EMPIRICAL FINANCIAL Overview

Empirical Financial Services Llc is an investment advisor that manages 942 MM dollars in regulatory AUM and has 20 employees, of which 13 perform investment advisory functions.

The manager's has disclosed holdings from 12/31/10 to 09/30/16. The fund's latest filing disclosed 383MM in positions, representing 41% of the manager's regulatory AUM.

EMPIRICAL FINANCIAL StockAlpha

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Fundamental & Technical Factor Exposure

Market Cap Beta Volatility
Momentum (12M) Momentum (6M) Momentum (3M)
Price/Book Price/Earnings Price/Cash Flow
Dividend Yield Sales Growth Earnings Growth
ROE ROA ROC
EBIDTA Margin Debt/Assets Hedge Fund Crowding

EMPIRICAL FINANCIAL Since Last Filing Return Details

Ticker Size Sector Stock Move StockAlpha Attribution Days to Liquidate Trade Crowdedness
VCSH 21.43% ETF -1.24% -0.37% 1 3%
VCIT 13.78% ETF -4.08% -0.63% 1 2%
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EMPIRICAL FINANCIAL Founders and Key Employees

Name Title In Position Since
Kenneth R. Smith Chief Executive Officer October-2010
Ethan A. Broga Principal October-2010
Jack D. Monteith President January-2013
Lorne D. Enquist Principal October-2013
Jaime C. White Chief Operations Officer April-2013
Julia B. Sipple Chief Compliance Officer December-2014

EMPIRICAL FINANCIAL Brokers, Custodians, Auditors and Administrators

Type Company

EMPIRICAL FINANCIAL Investment Strategy

Methods of Analysis, Investment Strategies and Risk of Loss
Our investment philosophy is based upon Modern Portfolio Theory (MPT). MPT states that assets should be selected on the basis of how they interact with one another, rather than how they perform in isolation. Capital markets are composed of many classes of securities, including stocks and bonds, both domestic and international. A group of securities with shared economic traits is commonly referred to as an asset class. There are several asset classes, all with average price movements, that are distinct from one another. According to MPT, investors can benefit by combining the different asset classes in a structured portfolio.

We typically incorporate 12-21 distinct asset classes when building portfolios. When determining which asset classes to use in our model portfolios, we incorporate correlation research conducted by Eugene Fama and Kenneth French dating back to the Great Depression. Our goal is to choose
6 ...
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EMPIRICAL FINANCIAL Portfolio Concentration

EMPIRICAL FINANCIAL Location

1420 5TH AVE
SUITE 3150
SEATTLE, Washington
UNITED STATES, 98101

EMPIRICAL FINANCIAL Contact Information

Phone Number: 206-923-3474
Fax Number: 206-923-3484
Website:

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