Filed: 2/7/2023ACC: 0001162044-23-000154
📋 What this filing means
RATIONAL ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 243 equity positions with a total reported market value of $1.21M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
243
Positions
$1.21M
Total AUM (reported)
24.02M
Total Shares
Allocation by class
PORTFOLIO AGRGTE$120.5K10.0%
TOTAL BND MRKT$120.5K10.0%
CORE TOTUSBD ETF$120.4K10.0%
ALERIAN MLP$76.5K6.3%
COM$76.0K6.3%
SBI INT-UTILS$72.7K6.0%
UNIT SER 1$71.1K5.9%
Portfolio Concentration
Top 3$361.4K29.9%
4–10$436.8K36.2%
11–25$276.2K22.9%
Rest$132.4K11.0%
Top 3 weight
29.9%
Top 10 weight
66.1%
Voting Authority Distribution
Total shares with voting rights: 24.02M
Sole
Full voting authority
22.54M
shares
% of voting shares93.8%
Shared
Joint voting authority
1.49M
shares
% of voting shares6.2%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole104
Shared0
Other139
Dominant voting typeSole · 93.8% of voting shares
Institutional Holdings243
Rows:
SPDR SERIES TRUST
SOLEShares4.80M
TypeSH
Market value$120.5K
9.99%
Sole
4.80M
Shared
0.00
None
0.00
VANGUARD BD INDEX FD INC
SOLEShares1.68M
TypeSH
Market value$120.5K
9.98%
Sole
1.68M
Shared
0.00
None
0.00
ISHARES
SOLEShares1.24M
TypeSH
Market value$120.4K
9.98%
Sole
1.24M
Shared
0.00
None
0.00
ALPS ETF TR
SOLEShares2.01M
TypeSH
Market value$76.5K
6.34%
Sole
2.01M
Shared
0.00
None
0.00
SELECT SECTOR SPDR TR
SOLEShares1.03M
TypeSH
Market value$72.7K
6.03%
Sole
1.03M
Shared
0.00
None
0.00
INVESCO QQQ TR
SOLEShares266.97K
TypeSH
Market value$71.1K
5.89%
Sole
266.97K
Shared
0.00
None
0.00
VANGUARD SPECIALIZED PORTFOL
SOLEShares422.13K
TypeSH
Market value$64.1K
5.31%
Sole
422.13K
Shared
0.00
None
0.00
WISDOMTREE TR
SOLEShares1.74M
TypeSH
Market value$56.6K
4.69%
Sole
1.74M
Shared
0.00
None
0.00
J P MORGAN EXCHANGE-TRADED F
SOLEShares944.65K
TypeSH
Market value$51.5K
4.27%
Sole
944.65K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares2.30M
TypeSH
Market value$44.3K
3.67%
Sole
2.30M
Shared
0.00
None
0.00
GLOBAL X FDS
SOLEShares1.96M
TypeSH
Market value$38.1K
3.15%
Sole
1.96M
Shared
0.00
None
0.00
INVESCO EXCHNG TRADED FD TR
SOLEShares1.29M
TypeSH
Market value$33.1K
2.74%
Sole
1.29M
Shared
0.00
None
0.00
ISHARES TR
SOLEShares75.18K
TypeSH
Market value$28.9K
2.39%
Sole
75.18K
Shared
0.00
None
0.00
FIDELITY MERRIMACK STR TR
SOLEShares588.70K
TypeSH
Market value$26.5K
2.20%
Sole
588.70K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares543.06K
TypeSH
Market value$24.5K
2.03%
Sole
543.06K
Shared
0.00
None
0.00
VANGUARD INDEX FDS
SOLEShares68.45K
TypeSH
Market value$24.1K
1.99%
Sole
68.45K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares248.25K
TypeSH
Market value$20.2K
1.67%
Sole
248.25K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares565.88K
TypeSH
Market value$19.5K
1.62%
Sole
565.88K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares250.08K
TypeSH
Market value$15.4K
1.28%
Sole
250.08K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares289.78K
TypeSH
Market value$13.2K
1.09%
Sole
289.78K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares113.13K
TypeSH
Market value$10.8K
0.90%
Sole
113.13K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares84.43K
TypeSH
Market value$6.5K
0.54%
Sole
84.43K
Shared
0.00
None
0.00
BLACKSTONE GROUP INC
OTRShares71.60K
TypeSH
Market value$5.3K
0.44%
Sole
0.00
Shared
71.60K
None
0.00
NISOURCE INC
OTRShares49.30K
TypeSH
Market value$5.1K
0.43%
Sole
0.00
Shared
49.30K
None
0.00
WELLS FARGO CO NEW
OTRShares4.18K
TypeSH
Market value$5.0K
0.41%
Sole
0.00
Shared
4.18K
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
SPDR SERIES TRUSTSOLE | PORTFOLIO AGRGTE | 4.80M | SH | $120.5K 9.99% | 4.80M | 0.00 | 0.00 |
VANGUARD BD INDEX FD INCSOLE | TOTAL BND MRKT | 1.68M | SH | $120.5K 9.98% | 1.68M | 0.00 | 0.00 |
ISHARESSOLE | CORE TOTUSBD ETF | 1.24M | SH | $120.4K 9.98% | 1.24M | 0.00 | 0.00 |
ALPS ETF TRSOLE | ALERIAN MLP | 2.01M | SH | $76.5K 6.34% | 2.01M | 0.00 | 0.00 |
SELECT SECTOR SPDR TRSOLE | SBI INT-UTILS | 1.03M | SH | $72.7K 6.03% | 1.03M | 0.00 | 0.00 |
INVESCO QQQ TRSOLE | UNIT SER 1 | 266.97K | SH | $71.1K 5.89% | 266.97K | 0.00 | 0.00 |
VANGUARD SPECIALIZED PORTFOLSOLE | DIV APP ETF | 422.13K | SH | $64.1K 5.31% | 422.13K | 0.00 | 0.00 |
WISDOMTREE TRSOLE | 90/60 BALNCED FD | 1.74M | SH | $56.6K 4.69% | 1.74M | 0.00 | 0.00 |
J P MORGAN EXCHANGE-TRADED FSOLE | EQUITY PREMIUM | 944.65K | SH | $51.5K 4.27% | 944.65K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US REIT ETF | 2.30M | SH | $44.3K 3.67% | 2.30M | 0.00 | 0.00 |
GLOBAL X FDSSOLE | US PFD ETF | 1.96M | SH | $38.1K 3.15% | 1.96M | 0.00 | 0.00 |
INVESCO EXCHNG TRADED FD TRSOLE | TAXABLE MUN BD | 1.29M | SH | $33.1K 2.74% | 1.29M | 0.00 | 0.00 |
ISHARES TRSOLE | CORE S&P500 ETF | 75.18K | SH | $28.9K 2.39% | 75.18K | 0.00 | 0.00 |
FIDELITY MERRIMACK STR TRSOLE | TOTAL BD ETF | 588.70K | SH | $26.5K 2.20% | 588.70K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LRG CAP ETF | 543.06K | SH | $24.5K 2.03% | 543.06K | 0.00 | 0.00 |
VANGUARD INDEX FDSSOLE | S&P 500 ETF SHS | 68.45K | SH | $24.1K 1.99% | 68.45K | 0.00 | 0.00 |
ISHARES TRSOLE | 1-3 YR TR BD ETF | 248.25K | SH | $20.2K 1.67% | 248.25K | 0.00 | 0.00 |
ISHARES TRSOLE | BROAD USD HIGH | 565.88K | SH | $19.5K 1.62% | 565.88K | 0.00 | 0.00 |
ISHARES TRSOLE | CORE MSCI EAFE | 250.08K | SH | $15.4K 1.28% | 250.08K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | MORTG-BACK SEC | 289.78K | SH | $13.2K 1.09% | 289.78K | 0.00 | 0.00 |
ISHARES TRSOLE | BARCLAYS 7 10 YR | 113.13K | SH | $10.8K 0.90% | 113.13K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | INT-TERM CORP | 84.43K | SH | $6.5K 0.54% | 84.43K | 0.00 | 0.00 |
BLACKSTONE GROUP INCOTR | COM CL A | 71.60K | SH | $5.3K 0.44% | 0.00 | 71.60K | 0.00 |
NISOURCE INCOTR | UNIT 12/01/2023 | 49.30K | SH | $5.1K 0.43% | 0.00 | 49.30K | 0.00 |
WELLS FARGO CO NEWOTR | PERP PFD CNV A | 4.18K | SH | $5.0K 0.41% | 0.00 | 4.18K | 0.00 |
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