13F-HR/A filed by RATIONAL ADVISORS, INC.
RATIONAL ADVISORS, INC. filed this 13F-HR/A for the quarter ended 2023-12-31, filed 2024-02-14, with 190 holding rows worth $982,412,678.
- Accession
- 0001162044-24-000164
- Filer
- CIK 1143565
- Filed
- 2024-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2023
A holdings report, amendment of type restatement, 205 entries on the cover page, a total value of $982,412,678 stated on the cover page (in dollars after the unit check, H1), rows summing to $982,412,678 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,013,829 | $100,622,528 | dollars as filed | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 2,155,481 | $100,488,524 | dollars as filed | |
| INVESCO QQQ TR | 46090E103 | COM | 161,092 | $65,970,396 | dollars as filed | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 1,460,334 | $62,093,402 | dollars as filed | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 357,204 | $60,867,562 | dollars as filed | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 119,506 | $57,079,650 | dollars as filed | |
| JPMORGAN EQUITY PREMIUM INCOME ETF | 46641Q332 | ETF | 980,560 | $53,911,189 | dollars as filed | |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 1,290,487 | $50,716,139 | dollars as filed | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 2,241,280 | $43,480,832 | dollars as filed | |
| DIMENSIONAL ETF TRUST | 25434V872 | CORE FIXE IN ETF | 908,769 | $38,531,806 | dollars as filed | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 407,983 | $33,160,858 | dollars as filed | |
| Schwab US REIT ETF | 808524847 | SHS | 1,395,547 | $28,901,778 | dollars as filed | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 386,971 | $21,825,164 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 534,055 | $21,821,487 | dollars as filed | |
| Vanguard S&P 500 ETF | 922908363 | COM | 49,028 | $21,415,430 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 621,605 | $16,727,391 | dollars as filed | |
| iShares MBS ETF | 464288588 | SHS | 117,317 | $11,037,183 | dollars as filed | |
| APOLLO GLOBAL MGMT INC | 03769M304 | CMN | 109,800 | $6,191,622 | dollars as filed | |
| NEXTERA ENERGY INC | 65339F713 | CONV | 160,800 | $6,129,696 | dollars as filed | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 5,100 | $6,097,662 | dollars as filed | |
| MERCADOLIBREINC | 58733R102 | STOK | 3,690 | $5,798,983 | dollars as filed | |
| EXPEDIA GROUP INC | 30212PBE4 | NOTE 2/1 | 6,125,000 | $5,791,188 | dollars as filed | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 5,530,000 | $5,773,320 | dollars as filed | |
| TYLER TEX INDPT SCH DIST | 902252AB1 | NOTE 0.250% 3/1 | 5,620,000 | $5,667,770 | dollars as filed | |
| SPLUNK INC | 848637AF1 | NOTE 1.125% 6/1 | 5,820,000 | $5,636,670 | dollars as filed | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 150,586 | $5,473,801 | dollars as filed | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 5,380,928 | $5,031,168 | dollars as filed | |
| Shopify Inc | 82509LAA5 | Convertible bond | 5,332,000 | $5,028,076 | dollars as filed | |
| ETSY INC | 29786AAN6 | NOTE 0.250% 6/1 | 6,090,000 | $4,875,654 | dollars as filed | |
| Microsoft Corp | 594918104 | COM | 12,898 | $4,850,164 | dollars as filed | |
| Booking Holdings Inc. | 09857L108 | COM | 1,228 | $4,355,986 | dollars as filed | |
| ALTERYX INC | 02156BAF0 | BOND | 4,260,000 | $4,137,525 | dollars as filed | |
| OKTA INC | 679295AF2 | NOTE 0.375% 6/1 | 4,649,000 | $4,109,716 | dollars as filed | |
| Apple Inc | 037833100 | COM | 20,613 | $3,968,621 | dollars as filed | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 42,350 | $3,963,960 | dollars as filed | |
| META PLATFORMS INC CL A | 30303M102 | COM | 10,719 | $3,794,097 | dollars as filed | |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 2,185,000 | $3,093,960 | dollars as filed | |
| Costco Wholesale Corporation | 22160K105 | COM | 4,512 | $2,978,281 | dollars as filed | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 5,810 | $2,970,595 | dollars as filed | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 41,220 | $2,899,827 | dollars as filed | |
| KKR & CO INC | 48251W104 | COM | 35,000 | $2,899,750 | dollars as filed | |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 2,800,000 | $2,786,000 | dollars as filed | |
| APOLLO GLOBAL MGMT INC COM | 03769M106 | Stock | 29,700 | $2,767,743 | dollars as filed | |
| Visa Inc | 92826C839 | COM | 10,538 | $2,743,568 | dollars as filed | |
| NIKE,Inc. Class B | 654106103 | COM | 23,903 | $2,595,148 | dollars as filed | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAK7 | NOTE 1.250% 5/1 | 2,493,000 | $2,560,062 | dollars as filed | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 18,188 | $2,540,682 | dollars as filed | |
| DRAFTKINGS INC NEW | 26142V105 | COM CL A | 72,000 | $2,538,000 | dollars as filed | |
| Uber Technologies | 90353T100 | COM | 40,700 | $2,505,899 | dollars as filed | |
| PROS HOLDINGS INC | 74346YAG8 | NOTE 2.250% 9/1 | 2,211,000 | $2,480,742 | dollars as filed | |
| DRAFTKINGS INC NEW | 26142RAB0 | CNV | 3,020,000 | $2,420,530 | dollars as filed | |
| WIX COM LTD | 92940WAD1 | NOTE 8/1 | 2,540,000 | $2,297,430 | dollars as filed | |
| BLACKSTONE INC | 09260D107 | COM | 17,000 | $2,225,640 | dollars as filed | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 2,100 | $2,124,360 | dollars as filed | |
| T-Mobile US,Inc. | 872590104 | COM | 13,000 | $2,084,290 | dollars as filed | |
| KBR INC COM | 48242W106 | Stock | 36,300 | $2,011,383 | dollars as filed | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 23,500 | $1,956,610 | dollars as filed | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 11,156 | $1,939,917 | dollars as filed | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 41,568 | $1,938,316 | dollars as filed | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 11,538 | $1,937,922 | dollars as filed | |
| EQT CORP COM | 26884L109 | Stock | 49,000 | $1,894,340 | dollars as filed | |
| CHEGG INC | 163092AF6 | NOTE 9/0 | 2,057,000 | $1,707,310 | dollars as filed | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 7,100 | $1,596,648 | dollars as filed | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 1,560,000 | $1,576,380 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 29,726 | $1,575,416 | dollars as filed | |
| ATI INC COM | 01741R102 | Stock | 33,300 | $1,514,151 | dollars as filed | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,500 | $1,253,730 | dollars as filed | |
| DATADOGINCCLASSA | 23804L103 | STOK | 8,800 | $1,068,144 | dollars as filed | |
| Broadcom Inc. | 11135F101 | COM | 941 | $1,050,391 | dollars as filed | |
| ISHARES TR | 464287457 | COM | 12,300 | $1,009,092 | dollars as filed | |
| NVIDIA Corp | 67066G104 | COM | 1,996 | $988,459 | dollars as filed | |
| VGT | 92204A702 | SHS | 1,984 | $960,256 | dollars as filed | |
| iShares U.S. Technology ETF | 464287721 | SHS | 7,809 | $958,555 | dollars as filed | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 6,673 | $958,510 | dollars as filed | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 4,948 | $952,391 | dollars as filed | |
| ISHARES TR | 464287101 | S&P 100 ETF | 3,480 | $777,397 | dollars as filed | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 5,453 | $768,491 | dollars as filed | |
| Cisco Systems,Inc. | 17275R102 | COM | 15,207 | $768,258 | dollars as filed | |
| NUTANIX INC CL A | 67059N108 | Stock | 15,400 | $734,426 | dollars as filed | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 34,500 | $703,110 | dollars as filed | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 710 | $674,557 | dollars as filed | |
| PETIQ INC | 71639TAB2 | NOTE 4.000% 6/0 | 635,000 | $640,588 | dollars as filed | |
| Altria Group Inc | 02209S103 | COM | 15,669 | $632,087 | dollars as filed | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 6,535 | $551,097 | dollars as filed | |
| Applied Materials,Inc. | 038222105 | COM | 3,303 | $535,317 | dollars as filed | |
| LAM RESEARCH CORP | 512807108 | COM | 676 | $529,484 | dollars as filed | |
| International Business Machines Corporation | 459200101 | COM | 3,193 | $522,215 | dollars as filed | |
| Gilead Sciences,Inc. | 375558103 | COM | 6,332 | $512,955 | dollars as filed | |
| McDonalds Corporation | 580135101 | COM | 1,716 | $508,811 | dollars as filed | |
| Tesla Motors, Inc | 88160R101 | COM | 1,978 | $491,493 | dollars as filed | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 1,000 | $412,230 | dollars as filed | |
| JPMorgan Chase & Co | 46625H100 | COM | 2,284 | $388,508 | dollars as filed | |
| EBAY INC. COM | 278642103 | Stock | 8,661 | $377,793 | dollars as filed | |
| VANECK ETF TRUST | 92189F676 | COM | 2,146 | $375,271 | dollars as filed | |
| Lowes Companies,Inc. | 548661107 | COM | 1,588 | $353,409 | dollars as filed | |
| PACCAR INC COM | 693718108 | Stock | 2,691 | $262,776 | dollars as filed | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,460 | $237,119 | dollars as filed | |
| Salesforce.com, Inc | 79466L302 | COM | 759 | $199,723 | dollars as filed | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,762 | $194,049 | dollars as filed | |
| Walmart Inc. | 931142103 | COM | 1,142 | $180,036 | dollars as filed | |
| Netflix, Inc | 64110L106 | COM | 352 | $171,382 | dollars as filed | |
| Intel Corp | 458140100 | COM | 3,254 | $163,514 | dollars as filed | |
| CONSTELLATION ENERGY CORP COM | 21037T109 | Stock | 1,376 | $160,841 | dollars as filed | |
| Honeywell Technologies | 438516106 | COM | 747 | $156,653 | dollars as filed | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 3,764 | $151,426 | dollars as filed | |
| Raytheon Technologies Corporation | 75513E101 | COM | 1,707 | $143,627 | dollars as filed | |
| Comcast Corp | 20030N101 | COM | 3,268 | $143,302 | dollars as filed | |
| Wells Fargo & Company | 949746101 | COM | 2,834 | $139,489 | dollars as filed | |
| Prologis,Inc. | 74340W103 | COM | 1,022 | $136,233 | dollars as filed | |
| NextEra Energy,Inc. | 65339F101 | COM | 2,161 | $131,259 | dollars as filed | |
| Walt Disney Co | 254687106 | COM | 1,437 | $129,747 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 3,362 | $126,747 | dollars as filed | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 798 | $125,470 | dollars as filed | |
| Procter & Gamble Co | 742718109 | COM | 850 | $124,559 | dollars as filed | |
| Home Depot, Inc | 437076102 | COM | 359 | $124,411 | dollars as filed | |
| Linde plc | G54950103 | COM | 276 | $113,356 | dollars as filed | |
| Adobe Inc | 00724F101 | COM | 189 | $112,757 | dollars as filed | |
| S&P Global,Inc. | 78409V104 | COM | 254 | $111,892 | dollars as filed | |
| General Electric Company | 369604301 | COM | 857 | $109,379 | dollars as filed | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 254 | $97,986 | dollars as filed | |
| AT&T Inc | 00206R102 | COM | 5,712 | $95,847 | dollars as filed | |
| Morgan Stanley | 617446448 | COM | 978 | $91,199 | dollars as filed | |
| Accenture Plc Class A | G1151C101 | COM | 253 | $88,780 | dollars as filed | |
| Medtronic Plc | G5960L103 | COM | 1,057 | $87,076 | dollars as filed | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 107 | $86,863 | dollars as filed | |
| Stryker Corporation | 863667101 | COM | 269 | $80,555 | dollars as filed | |
| CVS Health Corporation | 126650100 | COM | 1,017 | $80,302 | dollars as filed | |
| Citigroup Inc. | 172967424 | COM | 1,481 | $76,183 | dollars as filed | |
| Eaton Corp. Plc | G29183103 | COM | 312 | $75,136 | dollars as filed | |
| Micron Technology,Inc. | 595112103 | COM | 851 | $72,624 | dollars as filed | |
| Abbott Laboratories | 002824100 | COM | 658 | $72,426 | dollars as filed | |
| ZOETIS INC CL A | 98978V103 | Stock | 360 | $71,053 | dollars as filed | |
| Coca-Cola Company | 191216100 | COM | 1,088 | $64,116 | dollars as filed | |
| NUCOR CORP COM | 670346105 | Stock | 366 | $63,699 | dollars as filed | |
| CME Group Inc. Class A | 12572Q105 | COM | 296 | $62,338 | dollars as filed | |
| RELIANCE INC | 759509102 | COM | 220 | $61,530 | dollars as filed | |
| PHILLIPS 66 COM | 718546104 | Stock | 461 | $61,378 | dollars as filed | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 131 | $61,326 | dollars as filed | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 519 | $61,294 | dollars as filed | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 353 | $60,261 | dollars as filed | |
| EXXON MOBIL CORP | 30231G102 | COM | 590 | $58,988 | dollars as filed | |
| WILLIAMS COS INC COM | 969457100 | Stock | 1,648 | $57,400 | dollars as filed | |
| Chevron Corporation | 166764100 | COM | 380 | $56,681 | dollars as filed | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 718 | $55,236 | dollars as filed | |
| DOW HLDGS INC COM | 260557103 | Stock | 991 | $54,346 | dollars as filed | |
| ONEOK INC NEW | 682680103 | COM | 773 | $54,280 | dollars as filed | |
| ConocoPhillips | 20825C104 | COM | 456 | $52,928 | dollars as filed | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,216 | $51,765 | dollars as filed | |
| EQUINIX INC COM | 29444U700 | REIT | 64 | $51,545 | dollars as filed | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 165 | $51,464 | dollars as filed | |
| Union Pacific Corporation | 907818108 | COM | 202 | $49,615 | dollars as filed | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 825 | $49,261 | dollars as filed | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 188 | $48,818 | dollars as filed | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 2,725 | $48,069 | dollars as filed | |
| Waste Management, Inc. | 94106L109 | COM | 266 | $47,641 | dollars as filed | |
| ECOLAB INC COM | 278865100 | Stock | 239 | $47,406 | dollars as filed | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 287 | $47,329 | dollars as filed | |
| WELLTOWER INC COM | 95040Q104 | REIT | 524 | $47,249 | dollars as filed | |
| CANADIANNATLRYCOF | 136375102 | STOK | 375 | $47,111 | dollars as filed | |
| CANADIAN PACIFIC KANSAS CITY COM | 13646K108 | Stock | 594 | $46,962 | dollars as filed | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 1,350 | $46,467 | dollars as filed | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 343 | $46,161 | dollars as filed | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 633 | $46,025 | dollars as filed | |
| Caterpillar Inc. | 149123101 | COM | 155 | $45,829 | dollars as filed | |
| Duke Energy Corporation | 26441C204 | COM | 472 | $45,803 | dollars as filed | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 306 | $45,677 | dollars as filed | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,295 | $45,027 | dollars as filed | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 3,238 | $44,684 | dollars as filed | |
| SEMPRA COM | 816851109 | Stock | 595 | $44,464 | dollars as filed | |
| FORTIS INC | 349553107 | COM | 1,075 | $44,215 | dollars as filed | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 1,204 | $44,211 | dollars as filed | |
| Southern Company | 842587107 | COM | 625 | $43,825 | dollars as filed | |
| TARGA RES CORP COM | 87612G101 | Stock | 499 | $43,348 | dollars as filed | |
| Deere & Company | 244199105 | COM | 108 | $43,186 | dollars as filed | |
| CSX Corporation | 126408103 | COM | 1,234 | $42,783 | dollars as filed | |
| EMERSON ELEC CO COM | 291011104 | Stock | 438 | $42,631 | dollars as filed | |
| EOG RES INC COM | 26875P101 | Stock | 349 | $42,212 | dollars as filed | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 2,643 | $42,156 | dollars as filed | |
| Lockheed Martin Corporation | 539830109 | COM | 93 | $42,151 | dollars as filed | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 138 | $42,090 | dollars as filed | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 1,335 | $42,039 | dollars as filed | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 1,584 | $41,738 | dollars as filed | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 1,926 | $41,409 | dollars as filed | |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,132 | $40,775 | dollars as filed | |
| American Tower Corporation | 03027X100 | COM | 176 | $37,995 | dollars as filed | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 156 | $36,875 | dollars as filed | |
| TC ENERGY CORP | 87807B107 | COM | 917 | $35,846 | dollars as filed | |
| Schlumberger Limited | 806857108 | COM | 636 | $33,097 | dollars as filed | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 253 | $29,143 | dollars as filed | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 80 | $80 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001162044-24-000159 | superseded | 2024-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001162044-24-000164 | this filing | 2024-02-14 | acceptance time not in the bulk data set |