13F-HR filed by RATIONAL ADVISORS, INC.
RATIONAL ADVISORS, INC. filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-12, with 158 holding rows worth $136,994,000.
- Accession
- 0001162044-20-000296
- Filer
- CIK 1143565
- Filed
- 2020-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 193 entries on the cover page, a total value of $136,994,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $136,994,000 with VALUE read as thousands by filing date, 13F file number 028-16191. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 43,852 | $11,303,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 83,028 | $10,086,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 27,522 | $7,112,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 66,389 | $5,753,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,666 | $3,248,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 218,000 | $2,306,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 10,505 | $2,288,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 13,994 | $2,207,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 69,125 | $2,089,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 24,150 | $2,061,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 37,975 | $2,061,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 403,000 | $2,043,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 1,398 | $1,781,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 1,398 | $1,770,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 1,390 | $1,738,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 34,713 | $1,643,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 19,399 | $1,605,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 32,921 | $1,588,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 12,993 | $1,578,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 35,433 | $1,573,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 6,036 | $1,535,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 16,636 | $1,531,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 13,650 | $1,508,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 19,498 | $1,500,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 1,264 | $1,468,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 36,050 | $1,433,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 8,726 | $1,407,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 30,485 | $1,343,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 15,190 | $1,323,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 34,800 | $1,311,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 6,545 | $1,246,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 54,600 | $1,195,000 | thousands by filing date | |
| PROSHARES TR II | 74347W130 | SHT VIX ST TRM | 37,703 | $1,169,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 25,118 | $1,107,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 8,386 | $1,100,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 4,099 | $1,080,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 4,328 | $1,045,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 2,392 | $997,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 4,450 | $943,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 4,996 | $933,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 5,610 | $925,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 20,189 | $920,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 12,520 | $910,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 6,100 | $903,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 10,041 | $878,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 9,071 | $869,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 4,556 | $864,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 27,930 | $863,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,997 | $854,000 | thousands by filing date | |
| RH | 74967X103 | COM | 8,441 | $848,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 12,814 | $842,000 | thousands by filing date | |
| DANAHER CORPORATION | 235851300 | 4.75 MND CV PFD | 805 | $832,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,285 | $790,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 4,163 | $785,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 3,055 | $740,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 2,432 | $702,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 2,329 | $701,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 7,700 | $679,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,072 | $668,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,268 | $636,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 12,951 | $617,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 3,921 | $598,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 12,480 | $577,000 | thousands by filing date | |
| BROADCOM INC | 11135F200 | 8% MCNV PFD SR A | 604 | $564,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 9,360 | $562,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 1,663 | $554,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 3,732 | $550,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 1,244 | $543,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 6,730 | $543,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 3,700 | $541,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 3,797 | $537,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 9,901 | $536,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 3,345 | $533,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 4,445 | $531,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 5,593 | $531,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 11,722 | $519,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 14,151 | $517,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,355 | $509,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 2,178 | $506,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,341 | $505,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 4,194 | $504,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 3,537 | $499,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 6,806 | $498,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 7,251 | $497,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 7,991 | $493,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 5,352 | $492,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 6,535 | $491,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 20,297 | $490,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,341 | $481,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 12,304 | $480,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,746 | $479,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 17,484 | $469,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 7,881 | $462,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 8,776 | $460,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 4,066 | $446,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 4,770 | $443,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 3,317 | $441,000 | thousands by filing date | |
| POOL CORP COM | 73278L105 | Stock | 2,233 | $439,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 24,185 | $438,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 5,800 | $434,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 5,354 | $394,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,645 | $390,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 6,720 | $384,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,975 | $384,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,776 | $380,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 708 | $346,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 18,568 | $299,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 10,790 | $298,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 4,397 | $293,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 1,226 | $282,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 3,545 | $276,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 3,906 | $259,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 7,035 | $253,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 10,687 | $251,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 1,768 | $246,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 745 | $232,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 12,305 | $225,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 1,601 | $222,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 817 | $221,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 11,095 | $214,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 303 | $209,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 4,122 | $197,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 880 | $161,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 2,980 | $160,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 3,775 | $159,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 7,998 | $156,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,100 | $150,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 947 | $148,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 807 | $145,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 679 | $144,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 1,520 | $142,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 1,562 | $141,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 860 | $140,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,400 | $140,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 3,669 | $139,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 553 | $138,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,558 | $135,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 550 | $135,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 1,550 | $112,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 1,300 | $97,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 2,695 | $69,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 1,700 | $64,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 2,900 | $64,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 17,430 | $55,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 600 | $54,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 80 | $52,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 275 | $48,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,330 | $44,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 850 | $39,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 759 | $38,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 350 | $36,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 550 | $33,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 110 | $32,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 160 | $19,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 180 | $13,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 14 | $12,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARES CAPITAL CORP | 04010L103 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001162044-20-000296 | this filing | 2020-05-12 | acceptance time not in the bulk data set |