0.4 $1.2M 58k 20.47
Wisdomtree Tr em lcl debt (ELD) 0.4 $1.1M 24k 47.08
Microsoft Corporation (MSFT) 0.3 $1.0M 31k 33.28
SPDR Barclay Cp Intr Trm Cr Bd (SPIB) 0.3 $1.1M 31k 33.75
Spdr Series Trust cmn (HYMB) 0.3 $976k 19k 52.30
Apple (AAPL) 0.3 $969k 2.0k 476.87
Spdr Series Trust brcly em locl (EBND) 0.3 $874k 29k 30.22
Vanguard Malvern Fds strm infproidx (VTIP) 0.3 $851k 17k 49.45
iShares S&P World Ex-US Prop Index (WPS) 0.3 $830k 22k 37.59
Vanguard Value ETF (VTV) 0.2 $790k 11k 69.78
iShares Lehman 3-7 Yr Treasury Bond (IEI) 0.2 $786k 6.5k 121.41
iShares Lehman 1-3 Year Treas.Bond (SHY) 0.2 $723k 8.6k 84.44
SPDR Nvn Barclys Cptl Shrt Trm Mncpl Bnd 0.2 $704k 29k 24.23
Vanguard High Dividend Yield ETF (VYM) 0.2 $685k 12k 57.48
SPDR Dow Jones Global Real Estate (RWO) 0.2 $656k 16k 42.31
Spdr Series Trust nuvn s^p vrdo mn 0.2 $607k 20k 29.95
General Electric Company 0.2 $561k 24k 23.88
LSI Corporation 0.2 $580k 74k 7.83
iShares MSCI Emerging Markets Indx (EEM) 0.2 $546k 13k 40.79
3M Company (MMM) 0.2 $531k 4.4k 119.49
iShares Russell Microcap Index (IWC) 0.2 $553k 8.1k 68.53
Procter & Gamble Company (PG) 0.2 $523k 6.9k 75.55
ISHARES TR MSCI Small Cap msci small cap (SCZ) 0.2 $515k 11k 48.53
WisdomTree SmallCap Dividend Fund (DES) 0.2 $511k 8.2k 62.67
Guggenheim Bulletshs Etf equity 0.2 $506k 19k 26.73
Guggenheim Bulletshs Etf equity 0.2 $502k 19k 26.69
Claymore Exchange-traded Fd gugg bull 2013 0.1 $489k 19k 25.51
Claymore Etf gug blt2016 hy 0.1 $468k 18k 26.67
Chevron Corporation (CVX) 0.1 $458k 3.8k 121.55
SPDR Barclays Cptl Shrt Term Corp Bd ETF (SPSB) 0.1 $454k 15k 30.74
PIMCO Broad US TIPS Index Fund (TIPZ) 0.1 $438k 7.8k 56.52
Claymore Etf gug blt2017 hy 0.1 $451k 17k 26.65
Claymore Exchange Trd Fd Tr gug blt2018 hy 0.1 $458k 17k 26.54
ConocoPhillips (COP) 0.1 $415k 6.0k 69.47
Claymore Exchange Trd Fd Tr gugg bulsh 2021 0.1 $368k 19k 19.64
Vanguard Total Bond Market ETF (BND) 0.1 $354k 4.4k 80.86
Zagg 0.1 $338k 75k 4.51
Starbucks Corporation (SBUX) 0.1 $317k 4.1k 76.92
SPDR S&P Emerging Markets Small Cap (EWX) 0.1 $316k 6.9k 45.49
Petroleum & Resources Corporation 0.1 $311k 12k 27.02
Bank of America Corporation (BAC) 0.1 $292k 21k 13.80
WisdomTree Intl. SmallCap Div (DLS) 0.1 $281k 4.7k 60.07
Coca-Cola Company (KO) 0.1 $249k 6.6k 37.89
Spdr S&p 500 Etf (SPY) 0.1 $267k 1.6k 168.03
Boeing Company (BA) 0.1 $255k 2.2k 117.46
Vanguard Emerging Markets ETF (VWO) 0.1 $267k 6.6k 40.19
iShares S&P Cal AMTFr Mncpl Bnd (CMF) 0.1 $262k 2.4k 109.03
SPDR S&P International Dividend (DWX) 0.1 $250k 5.4k 46.69
Ishares Inc .................... emkts valu idx 0.1 $269k 5.5k 49.34
Amgen (AMGN) 0.1 $227k 2.0k 111.93
iShares S&P 500 Index (IVV) 0.1 $228k 1.4k 168.64
Johnson & Johnson (JNJ) 0.1 $202k 2.3k 86.55
Opko Health (OPK) 0.1 $176k 20k 8.80