RATIONAL ADVISORS, INC.

Filed: 5/12/2023ACC: 0001162044-23-000538

📋 What this filing means

RATIONAL ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 265 equity positions with a total reported market value of $1.22B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

265

Positions

$1.22B

Total AUM (reported)

83.51M

Total Shares

Allocation by class

CORE TOTUSBD ETF$115.00M9.4%

TOTAL BND MRKT$114.96M9.4%

US AGGREGATE B$114.82M9.4%

UNIT SER 1$80.50M6.6%

COM$78.47M6.4%

ALERIAN MLP$73.56M6.0%

MSCI UTILS INDEX$70.23M5.7%

Portfolio Concentration

Top 3$344.78M28.1%

4–10$432.23M35.3%

11–25$274.13M22.4%

Rest$173.67M14.2%

Top 3 weight

28.1%

Top 10 weight

63.4%

Voting Authority Distribution

Total shares with voting rights: 83.51M

Sole

Full voting authority

0.00

% of voting shares0.0%

Shared

Joint voting authority

83.51M

% of voting shares100.0%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole103

Shared0

Other162

Dominant voting typeShared · 100.0% of voting shares

Institutional Holdings265

Rows:

ISHARES

SOLE

CORE TOTUSBD ETF

Shares1.15M

TypeSH

Market value$115.00M

9.39%

Sole

0.00

Shared

1.15M

None

0.00

VANGUARD BD INDEX FD INC

SOLE

TOTAL BND MRKT

Shares1.56M

TypeSH

Market value$114.96M

9.39%

Sole

0.00

Shared

1.56M

None

0.00

SCHWAB STRATEGIC TR

SOLE

US AGGREGATE B

Shares2.45M

TypeSH

Market value$114.82M

9.37%

Sole

0.00

Shared

2.45M

None

0.00

INVESCO QQQ TR

OTR

UNIT SER 1

Shares250.83K

TypeSH

Market value$80.50M

6.57%

Sole

0.00

Shared

250.83K

None

0.00

ALPS ETF TR

SOLE

ALERIAN MLP

Shares1.90M

TypeSH

Market value$73.56M

6.01%

Sole

0.00

Shared

1.90M

None

0.00

FIDELITY

SOLE

MSCI UTILS INDEX

Shares1.60M

TypeSH

Market value$70.23M

5.73%

Sole

0.00

Shared

1.60M

None

0.00

VANGUARD SPECIALIZED PORTFOL

SOLE

DIV APP ETF

Shares405.05K

TypeSH

Market value$62.38M

5.09%

Sole

0.00

Shared

405.05K

None

0.00

J P MORGAN EXCHANGE-TRADED F

SOLE

EQUITY PREMIUM

Shares1.03M

TypeSH

Market value$56.36M

4.60%

Sole

0.00

Shared

1.03M

None

0.00

SCHWAB STRATEGIC TR

SOLE

US REIT ETF

Shares2.47M

TypeSH

Market value$48.20M

3.94%

Sole

0.00

Shared

2.47M

None

0.00

GLOBAL X FDS

SOLE

US PFD ETF

Shares2.06M

TypeSH

Market value$41.00M

3.35%

Sole

0.00

Shared

2.06M

None

0.00

WISDOMTREE TR

SOLE

90/60 BALNCED FD

Shares1.11M

TypeSH

Market value$38.86M

3.17%

Sole

0.00

Shared

1.11M

None

0.00

ISHARES TR

SOLE

BROAD USD HIGH

Shares881.95K

TypeSH

Market value$31.35M

2.56%

Sole

0.00

Shared

881.95K

None

0.00

ISHARES TR

SOLE

CORE MSCI EAFE

Shares443.36K

TypeSH

Market value$29.64M

2.42%

Sole

0.00

Shared

443.36K

None

0.00

ISHARES TR

SOLE

CORE S&P500 ETF

Shares62.72K

TypeSH

Market value$25.78M

2.11%

Sole

0.00

Shared

62.72K

None

0.00

DIMENSIONAL ETF TRUST

SOLE

CORE FIXED INCOM

Shares592.33K

TypeSH

Market value$25.17M

2.06%

Sole

0.00

Shared

592.33K

None

0.00

SCHWAB STRATEGIC TR

SOLE

US LRG CAP ETF

Shares511.75K

TypeSH

Market value$24.75M

2.02%

Sole

0.00

Shared

511.75K

None

0.00

VANGUARD INDEX FDS

SOLE

S&P 500 ETF SHS

Shares65.33K

TypeSH

Market value$24.57M

2.01%

Sole

0.00

Shared

65.33K

None

0.00

VANGUARD SCOTTSDALE FDS

SOLE

INT-TERM CORP

Shares237.37K

TypeSH

Market value$19.04M

1.55%

Sole

0.00

Shared

237.37K

None

0.00

ISHARES TR

SOLE

1-3 YR TR BD ETF

Shares184K

TypeSH

Market value$15.12M

1.23%

Sole

0.00

Shared

184K

None

0.00

INVESCO EXCHNG TRADED FD TR

SOLE

TAXABLE MUN BD

Shares468.20K

TypeSH

Market value$12.59M

1.03%

Sole

0.00

Shared

468.20K

None

0.00

ISHARES TR

SOLE

MBS ETF

Shares65.33K

TypeSH

Market value$6.19M

0.51%

Sole

0.00

Shared

65.33K

None

0.00

BLACKSTONE GROUP INC

OTR

COM CL A

Shares67.60K

TypeSH

Market value$5.94M

0.48%

Sole

0.00

Shared

67.60K

None

0.00

DEXCOM INC

OTR

NOTE

Shares4.99M

TypeSH

Market value$5.35M

0.44%

Sole

0.00

Shared

4.99M

None

0.00

WESTERN DIGITAL CORP.

OTR

NOTE 1.500% 2/0

Shares5.18M

TypeSH

Market value$5.00M

0.41%

Sole

0.00

Shared

5.18M

None

0.00

SPLUNK INC

OTR

NOTE 1.125% 6/1

Shares5.60M

TypeSH

Market value$4.79M

0.39%

Sole

0.00

Shared

5.60M

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Shared
ISHARESSOLE	CORE TOTUSBD ETF	1.15M	SH	$115.00M 9.39%	1.15M
VANGUARD BD INDEX FD INCSOLE	TOTAL BND MRKT	1.56M	SH	$114.96M 9.39%	1.56M
SCHWAB STRATEGIC TRSOLE	US AGGREGATE B	2.45M	SH	$114.82M 9.37%	2.45M
INVESCO QQQ TROTR	UNIT SER 1	250.83K	SH	$80.50M 6.57%	250.83K
ALPS ETF TRSOLE	ALERIAN MLP	1.90M	SH	$73.56M 6.01%	1.90M
FIDELITYSOLE	MSCI UTILS INDEX	1.60M	SH	$70.23M 5.73%	1.60M
VANGUARD SPECIALIZED PORTFOLSOLE	DIV APP ETF	405.05K	SH	$62.38M 5.09%	405.05K
J P MORGAN EXCHANGE-TRADED FSOLE	EQUITY PREMIUM	1.03M	SH	$56.36M 4.60%	1.03M
SCHWAB STRATEGIC TRSOLE	US REIT ETF	2.47M	SH	$48.20M 3.94%	2.47M
GLOBAL X FDSSOLE	US PFD ETF	2.06M	SH	$41.00M 3.35%	2.06M
WISDOMTREE TRSOLE	90/60 BALNCED FD	1.11M	SH	$38.86M 3.17%	1.11M
ISHARES TRSOLE	BROAD USD HIGH	881.95K	SH	$31.35M 2.56%	881.95K
ISHARES TRSOLE	CORE MSCI EAFE	443.36K	SH	$29.64M 2.42%	443.36K
ISHARES TRSOLE	CORE S&P500 ETF	62.72K	SH	$25.78M 2.11%	62.72K
DIMENSIONAL ETF TRUSTSOLE	CORE FIXED INCOM	592.33K	SH	$25.17M 2.06%	592.33K
SCHWAB STRATEGIC TRSOLE	US LRG CAP ETF	511.75K	SH	$24.75M 2.02%	511.75K
VANGUARD INDEX FDSSOLE	S&P 500 ETF SHS	65.33K	SH	$24.57M 2.01%	65.33K
VANGUARD SCOTTSDALE FDSSOLE	INT-TERM CORP	237.37K	SH	$19.04M 1.55%	237.37K
ISHARES TRSOLE	1-3 YR TR BD ETF	184K	SH	$15.12M 1.23%	184K
INVESCO EXCHNG TRADED FD TRSOLE	TAXABLE MUN BD	468.20K	SH	$12.59M 1.03%	468.20K
ISHARES TRSOLE	MBS ETF	65.33K	SH	$6.19M 0.51%	65.33K
BLACKSTONE GROUP INCOTR	COM CL A	67.60K	SH	$5.94M 0.48%	67.60K
DEXCOM INCOTR	NOTE	4.99M	SH	$5.35M 0.44%	4.99M
WESTERN DIGITAL CORP.OTR	NOTE 1.500% 2/0	5.18M	SH	$5.00M 0.41%	5.18M
SPLUNK INCOTR	NOTE 1.125% 6/1	5.60M	SH	$4.79M 0.39%	5.60M

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