13F-HR filed by RATIONAL ADVISORS, INC.
RATIONAL ADVISORS, INC. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-09, with 190 holding rows worth $1,279,017,000.
- Accession
- 0001162044-21-001372
- Filer
- CIK 1143565
- Filed
- 2021-11-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 207 entries on the cover page, a total value of $1,279,017,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,279,017,000 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 |
|---|---|---|---|---|---|---|
| Vanguard Total Bond Market ETF | 921937835 | SHS | 1,446,755 | $123,625,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 2,277,948 | $123,601,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,076,312 | $123,593,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 2,211,600 | $78,003,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 506,825 | $77,848,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 210,102 | $75,208,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,408,052 | $64,320,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 1,435,697 | $58,490,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 2,388,528 | $52,691,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 1,087,370 | $44,756,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 1,583,137 | $40,782,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 92,987 | $40,061,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 851,466 | $34,127,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 287,508 | $27,144,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 64,505 | $25,441,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 258,020 | $25,384,000 | thousands by filing date | |
| VTI | 922908769 | COM | 114,266 | $25,374,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 615,562 | $20,258,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 333,583 | $13,587,000 | thousands by filing date | |
| RH | 74967X103 | COM | 13,250 | $8,837,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 2,070 | $6,800,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 62,662 | $6,776,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,395 | $6,403,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 39,503 | $5,590,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 23,850 | $5,456,000 | thousands by filing date | |
| CAESARS ENTERTAINMENT INC NE | 12769G100 | COM | 44,300 | $4,974,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 30,939 | $4,493,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 11,630 | $4,397,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 15,127 | $4,264,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 19,128 | $4,261,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 15,331 | $3,989,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 2,000 | $3,635,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 7,874 | $3,538,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 19,556 | $3,308,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 7,511 | $3,040,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 2,037 | $2,762,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 45,000 | $2,740,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 23,500 | $2,734,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 7,350 | $2,653,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 16,392 | $2,647,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 10,698 | $2,567,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 7,500 | $2,462,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,175 | $2,462,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502846 | UNIT 11/15/2022 | 23,390 | $2,462,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 10,081 | $2,393,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 35,500 | $2,342,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 30,695 | $2,279,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 6,435 | $2,184,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 37,721 | $2,110,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 12,778 | $2,092,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 22,700 | $2,069,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 34,713 | $2,035,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 12,000 | $2,010,000 | thousands by filing date | |
| NISOURCE INC | 65473P121 | CONV | 18,900 | $1,955,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 39,850 | $1,900,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 31,042 | $1,826,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 35,313 | $1,801,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 18,366 | $1,784,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 25,408 | $1,575,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 14,452 | $1,559,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 9,783 | $1,541,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 3,910 | $1,528,000 | thousands by filing date | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 13,933 | $1,526,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,818 | $1,525,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 30,763 | $1,522,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 31,080 | $1,502,000 | thousands by filing date | |
| Airbnb, Inc. Class A | 009066101 | COM | 8,900 | $1,493,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 21,785 | $1,476,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 31,775 | $1,472,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 9,748 | $1,456,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 33,994 | $1,444,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 6,404 | $1,438,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 11,053 | $1,423,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 25,604 | $1,422,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 98,403 | $1,393,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 8,039 | $1,361,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 7,002 | $1,344,000 | thousands by filing date | |
| OPPFI INC | 68386H103 | COMMON STOCK | 169,182 | $1,330,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 3,830 | $1,283,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 25,118 | $1,280,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 29,375 | $1,247,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 3,960 | $1,241,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 5,566 | $1,221,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 25,043 | $1,208,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 8,267 | $1,202,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 4,665 | $1,201,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 14,332 | $1,165,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 7,582 | $1,142,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 14,456 | $1,141,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 7,447 | $1,128,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,543 | $1,095,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 1,740 | $1,083,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 4,970 | $1,081,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,770 | $1,080,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 11,075 | $1,078,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 403 | $1,074,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 4,330 | $1,064,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 3,195 | $1,022,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 3,800 | $1,008,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 20,055 | $1,008,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 61,645 | $979,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 16,380 | $974,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 9,162 | $969,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 10,957 | $955,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 7,828 | $953,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,675 | $930,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 24,465 | $906,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 520 | $873,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 6,999 | $867,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 12,480 | $848,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 3,070 | $803,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 4,837 | $797,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 13,628 | $742,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 8,945 | $679,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 3,000 | $609,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 4,210 | $534,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 4,077 | $512,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 5,904 | $509,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 4,412 | $508,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 2,800 | $497,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 7,475 | $495,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,595 | $460,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 745 | $429,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 3,960 | $252,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 1,740 | $171,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,900 | $131,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 504 | $92,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 540 | $82,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 185 | $53,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 1,283 | $22,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 598 | $21,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 763 | $21,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 1,020 | $21,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 662 | $21,000 | thousands by filing date | |
| DB COMMODITY INDEX TRACKING | 46138B103 | ETF | 1,064 | $21,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R108 | BBG COMMD K 1 | 712 | $21,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767678 | INDX FD | 522 | $21,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 120 | $20,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 923 | $19,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 150 | $12,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 1,793 | $12,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 104 | $11,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 367 | $11,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 193 | $11,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 1,049 | $11,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 629 | $11,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 414 | $11,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 37 | $10,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 47 | $10,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 143 | $10,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 45 | $10,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 107 | $10,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 121 | $10,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 34 | $10,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 87 | $10,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 53 | $10,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 222 | $10,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 38 | $10,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 178 | $10,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 258 | $10,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 13 | $10,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 250 | $10,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 214 | $10,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 68 | $10,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 167 | $10,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 152 | $10,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 35 | $9,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 47 | $9,000 | thousands by filing date | |
| LEMONADEINC | 52567D107 | STOK | 136 | $9,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 398 | $9,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 16 | $9,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 230 | $9,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 243 | $9,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 31 | $9,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 290 | $9,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 72 | $9,000 | thousands by filing date | |
| COINBASE GLOBAL INC COM CL A | 19260Q107 | Stock | 40 | $9,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 53 | $9,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 45 | $9,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 546 | $9,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 181 | $9,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 1,699 | $9,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 633 | $9,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 112 | $9,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 518 | $9,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 32 | $9,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 285 | $9,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 762 | $9,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 341 | $9,000 | thousands by filing date | |
| MARA HOLDINGS INC COM | 565788106 | Stock | 259 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001162044-21-001372 | this filing | 2021-11-09 | acceptance time not in the bulk data set |