Empirical Financial Services, LLC d.b.a. Empirical Wealth Management Q4 2016 Filing

Filed February 8, 2017

Portfolio Value

$407.4M

Holdings

123

Report Date

Q4 2016

Filing Type

13F-HR

All Holdings (123 positions)

#	Stock	Shares	Value	% Portfolio
1	VCSHVANGUARD SCOTTSDALE FDS	1,042,406	$82.7M	20.31%
2	VCITVANGUARD SCOTTSDALE FDS	602,013	$51.6M	12.66%
3	VTIPVANGUARD MALVERN FDS	879,543	$43.2M	10.61%
4	SHYISHARES TR	387,317	$32.7M	8.03%
5	SJNKSPDR SER TR	781,635	$21.6M	5.31%
6	IEMGISHARES INC	411,317	$17.5M	4.29%
7	VNQVANGUARD INDEX FDS	126,293	$10.4M	2.56%
8	SCHXSCHWAB STRATEGIC TR	195,272	$10.4M	2.55%
9	VVVANGUARD INDEX FDS	95,219	$9.7M	2.39%
10	SHMSPDR SER TR	170,700	$8.2M	2.01%
11	MUBISHARES TR	51,359	$5.6M	1.36%
12	HYMBSPDR SERIES TRUST	91,141	$5.1M	1.25%
13	EMBISHARES TR	40,117	$4.4M	1.09%
14	VTIVANGUARD INDEX FDS	37,029	$4.3M	1.05%
15	TIPISHARES TR	37,608	$4.3M	1.04%
16	SCHZSCHWAB STRATEGIC TR	82,230	$4.2M	1.04%
17	VEAVANGUARD TAX MANAGED INTL FD	89,275	$3.3M	0.80%
18	—VANECK VECTORS ETF TR	106,091	$3.1M	0.77%
19	MSFTMICROSOFT CORP	49,482	$3.1M	0.75%
20	AAPLAPPLE INC	21,424	$2.5M	0.61%
21	CACCAMDEN NATL CORP	53,919	$2.4M	0.59%
22	SCHESCHWAB STRATEGIC TR	106,855	$2.3M	0.57%
23	—CLAYMORE EXCHANGE TRD FD TR	104,807	$2.2M	0.54%
24	—CLAYMORE EXCHANGE TRD FD TR	97,339	$2.2M	0.54%
25	FMUSDISHARES	87,956	$2.2M	0.54%
26	—CLAYMORE EXCHANGE TRD FD TR	101,594	$2.1M	0.53%
27	—CLAYMORE EXCHANGE TRD FD TR	98,528	$2.1M	0.51%
28	INTCINTEL CORP	55,412	$2.0M	0.49%
29	SCHPSCHWAB STRATEGIC TR	34,919	$1.9M	0.47%
30	VYMVANGUARD WHITEHALL FDS INC	25,155	$1.9M	0.47%
31	—CLAYMORE EXCHANGE TRD FD TR	75,450	$1.6M	0.39%
32	—CLAYMORE EXCHANGE TRD FD TR	75,518	$1.6M	0.39%
33	VNQIVANGUARD INTL EQUITY INDEX F	30,707	$1.5M	0.37%
34	RWRSPDR SERIES TRUST	15,685	$1.5M	0.36%
35	SCZISHARES TR	28,371	$1.4M	0.35%
36	SBUXSTARBUCKS CORP	23,237	$1.3M	0.32%
37	AGGISHARES TR	11,845	$1.3M	0.31%
38	CVXCHEVRON CORP NEW	10,747	$1.3M	0.31%
39	VTVANGUARD INTL EQUITY INDEX F	20,031	$1.2M	0.30%
40	SPIBSPDR SERIES TRUST	33,922	$1.1M	0.28%
41	SPSBSPDR SERIES TRUST	37,302	$1.1M	0.28%
42	—CLAYMORE EXCHANGE TRD FD TR	45,100	$1.1M	0.28%
43	—CLAYMORE EXCHANGE TRD FD TR	46,920	$1.1M	0.28%
44	DWXSPDR INDEX SHS FDS	30,153	$1.1M	0.27%
45	IGSBISHARES TR	10,344	$1.1M	0.27%
46	DESWISDOMTREE TR	13,016	$1.1M	0.26%
47	—CLAYMORE EXCHANGE TRD FD TR	41,563	$1.1M	0.26%
48	IVVISHARES TR	4,770	$1.1M	0.26%
49	—VANECK VECTORS ETF TR	45,346	$1.1M	0.26%
50	—CLAYMORE EXCHANGE TRD FD TR	42,262	$1.0M	0.26%
51	—CLAYMORE EXCHANGE TRD FD TR	42,982	$1.0M	0.26%
52	SPYSPDR S&P 500 ETF TR	4,651	$1.0M	0.26%
53	GEGENERAL ELECTRIC CO	32,693	$1.0M	0.25%
54	VTVVANGUARD INDEX FDS	10,511	$978K	0.24%
55	BSVVANGUARD BD INDEX FD INC	11,830	$940K	0.23%
56	PGPROCTER AND GAMBLE CO	9,932	$835K	0.20%
57	BABOEING CO	5,028	$783K	0.19%
58	AMZNAMAZON COM INC	952	$714K	0.18%
59	BACBANK AMER CORP	31,889	$705K	0.17%
60	IWCISHARES TR	8,145	$699K	0.17%
61	AQLTISHARES TR	12,878	$691K	0.17%
62	DLSWISDOMTREE TR	11,325	$680K	0.17%
63	SCHCSCHWAB STRATEGIC TR	23,220	$676K	0.17%
64	IVEISHARES TR	6,465	$655K	0.16%
65	USBUS BANCORP DEL	12,727	$654K	0.16%
66	VIGVANGUARD SPECIALIZED PORTFOL	7,668	$653K	0.16%
67	HYSPIMCO ETF TR	6,453	$644K	0.16%
68	EFAISHARES TR	10,824	$625K	0.15%
69	IVWISHARES TR	5,005	$610K	0.15%
70	COSTCOSTCO WHSL CORP NEW	3,743	$599K	0.15%
71	FPFFIRST TR EXCH TRD ALPHA FD I	29,050	$590K	0.14%
72	—POWERSHARES QQQ TRUST	4,840	$573K	0.14%
73	XFEBFIRST TR EXCHANGE-TRADED FD	30,070	$571K	0.14%
74	XOMEXXON MOBIL CORP	6,032	$544K	0.13%
75	DISDISNEY WALT CO	5,219	$544K	0.13%
76	DEMWISDOMTREE TR	13,819	$516K	0.13%
77	TAT&T INC	11,447	$487K	0.12%
78	JNJJOHNSON & JOHNSON	4,132	$476K	0.12%
79	AMGNAMGEN INC	3,192	$467K	0.11%
80	MMM3M CO	2,558	$457K	0.11%
81	FTSLFIRST TR EXCHANGE TRADED FD	9,289	$451K	0.11%
82	IJRISHARES TR	3,230	$444K	0.11%
83	SCHFSCHWAB STRATEGIC TR	15,466	$428K	0.11%
84	EWXSPDR INDEX SHS FDS	10,747	$427K	0.10%
85	ITOTISHARES TR	8,115	$416K	0.10%
86	IEIISHARES TR	3,284	$402K	0.10%
87	WPSISHARES TR	11,847	$398K	0.10%
88	VBRVANGUARD INDEX FDS	3,209	$388K	0.10%
89	IBMINTERNATIONAL BUSINESS MACHS	2,202	$366K	0.09%
90	MOHMOLINA HEALTHCARE INC	6,605	$358K	0.09%
91	USIGISHARES TR	3,265	$357K	0.09%
92	SLVISHARES SILVER TRUST	23,485	$355K	0.09%
93	—POWERSHARES ETF TR II	13,901	$347K	0.09%
94	RWOSPDR INDEX SHS FDS	7,228	$339K	0.08%
95	BNDVANGUARD BD INDEX FD INC	4,196	$339K	0.08%
96	METAFACEBOOK INC	2,935	$338K	0.08%
97	IJHISHARES TR	1,997	$330K	0.08%
98	GILDGILEAD SCIENCES INC	4,348	$311K	0.08%
99	BACVERIZON COMMUNICATIONS INC	5,658	$302K	0.07%
100	CMFISHARES TR	2,606	$301K	0.07%

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