13F-HR filed by Round Rock Advisors LLC
Round Rock Advisors LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-10-16, with 141 holding rows worth $263,554,876.
- Accession
- 0001951757-23-000576
- Filer
- CIK 1846991
- Filed
- 2023-10-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 141 entries on the cover page, a total value of $263,554,876 stated on the cover page (in dollars after the unit check, H1), rows summing to $263,554,876 with VALUE read as dollars as filed, 13F file number 028-21052. 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 High Dividend Yield ETF | 921946406 | SHS | 263,153 | $27,188,950 | dollars as filed | |
| INVESCO QQQ TR | 46090E103 | COM | 72,787 | $26,077,276 | dollars as filed | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 91,529 | $19,060,050 | dollars as filed | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 191,578 | $18,071,508 | dollars as filed | |
| VANECK ETF TRUST | 92189F676 | COM | 88,308 | $12,802,960 | dollars as filed | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 94,959 | $9,626,969 | dollars as filed | |
| ISHARES TR | 464287168 | COM | 83,856 | $9,026,212 | dollars as filed | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 68,193 | $8,779,222 | dollars as filed | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 59,361 | $8,410,927 | dollars as filed | |
| Apple Inc | 037833100 | COM | 45,857 | $7,851,148 | dollars as filed | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 38,986 | $6,390,939 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 114,406 | $5,740,868 | dollars as filed | |
| SPY | 78462F103 | SHS | 9,772 | $4,177,127 | dollars as filed | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 57,240 | $4,143,000 | dollars as filed | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 46,173 | $3,469,924 | dollars as filed | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 71,121 | $2,970,743 | dollars as filed | |
| JPMORGAN EQUITY PREMIUM INCOME ETF | 46641Q332 | ETF | 53,887 | $2,886,190 | dollars as filed | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 55,183 | $2,609,045 | dollars as filed | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 30,694 | $2,100,100 | dollars as filed | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 31,235 | $2,037,148 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138G649 | COM | 13,745 | $2,026,197 | dollars as filed | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,814 | $1,976,969 | dollars as filed | |
| ITT INC COM | 45073V108 | Stock | 20,079 | $1,965,904 | dollars as filed | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 12,161 | $1,889,586 | dollars as filed | |
| International Business Machines Corporation | 459200101 | COM | 13,060 | $1,832,334 | dollars as filed | |
| VGT | 92204A702 | SHS | 4,155 | $1,723,910 | dollars as filed | |
| PepsiCo,Inc. | 713448108 | COM | 9,636 | $1,632,669 | dollars as filed | |
| Home Depot, Inc | 437076102 | COM | 5,315 | $1,606,005 | dollars as filed | |
| IJH | 464287507 | COM | 6,067 | $1,512,806 | dollars as filed | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 7,336 | $1,435,504 | dollars as filed | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 5,354 | $1,424,053 | dollars as filed | |
| Vanguard Value ETF | 922908744 | SHS | 10,286 | $1,418,786 | dollars as filed | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 3,137 | $1,347,179 | dollars as filed | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 18,746 | $1,337,172 | dollars as filed | |
| SCHD | 808524797 | COM | 18,370 | $1,299,895 | dollars as filed | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 47,300 | $1,294,601 | dollars as filed | |
| JPMorgan Chase & Co | 46625H100 | COM | 8,925 | $1,294,308 | dollars as filed | |
| Tesla Motors, Inc | 88160R101 | COM | 5,104 | $1,277,123 | dollars as filed | |
| Pfizer Inc. | 717081103 | COM | 36,261 | $1,202,770 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 20,080 | $1,180,532 | dollars as filed | |
| Merck & Co.,Inc. | 58933Y105 | COM | 10,684 | $1,099,934 | dollars as filed | |
| Johnson & Johnson | 478160104 | COM | 7,018 | $1,093,054 | dollars as filed | |
| Microsoft Corp | 594918104 | COM | 3,378 | $1,066,528 | dollars as filed | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 5,404 | $1,021,821 | dollars as filed | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 5,036 | $987,178 | dollars as filed | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 115,984 | $962,667 | dollars as filed | |
| VTI | 922908769 | COM | 4,467 | $948,804 | dollars as filed | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 33,209 | $936,494 | dollars as filed | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 4,147 | $888,198 | dollars as filed | |
| CAPITAL GROUP INTL FOCUS EQT | 14019W109 | SHS CREAT UNIT | 39,961 | $868,752 | dollars as filed | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,590 | $867,470 | dollars as filed | |
| Micron Technology,Inc. | 595112103 | COM | 12,728 | $865,886 | dollars as filed | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 28,669 | $860,919 | dollars as filed | |
| Berkshire Hathaway Inc | 084670702 | COM | 2,448 | $857,534 | dollars as filed | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 9,231 | $830,531 | dollars as filed | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 5,190 | $827,753 | dollars as filed | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 6,170 | $807,401 | dollars as filed | |
| Raytheon Technologies Corporation | 75513E101 | COM | 11,121 | $800,378 | dollars as filed | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 10,725 | $800,318 | dollars as filed | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 10,397 | $789,967 | dollars as filed | |
| Vanguard Growth | 922908736 | COM | 2,896 | $788,610 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46654Q203 | NASDAQ EQT PREM | 16,302 | $765,041 | dollars as filed | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 18,147 | $744,574 | dollars as filed | |
| AMPHENOL CORP NEW | 032095101 | COM | 8,517 | $715,370 | dollars as filed | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,881 | $685,894 | dollars as filed | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 15,547 | $679,723 | dollars as filed | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 14,900 | $677,205 | dollars as filed | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 7,336 | $662,431 | dollars as filed | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 51,233 | $660,906 | dollars as filed | |
| Chevron Corporation | 166764100 | COM | 3,729 | $628,784 | dollars as filed | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 9,656 | $621,364 | dollars as filed | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,358 | $620,133 | dollars as filed | |
| Deere & Company | 244199105 | COM | 1,627 | $613,997 | dollars as filed | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 3,957 | $608,705 | dollars as filed | |
| Amazon.com, Inc | 023135106 | COM | 4,776 | $607,125 | dollars as filed | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 6,385 | $583,272 | dollars as filed | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 13,203 | $575,134 | dollars as filed | |
| 3M CO COM | 88579Y101 | Stock | 6,013 | $562,910 | dollars as filed | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 16,549 | $556,879 | dollars as filed | |
| ARISTA NETWORKS INC | 040413106 | COM | 3,020 | $555,469 | dollars as filed | |
| Procter & Gamble Co | 742718109 | COM | 3,625 | $528,743 | dollars as filed | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 1,922 | $519,024 | dollars as filed | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 4,431 | $509,645 | dollars as filed | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 75,971 | $493,049 | dollars as filed | |
| Coca-Cola Company | 191216100 | COM | 8,788 | $491,958 | dollars as filed | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 4,795 | $480,171 | dollars as filed | |
| MATTHEWS ASIA FDS | 577125818 | EMER MKTS EQUITY | 17,409 | $457,683 | dollars as filed | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,432 | $452,509 | dollars as filed | |
| NVIDIA Corp | 67066G104 | COM | 980 | $426,304 | dollars as filed | |
| Netflix, Inc | 64110L106 | COM | 1,127 | $425,555 | dollars as filed | |
| XYLEM INC COM | 98419M100 | Stock | 4,485 | $408,248 | dollars as filed | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 43,431 | $400,000 | dollars as filed | |
| PIMCO ETF TR | 72201R643 | ENHANCD SHORT | 4,020 | $394,442 | dollars as filed | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 6,798 | $384,616 | dollars as filed | |
| FIDELITY COMWLTH TR | 315912808 | COM | 7,395 | $384,466 | dollars as filed | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 460 | $378,562 | dollars as filed | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 76,634 | $375,507 | dollars as filed | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 740 | $374,566 | dollars as filed | |
| BANCROFT FUND LIMITED | 059695106 | COM | 23,653 | $373,008 | dollars as filed | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,958 | $369,573 | dollars as filed | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 3,585 | $365,168 | dollars as filed | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 7,210 | $363,240 | dollars as filed | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 31,597 | $357,362 | dollars as filed | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 20,677 | $354,817 | dollars as filed | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,167 | $350,344 | dollars as filed | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 6,666 | $336,233 | dollars as filed | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 6,907 | $332,227 | dollars as filed | |
| Union Pacific Corporation | 907818108 | COM | 1,624 | $330,695 | dollars as filed | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 29,498 | $324,183 | dollars as filed | |
| AT&T Inc | 00206R102 | COM | 21,576 | $324,070 | dollars as filed | |
| BLACKSTONE INC | 09260D107 | COM | 3,000 | $321,420 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 9,690 | $314,053 | dollars as filed | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 2,309 | $302,387 | dollars as filed | |
| Oracle Corporation | 68389X105 | COM | 2,813 | $297,953 | dollars as filed | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,259 | $295,991 | dollars as filed | |
| Southern Company | 842587107 | COM | 4,446 | $287,729 | dollars as filed | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 6,645 | $283,409 | dollars as filed | |
| ISHARES TR | 464287457 | COM | 3,449 | $279,232 | dollars as filed | |
| Walmart Inc. | 931142103 | COM | 1,553 | $248,371 | dollars as filed | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 9,189 | $247,276 | dollars as filed | |
| WP CAREY INC COM | 92936U109 | REIT | 4,572 | $247,254 | dollars as filed | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 2,669 | $245,628 | dollars as filed | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 4,664 | $230,999 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 983 | $230,454 | dollars as filed | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 22,093 | $227,779 | dollars as filed | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 49,393 | $227,702 | dollars as filed | |
| PIMCO DYNAMIC INCOME OPRNTS | 69355M107 | COM BEN SHS | 18,945 | $225,067 | dollars as filed | |
| VANGUARD STAR FDS | 921909768 | COM | 3,963 | $212,100 | dollars as filed | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,412 | $212,048 | dollars as filed | |
| ISHARES TR | 46435G516 | COM | 3,041 | $210,224 | dollars as filed | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 6,271 | $208,019 | dollars as filed | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 1,049 | $206,096 | dollars as filed | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 1,970 | $202,004 | dollars as filed | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,805 | $185,630 | dollars as filed | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 11,682 | $100,816 | dollars as filed | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 13,391 | $91,462 | dollars as filed | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 12,030 | $59,308 | dollars as filed | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 12,000 | $40,200 | dollars as filed | |
| QUANTUM SI INC | 74765K105 | COM CL A | 21,885 | $36,329 | dollars as filed | |
| EMX RTY CORP | 26873J107 | COM | 10,000 | $17,800 | dollars as filed | |
| PRESIDIO PPTY TR INC | 74102L113 | *W EXP 01/24/202 | 13,110 | $446 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001951757-23-000576 | this filing | 2023-10-16 | acceptance time not in the bulk data set |