Filed: 11/9/2023ACC: 0001162044-23-001150
📋 What this filing means
RATIONAL ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 275 equity positions with a total reported market value of $1.10B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.
275
Positions
$1.10B
Total AUM (reported)
91.11M
Total Shares
Allocation by class
TOTAL BND MRKT$102.49M9.3%
CORE TOTUSBD ETF$102.36M9.3%
US AGGREGATE B$102.27M9.3%
ALERIAN MLP$71.27M6.5%
COM$70.89M6.4%
UNIT SER 1$65.73M5.9%
DIV APP ETF$60.58M5.5%
Portfolio Concentration
Top 3$307.12M27.8%
4–10$399.05M36.1%
11–25$231.42M20.9%
Rest$167.09M15.1%
Top 3 weight
27.8%
Top 10 weight
63.9%
Voting Authority Distribution
Total shares with voting rights: 91.11M
Sole
Full voting authority
17.30M
shares
% of voting shares19.0%
Shared
Joint voting authority
73.81M
shares
% of voting shares81.0%
None
No voting authority
0.00
shares
% of voting shares0.0%
Investment Discretion (by position count)
Sole93
Shared0
Other182
Dominant voting typeShared · 81.0% of voting shares
Institutional Holdings275
Rows:
VANGUARD BD INDEX FD INC
SOLEShares1.47M
TypeSH
Market value$102.49M
9.28%
Sole
1.47M
Shared
0.00
None
0.00
ISHARES
SOLEShares1.09M
TypeSH
Market value$102.36M
9.27%
Sole
1.09M
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares2.31M
TypeSH
Market value$102.27M
9.26%
Sole
2.31M
Shared
0.00
None
0.00
ALPS ETF TR
SOLEShares1.69M
TypeSH
Market value$71.27M
6.45%
Sole
1.69M
Shared
0.00
None
0.00
INVESCO QQQ TR
OTRShares183.45K
TypeSH
Market value$65.73M
5.95%
Sole
177.56K
Shared
5.89K
None
0.00
VANGUARD SPECIALIZED PORTFOL
SOLEShares389.86K
TypeSH
Market value$60.58M
5.48%
Sole
389.86K
Shared
0.00
None
0.00
J P MORGAN EXCHANGE-TRADED F
SOLEShares1.04M
TypeSH
Market value$55.72M
5.04%
Sole
1.04M
Shared
0.00
None
0.00
ISHARES TR
SOLEShares124.92K
TypeSH
Market value$53.64M
4.86%
Sole
124.92K
Shared
0.00
None
0.00
FIDELITY
SOLEShares1.28M
TypeSH
Market value$48.67M
4.41%
Sole
1.28M
Shared
0.00
None
0.00
WISDOMTREE TR
SOLEShares1.24M
TypeSH
Market value$43.45M
3.93%
Sole
1.24M
Shared
0.00
None
0.00
GLOBAL X FDS
SOLEShares2.11M
TypeSH
Market value$39.72M
3.60%
Sole
2.11M
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares1.80M
TypeSH
Market value$32.03M
2.90%
Sole
1.80M
Shared
0.00
None
0.00
DIMENSIONAL ETF TRUST
SOLEShares698.66K
TypeSH
Market value$28.20M
2.55%
Sole
698.66K
Shared
0.00
None
0.00
VANGUARD SCOTTSDALE FDS
SOLEShares295.29K
TypeSH
Market value$22.44M
2.03%
Sole
295.29K
Shared
0.00
None
0.00
SCHWAB STRATEGIC TR
SOLEShares422.67K
TypeSH
Market value$21.39M
1.94%
Sole
422.67K
Shared
0.00
None
0.00
VANGUARD INDEX FDS
SOLEShares54.04K
TypeSH
Market value$21.22M
1.92%
Sole
54.04K
Shared
0.00
None
0.00
ISHARES TR
SOLEShares488.29K
TypeSH
Market value$16.95M
1.53%
Sole
488.29K
Shared
0.00
None
0.00
INVESCO EXCHNG TRADED FD TR
SOLEShares441.97K
TypeSH
Market value$11.18M
1.01%
Sole
441.97K
Shared
0.00
None
0.00
AMAZON COM INC
OTRShares55.74K
TypeSH
Market value$7.09M
0.64%
Sole
0.00
Shared
55.74K
None
0.00
SPLUNK INC
OTRShares5.82M
TypeSH
Market value$5.49M
0.50%
Sole
0.00
Shared
5.82M
None
0.00
ISHARES TR
SOLEShares61.76K
TypeSH
Market value$5.48M
0.50%
Sole
61.76K
Shared
0.00
None
0.00
PIONEER NAT RES CO
OTRShares22.80K
TypeSH
Market value$5.23M
0.47%
Sole
0.00
Shared
22.80K
None
0.00
TYLER TEX INDPT SCH DIST
OTRShares5.29M
TypeSH
Market value$5.11M
0.46%
Sole
0.00
Shared
5.29M
None
0.00
BANK AMER CORP
OTRShares4.45K
TypeSH
Market value$4.95M
0.45%
Sole
0.00
Shared
4.45K
None
0.00
EURONET WORLDWIDE INC
OTRShares5.38M
TypeSH
Market value$4.94M
0.45%
Sole
0.00
Shared
5.38M
None
0.00
| Issuer | Class | Shares | Type | Value / Portfolio % | Voting — Sole | Shared | None |
|---|---|---|---|---|---|---|---|
VANGUARD BD INDEX FD INCSOLE | TOTAL BND MRKT | 1.47M | SH | $102.49M 9.28% | 1.47M | 0.00 | 0.00 |
ISHARESSOLE | CORE TOTUSBD ETF | 1.09M | SH | $102.36M 9.27% | 1.09M | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US AGGREGATE B | 2.31M | SH | $102.27M 9.26% | 2.31M | 0.00 | 0.00 |
ALPS ETF TRSOLE | ALERIAN MLP | 1.69M | SH | $71.27M 6.45% | 1.69M | 0.00 | 0.00 |
INVESCO QQQ TROTR | UNIT SER 1 | 183.45K | SH | $65.73M 5.95% | 177.56K | 5.89K | 0.00 |
VANGUARD SPECIALIZED PORTFOLSOLE | DIV APP ETF | 389.86K | SH | $60.58M 5.48% | 389.86K | 0.00 | 0.00 |
J P MORGAN EXCHANGE-TRADED FSOLE | EQUITY PREMIUM | 1.04M | SH | $55.72M 5.04% | 1.04M | 0.00 | 0.00 |
ISHARES TRSOLE | CORE S&P500 ETF | 124.92K | SH | $53.64M 4.86% | 124.92K | 0.00 | 0.00 |
FIDELITYSOLE | MSCI UTILS INDEX | 1.28M | SH | $48.67M 4.41% | 1.28M | 0.00 | 0.00 |
WISDOMTREE TRSOLE | 90/60 BALNCED FD | 1.24M | SH | $43.45M 3.93% | 1.24M | 0.00 | 0.00 |
GLOBAL X FDSSOLE | US PFD ETF | 2.11M | SH | $39.72M 3.60% | 2.11M | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US REIT ETF | 1.80M | SH | $32.03M 2.90% | 1.80M | 0.00 | 0.00 |
DIMENSIONAL ETF TRUSTSOLE | CORE FIXED INCOM | 698.66K | SH | $28.20M 2.55% | 698.66K | 0.00 | 0.00 |
VANGUARD SCOTTSDALE FDSSOLE | INT-TERM CORP | 295.29K | SH | $22.44M 2.03% | 295.29K | 0.00 | 0.00 |
SCHWAB STRATEGIC TRSOLE | US LRG CAP ETF | 422.67K | SH | $21.39M 1.94% | 422.67K | 0.00 | 0.00 |
VANGUARD INDEX FDSSOLE | S&P 500 ETF SHS | 54.04K | SH | $21.22M 1.92% | 54.04K | 0.00 | 0.00 |
ISHARES TRSOLE | BROAD USD HIGH | 488.29K | SH | $16.95M 1.53% | 488.29K | 0.00 | 0.00 |
INVESCO EXCHNG TRADED FD TRSOLE | TAXABLE MUN BD | 441.97K | SH | $11.18M 1.01% | 441.97K | 0.00 | 0.00 |
AMAZON COM INCOTR | COM | 55.74K | SH | $7.09M 0.64% | 0.00 | 55.74K | 0.00 |
SPLUNK INCOTR | NOTE 1.125% 6/1 | 5.82M | SH | $5.49M 0.50% | 0.00 | 5.82M | 0.00 |
ISHARES TRSOLE | MBS ETF | 61.76K | SH | $5.48M 0.50% | 61.76K | 0.00 | 0.00 |
PIONEER NAT RES COOTR | COM | 22.80K | SH | $5.23M 0.47% | 0.00 | 22.80K | 0.00 |
TYLER TEX INDPT SCH DISTOTR | NOTE 0.250% 3/1 | 5.29M | SH | $5.11M 0.46% | 0.00 | 5.29M | 0.00 |
BANK AMER CORPOTR | 7.25%CNV PFD L | 4.45K | SH | $4.95M 0.45% | 0.00 | 4.45K | 0.00 |
EURONET WORLDWIDE INCOTR | NOTE 0.750% 3/1 | 5.38M | SH | $4.94M 0.45% | 0.00 | 5.38M | 0.00 |
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