13F-HR filed by Round Rock Advisors LLC
Round Rock Advisors LLC filed this 13F-HR for the quarter ended 2023-12-31, filed 2024-01-29, with 184 holding rows worth $397,167,790.
- Accession
- 0001951757-24-000139
- Filer
- CIK 1846991
- Filed
- 2024-01-29
- 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, 184 entries on the cover page, a total value of $397,167,790 stated on the cover page (in dollars after the unit check, H1), rows summing to $397,167,790 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 |
|---|---|---|---|---|---|---|
| INVESCO QQQ TR | 46090E103 | COM | 70,697 | $28,952,020 | dollars as filed | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 258,910 | $28,902,097 | dollars as filed | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 90,775 | $21,117,966 | dollars as filed | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 191,129 | $20,689,753 | dollars as filed | |
| Apple Inc | 037833100 | COM | 100,031 | $19,259,017 | dollars as filed | |
| Microsoft Corp | 594918104 | COM | 39,545 | $14,870,434 | dollars as filed | |
| VANECK ETF TRUST | 92189F676 | COM | 85,017 | $14,867,008 | dollars as filed | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 20 | $10,852,501 | dollars as filed | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 93,318 | $10,637,301 | dollars as filed | |
| ISHARES TR | 464287168 | COM | 80,715 | $9,461,453 | dollars as filed | |
| INVESCO EXCHANGE-TRADED FD TR S&P 500 EQUAL WEIGHT ETF | 46137V357 | COM | 58,657 | $9,256,075 | dollars as filed | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 67,490 | $9,204,253 | dollars as filed | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 53,727 | $7,571,747 | dollars as filed | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 37,655 | $7,247,894 | dollars as filed | |
| UnitedHealth Group Inc | 91324P102 | COM | 11,914 | $6,272,364 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 122,512 | $6,153,761 | dollars as filed | |
| SPY | 78462F103 | SHS | 9,942 | $4,725,360 | dollars as filed | |
| Amazon.com, Inc | 023135106 | COM | 31,086 | $4,723,247 | dollars as filed | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 55,935 | $4,364,643 | dollars as filed | |
| Elevance Health, Inc. | 036752103 | COM | 8,574 | $4,043,155 | dollars as filed | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 76,247 | $3,997,647 | dollars as filed | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 14,420 | $3,948,196 | dollars as filed | |
| AbbVie,Inc. | 00287Y109 | COM | 23,558 | $3,650,783 | dollars as filed | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 27,306 | $3,506,910 | dollars as filed | |
| Honeywell Technologies | 438516106 | COM | 16,137 | $3,384,090 | dollars as filed | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 42,370 | $3,278,132 | dollars as filed | |
| Chevron Corporation | 166764100 | COM | 21,667 | $3,231,850 | dollars as filed | |
| CVS Health Corporation | 126650100 | COM | 40,390 | $3,189,194 | dollars as filed | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 123,370 | $3,054,641 | dollars as filed | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 12,177 | $2,943,790 | dollars as filed | |
| JPMORGAN EQUITY PREMIUM INCOME ETF | 46641Q332 | ETF | 51,939 | $2,855,629 | dollars as filed | |
| iShares iBonds Dec 2026 Term Corporate ETF | 46435GAA0 | SHS | 104,832 | $2,505,485 | dollars as filed | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 51,333 | $2,437,805 | dollars as filed | |
| ITT INC COM | 45073V108 | Stock | 20,183 | $2,408,237 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138G649 | COM | 14,004 | $2,360,293 | dollars as filed | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 30,922 | $2,322,232 | dollars as filed | |
| WILLIAMS COS INC COM | 969457100 | Stock | 66,024 | $2,299,616 | dollars as filed | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 16,840 | $2,208,061 | dollars as filed | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 31,449 | $2,180,688 | dollars as filed | |
| International Business Machines Corporation | 459200101 | COM | 13,201 | $2,159,062 | dollars as filed | |
| Chubb Limited | H1467J104 | COM | 9,315 | $2,105,190 | dollars as filed | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 12,261 | $2,089,331 | dollars as filed | |
| VGT | 92204A702 | SHS | 4,143 | $2,005,212 | dollars as filed | |
| Comcast Corp | 20030N101 | COM | 43,869 | $1,923,656 | dollars as filed | |
| Home Depot, Inc | 437076102 | COM | 5,333 | $1,848,179 | dollars as filed | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 7,480 | $1,718,006 | dollars as filed | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,850 | $1,684,710 | dollars as filed | |
| IJH | 464287507 | COM | 6,001 | $1,663,177 | dollars as filed | |
| PepsiCo,Inc. | 713448108 | COM | 9,636 | $1,636,523 | dollars as filed | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 5,334 | $1,617,188 | dollars as filed | |
| CAESARS ENTERTAINMENT INC NE | 12769G100 | COM | 33,819 | $1,585,435 | dollars as filed | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 7,230 | $1,577,224 | dollars as filed | |
| Vanguard International Dividend Appreciation ETF | 921946810 | SHS | 19,550 | $1,551,104 | dollars as filed | |
| Vanguard Value ETF | 922908744 | SHS | 10,289 | $1,538,166 | dollars as filed | |
| JPMorgan Chase & Co | 46625H100 | COM | 8,930 | $1,518,913 | dollars as filed | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 10,745 | $1,500,971 | dollars as filed | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 3,090 | $1,475,732 | dollars as filed | |
| Tesla Motors, Inc | 88160R101 | COM | 5,109 | $1,269,484 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 20,083 | $1,258,377 | dollars as filed | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 44,800 | $1,180,480 | dollars as filed | |
| Merck & Co.,Inc. | 58933Y105 | COM | 10,817 | $1,179,294 | dollars as filed | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 3,116 | $1,174,270 | dollars as filed | |
| Johnson & Johnson | 478160104 | COM | 7,054 | $1,105,644 | dollars as filed | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 4,842 | $1,088,534 | dollars as filed | |
| Micron Technology,Inc. | 595112103 | COM | 12,728 | $1,086,208 | dollars as filed | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,026 | $1,079,253 | dollars as filed | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 13,416 | $1,078,781 | dollars as filed | |
| VTI | 922908769 | COM | 4,471 | $1,060,522 | dollars as filed | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 4,888 | $1,042,679 | dollars as filed | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 31,955 | $1,027,992 | dollars as filed | |
| Vanguard Small-Cap Growth ETF | 922908595 | SHS | 4,147 | $1,002,613 | dollars as filed | |
| Citigroup Inc. | 172967424 | COM | 19,473 | $1,001,691 | dollars as filed | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 5,355 | $963,739 | dollars as filed | |
| CAPITAL GROUP INTL FOCUS EQT | 14019W109 | SHS CREAT UNIT | 39,964 | $953,948 | dollars as filed | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 110,318 | $939,909 | dollars as filed | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 10,725 | $904,460 | dollars as filed | |
| Vanguard Growth | 922908736 | COM | 2,896 | $900,308 | dollars as filed | |
| Raytheon Technologies Corporation | 75513E101 | COM | 10,326 | $868,830 | dollars as filed | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 8,615 | $865,844 | dollars as filed | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 10,515 | $854,666 | dollars as filed | |
| AMPHENOL CORP NEW | 032095101 | COM | 8,518 | $844,372 | dollars as filed | |
| BROOKFIELD CORP CL A LTD VT SH | 11271J107 | Stock | 20,475 | $821,457 | dollars as filed | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 8,358 | $820,981 | dollars as filed | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 14,900 | $817,265 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46654Q203 | NASDAQ EQT PREM | 16,351 | $816,426 | dollars as filed | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 10,211 | $781,141 | dollars as filed | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 18,257 | $770,804 | dollars as filed | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 2,020 | $767,257 | dollars as filed | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 15,555 | $745,095 | dollars as filed | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 6,915 | $722,321 | dollars as filed | |
| Pfizer Inc. | 717081103 | COM | 24,863 | $715,800 | dollars as filed | |
| ARISTA NETWORKS INC | 040413106 | COM | 3,020 | $711,240 | dollars as filed | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 13,852 | $702,835 | dollars as filed | |
| iShares Russell 2000 ETF | 464287655 | SHS | 3,454 | $693,207 | dollars as filed | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 1,358 | $688,817 | dollars as filed | |
| AMEREN CORP COM | 023608102 | Stock | 9,500 | $687,230 | dollars as filed | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 3,885 | $680,730 | dollars as filed | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 9,656 | $679,300 | dollars as filed | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 20,133 | $657,558 | dollars as filed | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 5,147 | $643,259 | dollars as filed | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 16,397 | $623,241 | dollars as filed | |
| MATTHEWS ASIA FDS | 577125818 | EMER MKTS EQUITY | 20,654 | $583,856 | dollars as filed | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 2,549 | $574,715 | dollars as filed | |
| Netflix, Inc | 64110L106 | COM | 1,143 | $556,504 | dollars as filed | |
| 3M CO COM | 88579Y101 | Stock | 4,953 | $541,418 | dollars as filed | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 13,400 | $538,814 | dollars as filed | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 9,722 | $537,432 | dollars as filed | |
| Procter & Gamble Co | 742718109 | COM | 3,659 | $536,190 | dollars as filed | |
| NVIDIA Corp | 67066G104 | COM | 1,064 | $526,929 | dollars as filed | |
| Coca-Cola Company | 191216100 | COM | 8,907 | $524,902 | dollars as filed | |
| XYLEM INC COM | 98419M100 | Stock | 4,495 | $514,005 | dollars as filed | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 34,233 | $506,306 | dollars as filed | |
| SCHD | 808524797 | COM | 6,564 | $499,730 | dollars as filed | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 4,600 | $498,686 | dollars as filed | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 1,732 | $495,858 | dollars as filed | |
| Deere & Company | 244199105 | COM | 1,227 | $490,640 | dollars as filed | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 5,752 | $442,501 | dollars as filed | |
| FIDELITY COMWLTH TR | 315912808 | COM | 7,395 | $438,080 | dollars as filed | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 4,375 | $436,581 | dollars as filed | |
| PIMCO ETF TR | 72201R643 | ENHANCD SHORT | 4,372 | $428,128 | dollars as filed | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 6,560 | $426,448 | dollars as filed | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 1,692 | $424,184 | dollars as filed | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 6,900 | $423,729 | dollars as filed | |
| iShares iBonds Dec. 2027 Corporate Bond ETF | 46435UAA9 | ETF | 17,318 | $414,420 | dollars as filed | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 20,527 | $413,824 | dollars as filed | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 460 | $404,013 | dollars as filed | |
| Union Pacific Corporation | 907818108 | COM | 1,622 | $398,396 | dollars as filed | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 8,573 | $394,700 | dollars as filed | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 741 | $393,315 | dollars as filed | |
| BLACKSTONE INC | 09260D107 | COM | 3,000 | $392,760 | dollars as filed | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,080 | $382,279 | dollars as filed | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 76,634 | $380,871 | dollars as filed | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,858 | $373,426 | dollars as filed | |
| TRAVEL PLUS LEISURE CO COM | 894164102 | Stock | 9,360 | $365,882 | dollars as filed | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 7,210 | $363,096 | dollars as filed | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 3,500 | $353,395 | dollars as filed | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 6,907 | $352,602 | dollars as filed | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 33,431 | $346,011 | dollars as filed | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 6,645 | $345,872 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 9,153 | $345,085 | dollars as filed | |
| Boeing Company | 097023105 | COM | 1,300 | $338,858 | dollars as filed | |
| AT&T Inc | 00206R102 | COM | 20,163 | $338,339 | dollars as filed | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 2,309 | $334,828 | dollars as filed | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 29,498 | $333,917 | dollars as filed | |
| DOW HLDGS INC COM | 260557103 | Stock | 6,073 | $333,043 | dollars as filed | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 4,300 | $312,653 | dollars as filed | |
| WP CAREY INC COM | 92936U109 | REIT | 4,814 | $311,995 | dollars as filed | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 12,475 | $310,752 | dollars as filed | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 800 | $308,616 | dollars as filed | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 43,819 | $304,545 | dollars as filed | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 3,880 | $302,252 | dollars as filed | |
| Oracle Corporation | 68389X105 | COM | 2,778 | $292,885 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 982 | $289,573 | dollars as filed | |
| Southern Company | 842587107 | COM | 4,121 | $288,947 | dollars as filed | |
| American Express Company | 025816109 | COM | 1,534 | $287,380 | dollars as filed | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 6,295 | $285,163 | dollars as filed | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 8,639 | $267,895 | dollars as filed | |
| CORTEVA INC COM | 22052L104 | Stock | 5,558 | $266,339 | dollars as filed | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 22,397 | $261,597 | dollars as filed | |
| BANCROFT FUND LIMITED | 059695106 | COM | 16,115 | $257,518 | dollars as filed | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 49,446 | $252,173 | dollars as filed | |
| Walmart Inc. | 931142103 | COM | 1,553 | $244,830 | dollars as filed | |
| General Electric Company | 369604301 | COM | 1,875 | $239,306 | dollars as filed | |
| Gilead Sciences,Inc. | 375558103 | COM | 2,950 | $238,979 | dollars as filed | |
| Walt Disney Co | 254687106 | COM | 2,610 | $235,657 | dollars as filed | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 1,900 | $231,230 | dollars as filed | |
| ISHARES TR | 46435G516 | COM | 3,041 | $229,717 | dollars as filed | |
| VANGUARD STAR FDS | 921909768 | COM | 3,963 | $229,695 | dollars as filed | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,564 | $228,940 | dollars as filed | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,414 | $223,132 | dollars as filed | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 720 | $219,276 | dollars as filed | |
| Vanguard ESG U.S. Corporate Bond ETF | 921910691 | SHS | 3,408 | $215,999 | dollars as filed | |
| Starbucks Corporation | 855244109 | COM | 2,227 | $213,799 | dollars as filed | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 17,356 | $206,710 | dollars as filed | |
| Vanguard Real Estate | 922908553 | SHS | 2,307 | $203,847 | dollars as filed | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,805 | $202,270 | dollars as filed | |
| Costco Wholesale Corporation | 22160K105 | COM | 305 | $201,511 | dollars as filed | |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 2,355 | $200,316 | dollars as filed | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,900 | $129,274 | dollars as filed | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 16,214 | $82,206 | dollars as filed | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 12,030 | $63,639 | dollars as filed | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 12,000 | $42,840 | dollars as filed | |
| QUANTUM SI INC | 74765K105 | COM CL A | 13,935 | $28,010 | dollars as filed | |
| PRESIDIO PPTY TR INC | 74102L113 | *W EXP 01/24/202 | 13,110 | $787 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001951757-24-000139 | this filing | 2024-01-29 | acceptance time not in the bulk data set |