RATIONAL ADVISORS, INC.

Filed: 10/30/2024ACC: 0001162044-24-001178

📋 What this filing means

RATIONAL ADVISORS, INC. filed this quarterly 13F‑HR report disclosing 170 equity positions with a total reported market value of $1.04B. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

170

Positions

$1.04B

Total AUM (reported)

78.13M

Total Shares

Allocation by class

COM$99.44M9.6%

TOTAL BND MRKT$90.56M8.7%

PORTFOLIO AGRGTE$90.53M8.7%

CORE US AGGBD ET$90.50M8.7%

NASDAQ 100 ETF$58.85M5.7%

ALERIAN MLP$58.83M5.7%

US EFFICIENT COR$55.35M5.3%

Portfolio Concentration

Top 3$271.59M26.1%

4–10$360.69M34.7%

11–25$225.13M21.7%

Rest$181.74M17.5%

Top 3 weight

26.1%

Top 10 weight

60.8%

Voting Authority Distribution

Total shares with voting rights: 78.13M

Sole

Full voting authority

15.39M

% of voting shares19.7%

Shared

Joint voting authority

62.73M

% of voting shares80.3%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole21

Shared0

Other149

Dominant voting typeShared · 80.3% of voting shares

Institutional Holdings170

Rows:

VANGUARD BD INDEX FDS

SOLE

TOTAL BND MRKT

Shares1.21M

TypeSH

Market value$90.56M

8.71%

Sole

1.21M

Shared

0.00

None

0.00

SPDR SER TR

SOLE

PORTFOLIO AGRGTE

Shares3.46M

TypeSH

Market value$90.53M

8.71%

Sole

3.46M

Shared

0.00

None

0.00

ISHARES TR

SOLE

CORE US AGGBD ET

Shares893.65K

TypeSH

Market value$90.50M

8.71%

Sole

893.65K

Shared

0.00

None

0.00

INVESCO EXCH TRADED FD TR II

SOLE

NASDAQ 100 ETF

Shares293K

TypeSH

Market value$58.85M

5.66%

Sole

293K

Shared

0.00

None

0.00

ALPS ETF TR

SOLE

ALERIAN MLP

Shares1.25M

TypeSH

Market value$58.83M

5.66%

Sole

1.25M

Shared

0.00

None

0.00

WISDOMTREE TR

SOLE

US EFFICIENT COR

Shares1.18M

TypeSH

Market value$55.35M

5.33%

Sole

1.18M

Shared

0.00

None

0.00

ISHARES TR

SOLE

CORE S&P500 ETF

Shares91.39K

TypeSH

Market value$52.72M

5.07%

Sole

91.39K

Shared

0.00

None

0.00

VANGUARD SPECIALIZED FUNDS

SOLE

DIV APP ETF

Shares250.51K

TypeSH

Market value$49.62M

4.77%

Sole

250.51K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

US REIT ETF

Shares1.96M

TypeSH

Market value$45.49M

4.38%

Sole

1.96M

Shared

0.00

None

0.00

J P MORGAN EXCHANGE TRADED F

SOLE

EQUITY PREMIUM

Shares669.50K

TypeSH

Market value$39.84M

3.83%

Sole

669.50K

Shared

0.00

None

0.00

DBX ETF TR

SOLE

XTRACK USD HIGH

Shares944.92K

TypeSH

Market value$34.89M

3.36%

Sole

944.92K

Shared

0.00

None

0.00

SELECT SECTOR SPDR TR

SOLE

SBI INT-UTILS

Shares386.76K

TypeSH

Market value$31.24M

3.01%

Sole

386.76K

Shared

0.00

None

0.00

GLOBAL X FDS

SOLE

US PFD ETF

Shares1.21M

TypeSH

Market value$25.24M

2.43%

Sole

1.21M

Shared

0.00

None

0.00

VANGUARD INDEX FDS

OTR

S&P 500 ETF SHS

Shares37.81K

TypeSH

Market value$19.95M

1.92%

Sole

36.63K

Shared

1.19K

None

0.00

DIMENSIONAL ETF TRUST

SOLE

CORE FIXED INCOM

Shares461.48K

TypeSH

Market value$19.93M

1.92%

Sole

461.48K

Shared

0.00

None

0.00

SPDR SER TR

SOLE

PORTFOLIO S&P500

Shares288.61K

TypeSH

Market value$19.48M

1.87%

Sole

288.61K

Shared

0.00

None

0.00

SCHWAB STRATEGIC TR

SOLE

5 10YR CORP BD

Shares323.76K

TypeSH

Market value$14.94M

1.44%

Sole

323.76K

Shared

0.00

None

0.00

AMAZON COM INC

OTR

COM

Shares59.24K

TypeSH

Market value$11.04M

1.06%

Sole

0.00

Shared

59.24K

None

0.00

INVESCO EXCH TRADED FD TR II

SOLE

TAXABLE MUN BD

Shares358.93K

TypeSH

Market value$9.90M

0.95%

Sole

358.93K

Shared

0.00

None

0.00

WELLS FARGO CO NEW

OTR

PERP PFD CNV A

Shares5.40K

TypeSH

Market value$6.92M

0.67%

Sole

0.00

Shared

5.40K

None

0.00

BANK AMERICA CORP

OTR

7.25%CNV PFD L

Shares5.25K

TypeSH

Market value$6.68M

0.64%

Sole

0.00

Shared

5.25K

None

0.00

PPL CAP FDG INC

OTR

NOTE 2.875% 3/1

Shares6.12M

TypeSH

Market value$6.47M

0.62%

Sole

0.00

Shared

6.12M

None

0.00

MERCADOLIBRE INC

OTR

COM

Shares3.07K

TypeSH

Market value$6.31M

0.61%

Sole

0.00

Shared

3.07K

None

0.00

APOLLO GLOBAL MGMT INC

OTR

SER A MAND CNV

Shares91.90K

TypeSH

Market value$6.25M

0.60%

Sole

0.00

Shared

91.90K

None

0.00

DEXCOM INC

OTR

NOTE 0.250%11/1

Shares6.19M

TypeSH

Market value$5.88M

0.57%

Sole

0.00

Shared

6.19M

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole	Shared
VANGUARD BD INDEX FDSSOLE	TOTAL BND MRKT	1.21M	SH	$90.56M 8.71%	1.21M	0.00
SPDR SER TRSOLE	PORTFOLIO AGRGTE	3.46M	SH	$90.53M 8.71%	3.46M	0.00
ISHARES TRSOLE	CORE US AGGBD ET	893.65K	SH	$90.50M 8.71%	893.65K	0.00
INVESCO EXCH TRADED FD TR IISOLE	NASDAQ 100 ETF	293K	SH	$58.85M 5.66%	293K	0.00
ALPS ETF TRSOLE	ALERIAN MLP	1.25M	SH	$58.83M 5.66%	1.25M	0.00
WISDOMTREE TRSOLE	US EFFICIENT COR	1.18M	SH	$55.35M 5.33%	1.18M	0.00
ISHARES TRSOLE	CORE S&P500 ETF	91.39K	SH	$52.72M 5.07%	91.39K	0.00
VANGUARD SPECIALIZED FUNDSSOLE	DIV APP ETF	250.51K	SH	$49.62M 4.77%	250.51K	0.00
SCHWAB STRATEGIC TRSOLE	US REIT ETF	1.96M	SH	$45.49M 4.38%	1.96M	0.00
J P MORGAN EXCHANGE TRADED FSOLE	EQUITY PREMIUM	669.50K	SH	$39.84M 3.83%	669.50K	0.00
DBX ETF TRSOLE	XTRACK USD HIGH	944.92K	SH	$34.89M 3.36%	944.92K	0.00
SELECT SECTOR SPDR TRSOLE	SBI INT-UTILS	386.76K	SH	$31.24M 3.01%	386.76K	0.00
GLOBAL X FDSSOLE	US PFD ETF	1.21M	SH	$25.24M 2.43%	1.21M	0.00
VANGUARD INDEX FDSOTR	S&P 500 ETF SHS	37.81K	SH	$19.95M 1.92%	36.63K	1.19K
DIMENSIONAL ETF TRUSTSOLE	CORE FIXED INCOM	461.48K	SH	$19.93M 1.92%	461.48K	0.00
SPDR SER TRSOLE	PORTFOLIO S&P500	288.61K	SH	$19.48M 1.87%	288.61K	0.00
SCHWAB STRATEGIC TRSOLE	5 10YR CORP BD	323.76K	SH	$14.94M 1.44%	323.76K	0.00
AMAZON COM INCOTR	COM	59.24K	SH	$11.04M 1.06%	0.00	59.24K
INVESCO EXCH TRADED FD TR IISOLE	TAXABLE MUN BD	358.93K	SH	$9.90M 0.95%	358.93K	0.00
WELLS FARGO CO NEWOTR	PERP PFD CNV A	5.40K	SH	$6.92M 0.67%	0.00	5.40K
BANK AMERICA CORPOTR	7.25%CNV PFD L	5.25K	SH	$6.68M 0.64%	0.00	5.25K
PPL CAP FDG INCOTR	NOTE 2.875% 3/1	6.12M	SH	$6.47M 0.62%	0.00	6.12M
MERCADOLIBRE INCOTR	COM	3.07K	SH	$6.31M 0.61%	0.00	3.07K
APOLLO GLOBAL MGMT INCOTR	SER A MAND CNV	91.90K	SH	$6.25M 0.60%	0.00	91.90K
DEXCOM INCOTR	NOTE 0.250%11/1	6.19M	SH	$5.88M 0.57%	0.00	6.19M

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