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

Empirical Financial Services, LLC d.b.a. Empirical Wealth Management as of Sept. 30, 2018

Portfolio Holdings for Empirical Financial Services, LLC d.b.a. Empirical Wealth Management

Empirical Financial Services, LLC d.b.a. Empirical Wealth Management holds 213 positions in its portfolio as reported in the September 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Vanguard Short Term Corporate Bond ETF (VCSH) 18.7 $106M 1.4M 78.16
Vanguard Intermediate Tm Cpte Bd ETF (VCIT) 11.4 $64M 767k 83.53
Vanguard Malvern Fds strm infproidx (VTIP) 8.7 $49M 1.0M 48.37
iShares Lehman 1-3 Year Treas.Bond (SHY) 5.7 $32M 388k 83.09
Ishares Inc core msci emkt (IEMG) 4.7 $27M 512k 51.78
Spdr Short-term High Yield mf (SJNK) 4.4 $25M 902k 27.59
Vanguard REIT ETF (VNQ) 2.5 $14M 176k 80.68
Vanguard Large-Cap ETF (VV) 1.9 $11M 82k 133.51
Schwab Strategic Tr us lrg cap etf (SCHX) 1.9 $11M 157k 69.56
Spdr Series Trust cmn (HYMB) 1.9 $11M 189k 56.27
Nuveen Barclays Shrt Term Muni bdfund (SHM) 1.9 $11M 220k 47.69
Amazon (AMZN) 1.3 $7.5M 3.8k 2002.93
Microsoft Corporation (MSFT) 1.3 $7.4M 65k 114.38
Apple (AAPL) 1.2 $6.8M 30k 225.76
D First Tr Exchange-traded (FPE) 1.1 $6.5M 338k 19.10
Vanguard Total Stock Market ETF (VTI) 1.1 $6.1M 41k 149.66
iShares S&P Natl AMTFr Mncpl Bd (MUB) 1.0 $5.8M 53k 107.94
Schwab Strategic Tr us aggregate b (SCHZ) 0.9 $5.0M 100k 50.25
U.S. Bancorp (USB) 0.8 $4.5M 86k 52.81
Spdr S&p 500 Etf (SPY) 0.7 $3.9M 13k 290.75
Vanguard Europe Pacific ETF (VEA) 0.7 $3.8M 87k 43.27
Schwab Emerging Markets Equity ETF (SCHE) 0.6 $3.5M 137k 25.71
Vanguard High Dividend Yield ETF (VYM) 0.5 $3.0M 34k 87.10
Ishares Inc msci frntr 100 (FM) 0.5 $2.9M 102k 28.44
Exxon Mobil Corporation (XOM) 0.5 $2.6M 31k 85.03
Ishares U S Etf Tr Commodities Select Strategy Etf (COMT) 0.5 $2.6M 67k 38.93
iShares Barclays TIPS Bond Fund (TIP) 0.5 $2.5M 23k 110.62
Teledyne Technologies Incorporated (TDY) 0.4 $2.5M 10k 246.64
SPDR Barclays Cptl Shrt Term Corp Bd ETF (SPSB) 0.4 $2.4M 78k 30.18
Vaneck Vectors Etf Tr High Yld Mun Etf 0.4 $2.4M 76k 31.13
Invesco Qqq Trust Series 1 (QQQ) 0.4 $2.3M 13k 185.78
Edwards Lifesciences (EW) 0.4 $2.1M 12k 174.08
Invesco Bulletshares 2018 Corp 0.4 $2.1M 99k 21.15
Invesco Bulletshares 2019 Corp 0.4 $2.1M 100k 21.08
Invesco Bulletshares 2020 Corp 0.4 $2.1M 99k 21.08
Vanguard Value ETF (VTV) 0.3 $1.9M 17k 110.67
Invesco Bulletshares 2021 Corp 0.3 $1.9M 92k 20.74
SPDR S&P International Dividend (DWX) 0.3 $1.8M 49k 37.91
Schwab Strategic Tr 0 (SCHP) 0.3 $1.8M 34k 53.95
Bscm etf 0.3 $1.9M 90k 20.66
iShares Russell Microcap Index (IWC) 0.3 $1.8M 17k 106.30
Vanguard Intl Equity Index F glb ex us etf (VNQI) 0.3 $1.8M 32k 56.17
Chevron Corporation (CVX) 0.3 $1.8M 14k 122.30
Boeing Company (BA) 0.3 $1.7M 4.7k 371.97
WisdomTree SmallCap Dividend Fund (DES) 0.3 $1.7M 57k 29.72
Camden National Corporation (CAC) 0.3 $1.6M 38k 43.43
SPDR DJ Wilshire REIT (RWR) 0.3 $1.6M 17k 93.23
PS Business Parks 0.3 $1.6M 12k 127.10
Intel Corporation (INTC) 0.3 $1.4M 31k 47.28
ISHARES TR MSCI Small Cap msci small cap (SCZ) 0.3 $1.5M 24k 62.30
Bsco etf (BSCO) 0.3 $1.4M 72k 20.10
Guggenheim Bulletshrs 2023 Corp Bd Etf 0.3 $1.5M 72k 20.23
iShares JPMorgan USD Emer Mkt Bnd Fd ETF (EMB) 0.2 $1.4M 13k 107.84
Vanguard Total World Stock Idx (VT) 0.2 $1.4M 18k 75.80
Starbucks Corporation (SBUX) 0.2 $1.3M 23k 56.85
Procter & Gamble Company (PG) 0.2 $1.2M 15k 83.25
Berkshire Hathaway (BRK.B) 0.2 $1.2M 5.7k 214.16
Costco Wholesale Corporation (COST) 0.2 $1.2M 4.9k 234.88
Microchip Technology (MCHP) 0.2 $1.2M 15k 78.90
iShares S&P 500 Index (IVV) 0.2 $1.1M 3.8k 292.71
Vanguard Growth ETF (VUG) 0.2 $1.1M 7.0k 161.10
SPDR S&P Emerging Markets Small Cap (EWX) 0.2 $1.1M 26k 44.78
Johnson & Johnson (JNJ) 0.2 $1.0M 7.6k 138.20
Vanguard Dividend Appreciation ETF (VIG) 0.2 $1.1M 9.5k 110.69
SPDR Barclay Cp Intr Trm Cr Bd (SPIB) 0.2 $1.1M 32k 33.31
Schwab Intl Small Cap Equity ETF (SCHC) 0.2 $1.1M 31k 35.66
Pfizer (PFE) 0.2 $1.0M 23k 44.08
Facebook Inc cl a (META) 0.2 $1.0M 6.3k 164.47
Nike (NKE) 0.2 $950k 11k 84.76
Vanguard Small-Cap ETF (VB) 0.2 $981k 6.0k 162.55
Vaneck Vectors Amt-free Intermediate Municipal Index Etf etf 0.2 $979k 42k 23.31
WisdomTree Emerging Markets Eq (DEM) 0.2 $894k 21k 43.68
Phillips 66 (PSX) 0.2 $900k 8.0k 112.77
Invesco Exch Trd Slf Idx Fd Tr 0.2 $893k 36k 25.12
Bsjj etf 0.2 $925k 38k 24.28
McDonald's Corporation (MCD) 0.1 $857k 5.1k 167.25
Cisco Systems (CSCO) 0.1 $826k 17k 48.67
Vanguard Short-Term Bond ETF (BSV) 0.1 $844k 11k 78.08
WisdomTree Intl. SmallCap Div (DLS) 0.1 $866k 12k 71.15
Invesco Bulletshs 2020 Hi Yld Corp Bd Etf 0.1 $871k 36k 24.33
Invesco Exch Trd Slf Idx Fd bulshs 2022 hy 0.1 $841k 34k 24.65
Invesco Exch Trd Slf Idx Fd bulshs 2021 hy 0.1 $856k 35k 24.78
Matthews International Corporation (MATW) 0.1 $786k 16k 50.16
International Business Machines (IBM) 0.1 $768k 5.1k 151.12
Vanguard Emerging Markets ETF (VWO) 0.1 $776k 19k 41.00
SPDR DJ Wilshire Small Cap Growth (SLYG) 0.1 $810k 12k 67.50
Schwab U S Small Cap ETF (SCHA) 0.1 $789k 10k 76.17
JPMorgan Chase & Co. (JPM) 0.1 $722k 6.4k 112.85
Amgen (AMGN) 0.1 $731k 3.5k 207.32
UnitedHealth (UNH) 0.1 $755k 2.8k 266.22
SPDR Dow Jones Industrial Average ETF (DIA) 0.1 $711k 2.7k 264.31
stock 0.1 $761k 6.3k 120.95
Alphabet Inc Class C cs (GOOG) 0.1 $760k 637.00 1193.09
Altria (MO) 0.1 $688k 11k 60.34
Merck & Co (MRK) 0.1 $705k 9.9k 70.98
iShares Lehman Aggregate Bond (AGG) 0.1 $676k 6.4k 105.49
Schwab International Equity ETF (SCHF) 0.1 $690k 21k 33.55
First Tr Exch Trd Alpha Fd I emerg mkt alph (FEM) 0.1 $690k 28k 25.05
Ishares Core Msci Eafe Etf core msci eafe (IEFA) 0.1 $664k 10k 64.05
Alphabet Inc Class A cs (GOOGL) 0.1 $695k 576.00 1206.60
Invesco Exch Trd Slf Idx Fd bulshs 2023 hy 0.1 $674k 26k 26.22
iShares MSCI EAFE Index Fund (EFA) 0.1 $623k 9.2k 68.03
iShares Russell 2000 Index (IWM) 0.1 $629k 3.7k 168.54
iShrs S&P ShtTrm Ntnl AMTFr MncplBnf ETF (SUB) 0.1 $595k 5.7k 104.64
Hp (HPQ) 0.1 $597k 23k 25.79
iShares MSCI Emerging Markets Indx (EEM) 0.1 $579k 14k 42.96
Walt Disney Company (DIS) 0.1 $571k 4.9k 116.94
At&t (T) 0.1 $575k 17k 33.58
Automatic Data Processing (ADP) 0.1 $573k 3.8k 150.71
Live Nation Entertainment (LYV) 0.1 $582k 11k 54.47
Oracle Corporation (ORCL) 0.1 $538k 10k 51.59
iShares Russell 1000 Index (IWB) 0.1 $569k 3.5k 161.69
iShares S&P SmallCap 600 Index (IJR) 0.1 $548k 6.3k 87.25
First Trust Dow Jones Sel.MicroCap (FDM) 0.1 $547k 11k 51.17
Bank of America Corporation (BAC) 0.1 $511k 17k 29.48
Union Pacific Corporation (UNP) 0.1 $526k 3.2k 162.90
Adobe Systems Incorporated (ADBE) 0.1 $522k 1.9k 269.77
ConocoPhillips (COP) 0.1 $486k 6.3k 77.47
Philip Morris International (PM) 0.1 $488k 6.0k 81.62
Oneok (OKE) 0.1 $490k 7.2k 67.80
Hca Holdings (HCA) 0.1 $496k 3.6k 139.05
Coca-Cola Company (KO) 0.1 $439k 9.5k 46.21
General Electric Company 0.1 $474k 42k 11.28
United Technologies Corporation 0.1 $438k 3.1k 139.67
Intuit (INTU) 0.1 $443k 1.9k 227.65
SPDR S&P MidCap 400 ETF (MDY) 0.1 $455k 1.2k 367.83
iShares Silver Trust (SLV) 0.1 $467k 34k 13.74
iShares Dow Jones Select Dividend (DVY) 0.1 $428k 4.3k 99.74
iShares S&P World Ex-US Prop Index (WPS) 0.1 $452k 12k 36.94
Cbre Group Inc Cl A (CBRE) 0.1 $455k 10k 44.14
First Tr Exchange Traded Fd senior ln (FTSL) 0.1 $446k 9.3k 48.02
Taiwan Semiconductor Mfg (TSM) 0.1 $413k 9.3k 44.19
CSX Corporation (CSX) 0.1 $372k 5.0k 74.02
Home Depot (HD) 0.1 $376k 1.8k 207.16
Bristol Myers Squibb (BMY) 0.1 $396k 6.4k 62.01
BB&T Corporation 0.1 $407k 8.4k 48.50
Danaher Corporation (DHR) 0.1 $420k 3.9k 108.75
Total (TTE) 0.1 $402k 6.2k 64.38
General Dynamics Corporation (GD) 0.1 $378k 1.8k 204.99
Verisk Analytics (VRSK) 0.1 $401k 3.3k 120.46
Tor Dom Bk Cad (TD) 0.1 $379k 6.2k 60.80
Technology SPDR (XLK) 0.1 $423k 5.6k 75.39
iShares S&P 500 Growth Index (IVW) 0.1 $401k 2.3k 177.04
iShares Russell Midcap Index Fund (IWR) 0.1 $367k 1.7k 220.29
SPDR S&P Dividend (SDY) 0.1 $372k 3.8k 97.89
Ishares Tr cmn (STIP) 0.1 $392k 4.0k 98.82
Pimco Etf Tr 0-5 high yield (HYS) 0.1 $369k 3.7k 100.54
Sch Fnd Us Lg Etf schwb fdt us lg (FNDX) 0.1 $380k 9.6k 39.68
3M Company (MMM) 0.1 $332k 1.6k 210.66
Verizon Communications (VZ) 0.1 $317k 5.9k 53.34
Occidental Petroleum Corporation (OXY) 0.1 $316k 3.8k 82.14
Pepsi (PEP) 0.1 $340k 3.0k 111.66
Gilead Sciences (GILD) 0.1 $359k 4.6k 77.24
Visa (V) 0.1 $311k 2.1k 150.10
Fiserv (FI) 0.1 $330k 4.0k 82.34
Constellation Brands (STZ) 0.1 $351k 1.6k 215.87
Alaska Air (ALK) 0.1 $332k 4.8k 68.94
Align Technology (ALGN) 0.1 $313k 800.00 391.25
WisdomTree Emerging Mkts Small Cp Div (DGS) 0.1 $311k 6.8k 45.66
Icon (ICLR) 0.1 $329k 2.1k 153.81
Ishares U S Etf Tr Short Matur sht mat bd etf (NEAR) 0.1 $334k 6.7k 50.23
Altaba 0.1 $357k 5.2k 68.03
Caterpillar (CAT) 0.1 $258k 1.7k 152.57
Eli Lilly & Co. (LLY) 0.1 $256k 2.4k 107.29
Xcel Energy (XEL) 0.1 $273k 5.8k 47.21
Northwest Natural Gas 0.1 $270k 4.0k 67.00
Vanguard Small-Cap Value ETF (VBR) 0.1 $266k 1.9k 139.12
iShares S&P SmallCap 600 Growth (IJT) 0.1 $305k 1.5k 201.99
Vanguard Small-Cap Growth ETF (VBK) 0.1 $278k 1.5k 187.08
Industries N shs - a - (LYB) 0.1 $292k 2.8k 102.67
iShares Morningstar Large Core Idx (ILCB) 0.1 $269k 1.6k 168.12
SPDR Dow Jones Global Real Estate (RWO) 0.1 $310k 6.5k 47.58
Schwab U S Large Cap Growth ETF (SCHG) 0.1 $272k 3.3k 82.03
Mondelez Int (MDLZ) 0.1 $257k 6.0k 43.02
Sch Fnd Intl Lg Etf (FNDF) 0.1 $302k 10k 30.00
Vanguard S&p 500 Etf idx (VOO) 0.1 $306k 1.1k 267.02
Comcast Corporation (CMCSA) 0.0 $220k 6.2k 35.45
Broadridge Financial Solutions (BR) 0.0 $240k 1.8k 131.72
Cme (CME) 0.0 $223k 1.3k 169.97
MasterCard Incorporated (MA) 0.0 $213k 959.00 222.11
Nordstrom (JWN) 0.0 $229k 3.8k 59.79
Raytheon Company 0.0 $220k 1.1k 206.19
iShares Russell 1000 Value Index (IWD) 0.0 $251k 2.0k 126.64
Qualcomm (QCOM) 0.0 $211k 2.9k 71.96
FLIR Systems 0.0 $206k 3.3k 61.58
Ultimate Software 0.0 $249k 773.00 322.12
Netflix (NFLX) 0.0 $230k 615.00 373.98
SPDR Gold Trust (GLD) 0.0 $218k 1.9k 112.95
Industrial SPDR (XLI) 0.0 $222k 2.8k 78.47
Western Alliance Bancorporation (WAL) 0.0 $247k 4.3k 56.90
Cypress Semiconductor Corporation 0.0 $202k 14k 14.47
Southwest Airlines (LUV) 0.0 $252k 4.0k 62.48
iShares IBoxx $ Invest Grade Corp Bd (LQD) 0.0 $213k 1.9k 114.95
iShares S&P MidCap 400 Index (IJH) 0.0 $250k 1.2k 201.45
Fortinet (FTNT) 0.0 $213k 2.3k 92.17
Vanguard Information Technology ETF (VGT) 0.0 $228k 1.1k 202.67
iShares S&P Cal AMTFr Mncpl Bnd (CMF) 0.0 $250k 4.3k 58.05
Schwab U S Broad Market ETF (SCHB) 0.0 $232k 3.3k 70.50
WisdomTree DEFA Equity Income Fund (DTH) 0.0 $212k 5.1k 41.81
Schwab Strategic Tr cmn (SCHV) 0.0 $245k 4.4k 55.97
Dunkin' Brands Group 0.0 $218k 3.0k 73.80
First Tr Exchange-traded Fd no amer energy (EMLP) 0.0 $253k 11k 23.50
Sch Fnd Us Sm Etf schwab fdt us sc (FNDA) 0.0 $224k 5.5k 40.71
Veeva Sys Inc cl a (VEEV) 0.0 $234k 2.1k 108.94
Arista Networks (ANET) 0.0 $211k 794.00 265.74
Sabre (SABR) 0.0 $211k 8.1k 26.13
Hewlett Packard Enterprise (HPE) 0.0 $250k 15k 16.31
Invesco Exchange Traded Fd T s&p mdcp400 pr (RFG) 0.0 $207k 1.3k 165.60
MiMedx (MDXG) 0.0 $124k 20k 6.20
Chesapeake Energy Corporation 0.0 $46k 10k 4.51
Opko Health (OPK) 0.0 $77k 22k 3.47
Voya Prime Rate Trust sh ben int 0.0 $56k 11k 4.96
Cel Sci (CVM) 0.0 $63k 16k 4.06