Empirical Financial Services, LLC d.b.a. Empirical Wealth Management Q3 2016 Filing

Filed November 4, 2016

Portfolio Value

$382.9M

Holdings

109

Report Date

Q3 2016

Filing Type

13F-HR

All Holdings (109 positions)

#	Stock	Shares	Value	% Portfolio
1	VCSHVANGUARD SCOTTSDALE FDS	1,018,507	$82.0M	21.43%
2	VCITVANGUARD SCOTTSDALE FDS	588,875	$52.8M	13.78%
3	VTIPVANGUARD MALVERN FDS	813,559	$40.4M	10.55%
4	SHYISHARES TR	371,784	$31.6M	8.26%
5	SJNKSPDR SER TR	735,780	$20.4M	5.32%
6	IEMGISHARES INC	392,103	$17.9M	4.67%
7	SCHXSCHWAB STRATEGIC TR	206,658	$10.7M	2.79%
8	VNQVANGUARD INDEX FDS	121,744	$10.6M	2.76%
9	VVVANGUARD INDEX FDS	95,168	$9.4M	2.46%
10	HYMBSPDR SERIES TRUST	115,310	$6.8M	1.79%
11	EMBISHARES TR	38,433	$4.5M	1.18%
12	TIPISHARES TR	38,492	$4.5M	1.17%
13	SCHZSCHWAB STRATEGIC TR	78,063	$4.2M	1.09%
14	VTIVANGUARD INDEX FDS	37,561	$4.2M	1.09%
15	MUBISHARES TR	33,450	$3.8M	0.98%
16	MSFTMICROSOFT CORP	43,228	$2.5M	0.65%
17	INTCINTEL CORP	65,653	$2.5M	0.65%
18	AAPLAPPLE INC	21,430	$2.4M	0.63%
19	SCHESCHWAB STRATEGIC TR	96,850	$2.2M	0.58%
20	—CLAYMORE EXCHANGE TRD FD TR	99,950	$2.1M	0.56%
21	—CLAYMORE EXCHANGE TRD FD TR	99,987	$2.1M	0.56%
22	—CLAYMORE EXCHANGE TRD FD TR	93,742	$2.1M	0.56%
23	FMUSDISHARES	81,973	$2.1M	0.55%
24	—CLAYMORE EXCHANGE TRD FD TR	94,844	$2.1M	0.54%
25	SHMSPDR SER TR	40,332	$2.0M	0.51%
26	—CLAYMORE EXCHANGE TRD FD TR	88,208	$1.9M	0.51%
27	SCHPSCHWAB STRATEGIC TR	34,047	$1.9M	0.51%
28	SUBISHARES TR	16,750	$1.8M	0.46%
29	CACCAMDEN NATL CORP	36,713	$1.8M	0.46%
30	—CLAYMORE EXCHANGE TRD FD TR	70,502	$1.5M	0.40%
31	—CLAYMORE EXCHANGE TRD FD TR	69,485	$1.5M	0.39%
32	SPSBSPDR SERIES TRUST	47,929	$1.5M	0.39%
33	AGGISHARES TR	12,503	$1.4M	0.37%
34	VYMVANGUARD WHITEHALL FDS INC	19,025	$1.4M	0.36%
35	—VANECK VECTORS ETF TR	40,363	$1.3M	0.34%
36	SBUXSTARBUCKS CORP	22,688	$1.2M	0.32%
37	—VANECK VECTORS ETF TR	45,536	$1.1M	0.29%
38	SPIBSPDR SERIES TRUST	31,941	$1.1M	0.29%
39	CVXCHEVRON CORP NEW	10,688	$1.1M	0.29%
40	RWRSPDR SERIES TRUST	10,818	$1.1M	0.27%
41	—CLAYMORE EXCHANGE TRD FD TR	42,581	$1.0M	0.27%
42	—CLAYMORE EXCHANGE TRD FD TR	40,573	$1.0M	0.27%
43	IGSBISHARES TR	9,430	$997K	0.26%
44	VNQIVANGUARD INTL EQUITY INDEX F	17,705	$995K	0.26%
45	—CLAYMORE EXCHANGE TRD FD TR	37,795	$975K	0.25%
46	SPYSPDR S&P 500 ETF TR	4,456	$964K	0.25%
47	DWXSPDR INDEX SHS FDS	26,073	$959K	0.25%
48	—CLAYMORE EXCHANGE TRD FD TR	36,757	$952K	0.25%
49	—CLAYMORE EXCHANGE TRD FD TR	38,663	$939K	0.25%
50	—CLAYMORE EXCHANGE TRD FD TR	37,784	$938K	0.24%
51	XFEBFIRST TR EXCHANGE-TRADED FD	47,534	$929K	0.24%
52	VTVVANGUARD INDEX FDS	10,511	$914K	0.24%
53	PGPROCTER AND GAMBLE CO	10,031	$900K	0.24%
54	IVVISHARES TR	3,940	$857K	0.22%
55	GEGENERAL ELECTRIC CO	28,916	$856K	0.22%
56	AQLTISHARES TR	12,872	$710K	0.19%
57	DESWISDOMTREE TR	9,374	$705K	0.18%
58	HYSPIMCO ETF TR	7,043	$701K	0.18%
59	AMZNAMAZON COM INC	835	$699K	0.18%
60	IWCISHARES TR	8,462	$660K	0.17%
61	EFAISHARES TR	10,528	$623K	0.16%
62	FPFFIRST TR EXCH TRD ALPHA FD I	29,024	$602K	0.16%
63	MMM3M CO	3,301	$582K	0.15%
64	XOMEXXON MOBIL CORP	6,549	$572K	0.15%
65	DLSWISDOMTREE TR	8,979	$551K	0.14%
66	USBUS BANCORP DEL	12,549	$538K	0.14%
67	AMGNAMGEN INC	3,218	$537K	0.14%
68	BABOEING CO	3,924	$517K	0.14%
69	SCHCSCHWAB STRATEGIC TR	16,598	$513K	0.13%
70	VIGVANGUARD SPECIALIZED PORTFOL	5,893	$495K	0.13%
71	SCHFSCHWAB STRATEGIC TR	16,945	$488K	0.13%
72	COSTCOSTCO WHSL CORP NEW	3,169	$483K	0.13%
73	LQDISHARES TR	3,823	$471K	0.12%
74	IEIISHARES TR	3,570	$452K	0.12%
75	FTSLFIRST TR EXCHANGE TRADED FD	9,289	$450K	0.12%
76	SLVISHARES SILVER TRUST	23,485	$427K	0.11%
77	DISDISNEY WALT CO	4,559	$423K	0.11%
78	DEMWISDOMTREE TR	10,951	$411K	0.11%
79	RWOSPDR INDEX SHS FDS	8,005	$399K	0.10%
80	BACBANK AMER CORP	25,442	$398K	0.10%
81	MOHMOLINA HEALTHCARE INC	6,605	$385K	0.10%
82	JNJJOHNSON & JOHNSON	3,188	$377K	0.10%
83	GILDGILEAD SCIENCES INC	4,411	$349K	0.09%
84	IJRISHARES TR	2,788	$346K	0.09%
85	—POWERSHARES ETF TR II	13,901	$346K	0.09%
86	IBMINTERNATIONAL BUSINESS MACHS	1,953	$310K	0.08%
87	CSCOCISCO SYS INC	9,764	$310K	0.08%
88	QQQPOWERSHARES QQQ TRUST	2,591	$308K	0.08%
89	TAT&T INC	7,444	$302K	0.08%
90	KOCOCA COLA CO	7,086	$300K	0.08%
91	NKENIKE INC	5,549	$292K	0.08%
92	METAFACEBOOK INC	2,272	$291K	0.08%
93	EBNDSPDR SERIES TRUST	9,984	$283K	0.07%
94	BACVERIZON COMMUNICATIONS INC	5,339	$278K	0.07%
95	DHRDANAHER CORP DEL	3,489	$274K	0.07%
96	COPCONOCOPHILLIPS	6,238	$271K	0.07%
97	IJHISHARES TR	1,739	$269K	0.07%
98	—RYDEX ETF TRUST	3,120	$261K	0.07%
99	TWTRUSDTWITTER INC	11,060	$255K	0.07%
100	PEPPEPSICO INC	2,225	$242K	0.06%

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