Filed: 8/8/2023ACC: 0001162044-23-000822
📋 What this filing means
RATIONAL ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 268 equity positions with a total reported market value of $1.21B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
268
Positions
$1.21B
Total AUM (reported)
74.13M
Total Shares
Allocation by class
TOTAL BND MRKT$111.08M9.2%
US AGGREGATE B$111.01M9.2%
CORE TOTUSBD ETF$110.96M9.2%
ALERIAN MLP$76.95M6.4%
UNIT SER 1$76.91M6.4%
COM$70.84M5.9%
MSCI UTILS INDEX$67.90M5.6%
Portfolio Concentration
Top 3$333.05M27.6%
4–10$440.77M36.5%
11–25$271.63M22.5%
Rest$162.56M13.5%
Top 3 weight
27.6%
Top 10 weight
64.1%
Voting Authority Distribution
Total shares with voting rights: 74.13M
Sole
Full voting authority
18.97M
shares
% of voting shares25.6%
Shared
Joint voting authority
55.16M
shares
% of voting shares74.4%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole95
Shared0
Other173
Dominant voting typeShared · 74.4% of voting shares
Institutional Holdings268
Rows:
VANGUARD BD INDEX FD INC
SOLEShares1.53M
TypeSH
Market value$111.08M
9.20%
Sole
1.53M
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares2.40M
TypeSH
Market value$111.01M
9.19%
Sole
2.40M
Shared
0.00
None
0.00
ISHARES
SOLEShares1.13M
TypeSH
Market value$110.96M
9.19%
Sole
1.13M
Shared
0.00
None
0.00
ALPS ETF TR
SOLEShares1.96M
TypeSH
Market value$76.95M
6.37%
Sole
1.96M
Shared
0.00
None
0.00
INVESCO QQQ TR
OTRShares208.20K
TypeSH
Market value$76.91M
6.37%
Sole
204.85K
Shared
3.35K
None
0.00
FIDELITY
SOLEShares1.61M
TypeSH
Market value$67.90M
5.62%
Sole
1.61M
Shared
0.00
None
0.00
VANGUARD SPECIALIZED PORTFOL
SOLEShares399.45K
TypeSH
Market value$64.88M
5.37%
Sole
399.45K
Shared
0.00
None
0.00
J P MORGAN EXCHANGE-TRADED F
SOLEShares1.02M
TypeSH
Market value$56.44M
4.67%
Sole
1.02M
Shared
0.00
None
0.00
WISDOMTREE TR
SOLEShares1.38M
TypeSH
Market value$51.26M
4.24%
Sole
1.38M
Shared
0.00
None
0.00
ISHARES TR
SOLEShares104.16K
TypeSH
Market value$46.42M
3.84%
Sole
104.16K
Shared
0.00
None
0.00
GLOBAL X FDS
SOLEShares2.23M
TypeSH
Market value$43.17M
3.57%
Sole
2.23M
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares1.96M
TypeSH
Market value$38.33M
3.17%
Sole
1.96M
Shared
0.00
None
0.00
DIMENSIONAL ETF TRUST
SOLEShares729.25K
TypeSH
Market value$30.43M
2.52%
Sole
729.25K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares483.44K
TypeSH
Market value$25.32M
2.10%
Sole
483.44K
Shared
0.00
None
0.00
VANGUARD INDEX FDS
SOLEShares61.46K
TypeSH
Market value$25.03M
2.07%
Sole
61.46K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares309.32K
TypeSH
Market value$24.45M
2.02%
Sole
309.32K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares348.32K
TypeSH
Market value$23.51M
1.95%
Sole
348.32K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares526.46K
TypeSH
Market value$18.58M
1.54%
Sole
526.46K
Shared
0.00
None
0.00
INVESCO EXCHNG TRADED FD TR
SOLEShares458.86K
TypeSH
Market value$12.18M
1.01%
Sole
458.86K
Shared
0.00
None
0.00
BLACKSTONE GROUP INC
OTRShares68.39K
TypeSH
Market value$6.36M
0.53%
Sole
0.00
Shared
68.39K
None
0.00
ISHARES TR
SOLEShares63.51K
TypeSH
Market value$5.92M
0.49%
Sole
63.51K
Shared
0.00
None
0.00
MICROSOFT CORP
OTRShares13.90K
TypeSH
Market value$4.73M
0.39%
Sole
104.00
Shared
13.80K
None
0.00
AMAZON COM INC
OTRShares36.03K
TypeSH
Market value$4.70M
0.39%
Sole
0.00
Shared
36.03K
None
0.00
KKR & CO INC
OTRShares80.70K
TypeSH
Market value$4.52M
0.37%
Sole
0.00
Shared
80.70K
None
0.00
BANK AMER CORP
OTRShares3.75K
TypeSH
Market value$4.39M
0.36%
Sole
0.00
Shared
3.75K
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
VANGUARD BD INDEX FD INCSOLE | TOTAL BND MRKT | 1.53M | SH | $111.08M 9.20% | 1.53M | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US AGGREGATE B | 2.40M | SH | $111.01M 9.19% | 2.40M | 0.00 | 0.00 |
ISHARESSOLE | CORE TOTUSBD ETF | 1.13M | SH | $110.96M 9.19% | 1.13M | 0.00 | 0.00 |
ALPS ETF TRSOLE | ALERIAN MLP | 1.96M | SH | $76.95M 6.37% | 1.96M | 0.00 | 0.00 |
INVESCO QQQ TROTR | UNIT SER 1 | 208.20K | SH | $76.91M 6.37% | 204.85K | 3.35K | 0.00 |
FIDELITYSOLE | MSCI UTILS INDEX | 1.61M | SH | $67.90M 5.62% | 1.61M | 0.00 | 0.00 |
VANGUARD SPECIALIZED PORTFOLSOLE | DIV APP ETF | 399.45K | SH | $64.88M 5.37% | 399.45K | 0.00 | 0.00 |
J P MORGAN EXCHANGE-TRADED FSOLE | EQUITY PREMIUM | 1.02M | SH | $56.44M 4.67% | 1.02M | 0.00 | 0.00 |
WISDOMTREE TRSOLE | 90/60 BALNCED FD | 1.38M | SH | $51.26M 4.24% | 1.38M | 0.00 | 0.00 |
ISHARES TRSOLE | CORE S&P500 ETF | 104.16K | SH | $46.42M 3.84% | 104.16K | 0.00 | 0.00 |
GLOBAL X FDSSOLE | US PFD ETF | 2.23M | SH | $43.17M 3.57% | 2.23M | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US REIT ETF | 1.96M | SH | $38.33M 3.17% | 1.96M | 0.00 | 0.00 |
DIMENSIONAL ETF TRUSTSOLE | CORE FIXED INCOM | 729.25K | SH | $30.43M 2.52% | 729.25K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LRG CAP ETF | 483.44K | SH | $25.32M 2.10% | 483.44K | 0.00 | 0.00 |
VANGUARD INDEX FDSSOLE | S&P 500 ETF SHS | 61.46K | SH | $25.03M 2.07% | 61.46K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | INT-TERM CORP | 309.32K | SH | $24.45M 2.02% | 309.32K | 0.00 | 0.00 |
ISHARES TRSOLE | CORE MSCI EAFE | 348.32K | SH | $23.51M 1.95% | 348.32K | 0.00 | 0.00 |
ISHARES TRSOLE | BROAD USD HIGH | 526.46K | SH | $18.58M 1.54% | 526.46K | 0.00 | 0.00 |
INVESCO EXCHNG TRADED FD TRSOLE | TAXABLE MUN BD | 458.86K | SH | $12.18M 1.01% | 458.86K | 0.00 | 0.00 |
BLACKSTONE GROUP INCOTR | COM CL A | 68.39K | SH | $6.36M 0.53% | 0.00 | 68.39K | 0.00 |
ISHARES TRSOLE | MBS ETF | 63.51K | SH | $5.92M 0.49% | 63.51K | 0.00 | 0.00 |
MICROSOFT CORPOTR | COM | 13.90K | SH | $4.73M 0.39% | 104.00 | 13.80K | 0.00 |
AMAZON COM INCOTR | COM | 36.03K | SH | $4.70M 0.39% | 0.00 | 36.03K | 0.00 |
KKR & CO INCOTR | CL A | 80.70K | SH | $4.52M 0.37% | 0.00 | 80.70K | 0.00 |
BANK AMER CORPOTR | 7.25%CNV PFD L | 3.75K | SH | $4.39M 0.36% | 0.00 | 3.75K | 0.00 |
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