Empirical Financial Services, LLC D.B.A. Empirical Wealth Management Closed Holding Positions

Empirical Financial Services, LLC D.B.A. Empirical Wealth Management

  • $3.55 Billion
  • Q3 2024
Stock Closed Quarter Shares Sold Price Range Trade History
UPST
Upstart Holdings, Inc.

Financial Services
Q4 2021 Filed on Feb 14, 2022
1,030
$131.5 - $390.0 $135K - $402K
XLI
Industrial Sector Spdr

ETFs
Q4 2021 Filed on Feb 14, 2022
2,382
$98.64 - $107.12 $235K - $255K
Invesco Exch Trd Slf Idx Fd
Q4 2021 Filed on Feb 14, 2022
23,657
N/A
Invesco Exch Trd Slf Idx Fd
Q4 2021 Filed on Feb 14, 2022
101,296
N/A
ENDPQ
Endo Intl PLC Ord Shs (Irl)
Q4 2021 Filed on Feb 14, 2022
10,144
N/A
AKAM
Akamai Technologies Inc

Technology
Q4 2021 Filed on Feb 14, 2022
1,935
$101.57 - $118.45 $197K - $229K
GLO
Clough Global Opportunities Fund

Financial Services
Q4 2021 Filed on Feb 14, 2022
16,045
$10.64 - $13.08 $171K - $210K
LNT
Alliant Energy Corp

Utilities
Q4 2021 Filed on Feb 14, 2022
6,145
$54.66 - $61.47 $336K - $378K
XEL
Xcel Energy Inc

Utilities
Q4 2021 Filed on Feb 14, 2022
5,535
$62.44 - $68.95 $346K - $382K
SPPI
Spectrum Pharmaceuticals Inc

Healthcare
Q4 2021 Filed on Feb 14, 2022
38,450
$1.27 - $2.42 $48.8K - $93K
Trident Acquisitions Corp
Q3 2021 Filed on Nov 02, 2021
11,527
N/A
BREZW
Breeze Hldgs Acquisition Corp
Q3 2021 Filed on Nov 02, 2021
22,473
N/A
FXI
Ishares Tr

ETFs
Q3 2021 Filed on Nov 02, 2021
16,210
$38.18 - $46.09 $619K - $747K
SRET
Global X Fds Superdividend Rei

ETFs
Q3 2021 Filed on Nov 02, 2021
24,776
$28.53 - $29.97 $707K - $743K
MCHI
Ishares Msci China ETF

ETFs
Q3 2021 Filed on Nov 02, 2021
4,000
$66.13 - $81.77 $265K - $327K
SDIV
Global X Fds Global X Superdiv

ETFs
Q3 2021 Filed on Nov 02, 2021
26,286
$12.81 - $14.17 $337K - $372K
BGY
Black Rock Enhanced International Dividend Trust

Financial Services
Q3 2021 Filed on Nov 02, 2021
12,533
$6.15 - $6.61 $77.1K - $82.8K
IGLB
Ishares 10+ Year Investment Gr

ETFs
Q3 2021 Filed on Nov 02, 2021
20,982
$69.28 - $72.07 $1.45M - $1.51M
ARKG
Ark Genomic Revolution ETF (De

ETFs
Q3 2021 Filed on Nov 02, 2021
5,128
$73.87 - $92.86 $379K - $476K
XLC
Select Sector Spdr Tr Communic

ETFs
Q3 2021 Filed on Nov 02, 2021
7,755
$79.63 - $86.05 $618K - $667K
Churchill Capital Corp Iv
Q3 2021 Filed on Nov 02, 2021
10,014
N/A
AM
Antero Midstream Corp

Energy
Q3 2021 Filed on Nov 02, 2021
10,609
$8.7 - $10.65 $92.3K - $113K
ZM
Zoom Video Communications, Inc.

Technology
Q3 2021 Filed on Nov 02, 2021
543
$257.41 - $401.12 $140K - $218K
ARKQ
Ark Autonomous Technology & Ro

ETFs
Q3 2021 Filed on Nov 02, 2021
4,635
$77.73 - $85.84 $360K - $398K
Discovery Inc
Q3 2021 Filed on Nov 02, 2021
22,137
N/A
EWY
Ishares Inc Msci South Korea E

ETFs
Q3 2021 Filed on Nov 02, 2021
5,681
$80.06 - $93.0 $455K - $528K
ARKX
Ark ETF Tr Ark Space Expl & In

ETFs
Q3 2021 Filed on Nov 02, 2021
20,000
N/A
GSK
Gsk PLC

Healthcare
Q3 2021 Filed on Nov 02, 2021
7,784
$38.79 - $43.16 $302K - $336K
General Electric CO
Q3 2021 Filed on Nov 02, 2021
22,325
N/A
PING
Ping Identity Holding Corp.

Technology
Q3 2021 Filed on Nov 02, 2021
11,600
$21.96 - $27.79 $255K - $322K
CTXS
Citrix Systems Inc

Technology
Q2 2021 Filed on Aug 12, 2021
2,342
$113.34 - $142.77 $265K - $334K
Forum Merger Iii Corp
Q2 2021 Filed on Aug 12, 2021
25,462
N/A
Z
Zillow Group Inc Cl C Cap Stk

Communication Services
Q2 2021 Filed on Aug 12, 2021
86,330
$107.1 - $146.71 $9.25M - $12.7M
COTY
Coty Inc.

Consumer Defensive
Q2 2021 Filed on Aug 12, 2021
200,500
$8.41 - $10.34 $1.69M - $2.07M
EQX
Equinox Gold Corp.

Basic Materials
Q2 2021 Filed on Aug 12, 2021
10,000
$6.91 - $9.44 $69.1K - $94.4K
MJ
ETF Managers Tr Etfmg Alternat

ETFs
Q2 2021 Filed on Aug 12, 2021
9,591
$19.2 - $22.91 $184K - $220K
SRNE
Sorrento Therapeutics, Inc.

Healthcare
Q2 2021 Filed on Aug 12, 2021
11,265
$6.35 - $10.0 $71.5K - $113K
NVVEW
Nuvve Holding Corp Wt Exp

Industrials
Q2 2021 Filed on Aug 12, 2021
13,000
$0.98 - $2.46 $12.7K - $32K
Ishares Gold Tr
Q2 2021 Filed on Aug 12, 2021
40,956
N/A
VIEWW
View Inc Wt Exp Exp 08/01/27 (

Industrials
Q2 2021 Filed on Aug 12, 2021
12,129
N/A
Fs Kkr Cap Corp Ii
Q2 2021 Filed on Aug 12, 2021
55,814
N/A
Gigcapital3 Inc
Q1 2021 Filed on May 17, 2021
13,701
N/A
ARKK
Ark ETF Tr Innovation ETF (De)

ETFs
Q1 2021 Filed on May 17, 2021
1,653
$110.26 - $156.58 $182K - $259K
Foley Trasimene Acquisition
Q1 2021 Filed on May 17, 2021
11,103
N/A
Fisker Inc
Q1 2021 Filed on May 17, 2021
16,140
N/A
Citic Capital Acquisition CO
Q1 2021 Filed on May 17, 2021
10,444
N/A
Cf Finance Acquisition Corp
Q1 2021 Filed on May 17, 2021
15,425
N/A
DAL
Delta Air Lines, Inc.

Industrials
Q1 2021 Filed on May 17, 2021
100
$37.82 - $50.99 $3.78K - $5.1K
IWO
Ishares Russell 2000 Gwt ETF

ETFs
Q1 2021 Filed on May 17, 2021
1,500
$282.5 - $336.63 $424K - $505K
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