0001162044-24-000402.txt : 20240423 0001162044-24-000402.hdr.sgml : 20240423 20240423163011 ACCESSION NUMBER: 0001162044-24-000402 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20240331 FILED AS OF DATE: 20240423 DATE AS OF CHANGE: 20240423 EFFECTIVENESS DATE: 20240423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RATIONAL ADVISORS LLC CENTRAL INDEX KEY: 0001143565 ORGANIZATION NAME: IRS NUMBER: 311759224 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16191 FILM NUMBER: 24865188 BUSINESS ADDRESS: STREET 1: 36 N. NEW YORK AVENUE CITY: HUNTINGTON STATE: NY ZIP: 11743 BUSINESS PHONE: 631-629-4907 MAIL ADDRESS: STREET 1: 36 N. NEW YORK AVENUE CITY: HUNTINGTON STATE: NY ZIP: 11743 FORMER COMPANY: FORMER CONFORMED NAME: HUNTINGTON ASSET ADVISORS, INC. DATE OF NAME CHANGE: 20100617 FORMER COMPANY: FORMER CONFORMED NAME: HUNTINGTON ASSET ADVISORS INC DATE OF NAME CHANGE: 20010621 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001143565 XXXXXXXX 03-31-2024 03-31-2024 false RATIONAL ADVISORS LLC

36 N. New York Avenue Huntington NY 11743

13F HOLDINGS REPORT 028-16191 000111452 N Robert Glass 631-629-4907 Robert Glass Huntington NY 04-18-2024 0 227 1078660544 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 49897 439 SH OTR 0 439 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 60657 175 SH OTR 0 175 0 ADOBE INC COM 00724F101 82250 163 SH OTR 0 163 0 ADVANCED MICRO DEVICES INC COM 007903107 85191 472 SH OTR 0 472 0 AIR PRODS & CHEMS INC COM 009158106 43851 181 SH OTR 0 181 0 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 47568 369 SH OTR 0 369 0 ALLIANT ENERGY CORP NOTE 3.875% 3/1 018802AC2 4179875 4250000 SH OTR 0 4250000 0 ALPHABET INC CAP STK CL A 02079K305 2437520 16150 SH OTR 0 16150 0 ALPHABET INC CAP STK CL A 02079K305 655489 4343 SH OTR 0 4343 0 ALPHABET INC CAP STK CL C 02079K107 653348 4291 SH OTR 0 4291 0 ALPS ETF TR ALERIAN MLP 00162Q452 65064148 1370926 SH SOLE 1370926 0 0 ALTRIA GROUP INC COM 02209S103 541760 12420 SH OTR 0 12420 0 AMAZON COM INC COM 023135106 11453228 63495 SH OTR 0 63495 0 AMAZON COM INC COM 023135106 1167419 6472 SH OTR 0 6472 0 AMERICAN ELEC PWR CO INC COM 025537101 46322 538 SH OTR 0 538 0 AMERICAN TOWER CORP NEW COM 03027X100 34776 176 SH OTR 0 176 0 AMERICAN WTR WKS CO INC NEW COM 030420103 37641 308 SH OTR 0 308 0 AMGEN INC COM 031162100 438706 1543 SH OTR 0 1543 0 APOLLO GLOBAL MGMT INC COM 03769M106 3339765 29700 SH OTR 0 29700 0 APOLLO GLOBAL MGMT INC SER A MAND CNV 03769M304 6349500 99600 SH OTR 0 99600 0 APPLE INC COM 037833100 1406650 8203 SH OTR 0 8203 0 APPLIED MATLS INC COM 038222105 419884 2036 SH OTR 0 2036 0 ARISTA NETWORKS INC COM 040413106 840942 2900 SH OTR 0 2900 0 AT&T INC COM 00206R102 76032 4320 SH OTR 0 4320 0 ATLANTICA SUSTAINABLE INFR P SHS G0751N103 35592 1926 SH OTR 0 1926 0 BANK AMERICA CORP COM 060505104 136398 3597 SH OTR 0 3597 0 BANK AMERICA CORP 7.25%CNV PFD L 060505682 5906626 4948 SH OTR 0 4948 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1644654 3911 SH OTR 0 3911 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1268880 2 SH OTR 0 2 0 BIOMARIN PHARMACEUTICAL INC NOTE 1.250% 5/1 09061GAK7 2458846 2493000 SH OTR 0 2493000 0 BLACKROCK INC COM 09247X101 61694 74 SH OTR 0 74 0 BLACKSTONE INC COM 09260D107 3363072 25600 SH OTR 0 25600 0 BOEING CO COM 097023105 71213 369 SH OTR 0 369 0 BOOKING HOLDINGS INC COM 09857L108 76185 21 SH OTR 0 21 0 BOOKING HOLDINGS INC COM 09857L108 4353456 1200 SH OTR 0 1200 0 BOSTON SCIENTIFIC CORP COM 101137107 1965663 28700 SH OTR 0 28700 0 BROADCOM INC COM 11135F101 728976 550 SH OTR 0 550 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 41665 1335 SH OTR 0 1335 0 BUILDERS FIRSTSOURCE INC COM 12008R107 1765376 8465 SH OTR 0 8465 0 CANADIAN NATL RY CO COM 136375102 49391 375 SH OTR 0 375 0 CANADIAN PACIFIC KANSAS CITY COM 13646K108 52373 594 SH OTR 0 594 0 CARMAX INC COM 143130102 888522 10200 SH OTR 0 10200 0 CATERPILLAR INC COM 149123101 56797 155 SH OTR 0 155 0 CHEGG INC NOTE 9/0 163092AF6 1712453 2057000 SH OTR 0 2057000 0 CHENIERE ENERGY INC COM NEW 16411R208 56932 353 SH OTR 0 353 0 CHEVRON CORP NEW COM 166764100 39750 252 SH OTR 0 252 0 CISCO SYS INC COM 17275R102 662156 13267 SH OTR 0 13267 0 CITIGROUP INC COM NEW 172967424 61216 968 SH OTR 0 968 0 CME GROUP INC COM 12572Q105 49086 228 SH OTR 0 228 0 COCA COLA CO COM 191216100 51758 846 SH OTR 0 846 0 COMCAST CORP NEW CL A 20030N101 114097 2632 SH OTR 0 2632 0 CONOCOPHILLIPS COM 20825C104 58040 456 SH OTR 0 456 0 CONSTELLATION ENERGY CORP COM 21037T109 154904 838 SH OTR 0 838 0 COSTCO WHSL CORP NEW COM 22160K105 2709998 3699 SH OTR 0 3699 0 COSTCO WHSL CORP NEW COM 22160K105 121617 166 SH OTR 0 166 0 CROWN CASTLE INC COM 22822V101 26775 253 SH OTR 0 253 0 CSX CORP COM 126408103 45744 1234 SH OTR 0 1234 0 CVS HEALTH CORP COM 126650100 60697 761 SH OTR 0 761 0 CYBERARK SOFTWARE LTD SHS M2682V108 1965662 7400 SH OTR 0 7400 0 D R HORTON INC COM 23331A109 1283490 7800 SH OTR 0 7800 0 DBX ETF TR XTRACK USD HIGH 233051432 36702452 1027792 SH SOLE 1027792 0 0 DEERE & CO COM 244199105 44360 108 SH OTR 0 108 0 DELTA AIR LINES INC DEL COM NEW 247361702 124414 2599 SH OTR 0 2599 0 DEXCOM INC NOTE 0.250%11/1 252131AK3 6069900 5530000 SH OTR 0 5530000 0 DIGITAL RLTY TR INC COM 253868103 49406 343 SH OTR 0 343 0 DIMENSIONAL ETF TRUST CORE FIXED INCOM 25434V872 26184771 624190 SH SOLE 624190 0 0 DISNEY WALT CO COM 254687106 117466 960 SH OTR 0 960 0 DOW INC COM 260557103 57409 991 SH OTR 0 991 0 DRAFTKINGS INC NEW COM CL A 26142V105 2815420 62000 SH OTR 0 62000 0 DRAFTKINGS INC NEW NOTE 3/1 26142RAB0 4329750 5020000 SH OTR 0 5020000 0 DUKE ENERGY CORP NEW COM NEW 26441C204 45647 472 SH OTR 0 472 0 DUPONT DE NEMOURS INC COM 26614N102 55049 718 SH OTR 0 718 0 EATON CORP PLC SHS G29183103 62536 200 SH OTR 0 200 0 EBAY INC. COM 278642103 309080 5856 SH OTR 0 5856 0 ECOLAB INC COM 278865100 55185 239 SH OTR 0 239 0 ELI LILLY & CO COM 532457108 2917350 3750 SH OTR 0 3750 0 EMERSON ELEC CO COM 291011104 49678 438 SH OTR 0 438 0 ENBRIDGE INC COM 29250N105 40956 1132 SH OTR 0 1132 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 50934 3238 SH OTR 0 3238 0 ENTERPRISE PRODS PARTNERS L COM 293792107 46221 1584 SH OTR 0 1584 0 EOG RES INC COM 26875P101 44616 349 SH OTR 0 349 0 EQUINIX INC COM 29444U700 52821 64 SH OTR 0 64 0 ETSY INC NOTE 0.250% 6/1 29786AAN6 4095000 5200000 SH OTR 0 5200000 0 EURONET WORLDWIDE INC NOTE 0.750% 3/1 298736AL3 5216810 5380928 SH OTR 0 5380928 0 EXPEDIA GROUP INC NOTE 2/1 30212PBE4 3587295 3895000 SH OTR 0 3895000 0 EXXON MOBIL CORP COM 30231G102 48007 413 SH OTR 0 413 0 EXXON MOBIL CORP COM 30231G102 2138816 18400 SH OTR 0 18400 0 FERRARI N V COM N3167Y103 435940 1000 SH OTR 0 1000 0 FIDELITY COVINGTON TRUST VLU FACTOR ETF 316092782 1220471 21393 SH OTR 0 21393 0 FIDELITY COVINGTON 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478160104 83050 525 SH OTR 0 525 0 JPMORGAN CHASE & CO COM 46625H100 300851 1502 SH OTR 0 1502 0 KBR INC COM 48242W106 3087510 48500 SH OTR 0 48500 0 KINDER MORGAN INC DEL COM 49456B101 49977 2725 SH OTR 0 2725 0 KKR & CO INC COM 48251W104 3208502 31900 SH OTR 0 31900 0 KKR & CO INC COM 48251W104 1448352 14400 SH OTR 0 14400 0 LAM RESEARCH CORP COM 512807108 390571 402 SH OTR 0 402 0 LENNAR CORP CL A 526057104 1053378 6125 SH OTR 0 6125 0 LINDE PLC SHS G54950103 51075 110 SH OTR 0 110 0 LINDE PLC SHS G54950103 58040 125 SH OTR 0 125 0 LIVE NATION ENTERTAINMENT IN COM 538034109 3580315 33850 SH OTR 0 33850 0 LOCKHEED MARTIN CORP COM 539830109 42303 93 SH OTR 0 93 0 LOWES COS INC COM 548661107 277910 1091 SH OTR 0 1091 0 MANCHESTER UTD PLC NEW ORD CL A G5784H106 1186600 85000 SH OTR 0 85000 0 MCDONALDS CORP COM 580135101 366253 1299 SH OTR 0 1299 0 MEDTRONIC PLC SHS G5960L103 65014 746 SH OTR 0 746 0 MERCADOLIBRE INC COM 58733R102 2517413 1665 SH OTR 0 1665 0 META PLATFORMS INC CL A 30303M102 2962038 6100 SH OTR 0 6100 0 META PLATFORMS INC CL A 30303M102 1159079 2387 SH OTR 0 2387 0 MICRON TECHNOLOGY INC COM 595112103 66726 566 SH OTR 0 566 0 MICROSOFT CORP COM 594918104 2880670 6847 SH OTR 0 6847 0 MICROSOFT CORP COM 594918104 1612620 3833 SH OTR 0 3833 0 MORGAN STANLEY COM NEW 617446448 65912 700 SH OTR 0 700 0 MPLX LP COM UNIT REP LTD 55336V100 50038 1204 SH OTR 0 1204 0 NETFLIX INC COM 64110L106 1639791 2700 SH OTR 0 2700 0 NETFLIX INC COM 64110L106 129969 214 SH OTR 0 214 0 NEXTERA ENERGY INC COM 65339F101 83339 1304 SH OTR 0 1304 0 NEXTERA ENERGY INC COM 65339F101 40199 629 SH OTR 0 629 0 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 5866751 150700 SH OTR 0 150700 0 NIKE INC CL B 654106103 77158 821 SH OTR 0 821 0 NORFOLK SOUTHN CORP COM 655844108 39760 156 SH OTR 0 156 0 NORTHROP GRUMMAN CORP COM 666807102 62704 131 SH OTR 0 131 0 NUCOR CORP COM 670346105 56995 288 SH OTR 0 288 0 NVIDIA CORPORATION COM 67066G104 906271 1003 SH OTR 0 1003 0 NVIDIA CORPORATION 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COM 74340W103 60813 467 SH OTR 0 467 0 PROLOGIS INC. COM 74340W103 42582 327 SH OTR 0 327 0 PROS HOLDINGS INC NOTE 2.250% 9/1 74346YAG8 2400041 2211000 SH OTR 0 2211000 0 PUBLIC STORAGE COM 74460D109 40028 138 SH OTR 0 138 0 RELIANCE INC COM 759509102 53135 159 SH OTR 0 159 0 REPUBLIC SVCS INC COM 760759100 54943 287 SH OTR 0 287 0 RTX CORPORATION COM 75513E101 85144 873 SH OTR 0 873 0 RTX CORPORATION COM 75513E101 51203 525 SH OTR 0 525 0 S&P GLOBAL INC COM 78409V104 83388 196 SH OTR 0 196 0 SALESFORCE INC COM 79466L302 3418393 11350 SH OTR 0 11350 0 SALESFORCE INC COM 79466L302 135230 449 SH OTR 0 449 0 SCHLUMBERGER LTD COM STK 806857108 34859 636 SH OTR 0 636 0 SCHWAB STRATEGIC TR 5 10YR CORP BD 808524698 15702612 352947 SH SOLE 352947 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 42262286 2081886 SH SOLE 2081886 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 730819 3509 SH OTR 0 3509 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5471140 83338 SH SOLE 83338 0 0 SEMPRA COM 816851109 42739 595 SH OTR 0 595 0 SHERWIN WILLIAMS CO COM 824348106 57309 165 SH OTR 0 165 0 SHIFT4 PMTS INC NOTE 0.500% 8/0 82452JAD1 3381665 3646000 SH OTR 0 3646000 0 SHOPIFY INC NOTE 0.125%11/0 82509LAA5 5062734 5332000 SH OTR 0 5332000 0 SOUTHERN CO COM 842587107 44838 625 SH OTR 0 625 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 3066360 3030000 SH OTR 0 3030000 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 1501697 29974 SH OTR 0 29974 0 SPDR SER TR PORTFOLIO AGRGTE 78464A649 95338060 3771284 SH SOLE 3771284 0 0 SPDR SER TR PORTFOLIO S&P500 78464A854 20912816 339880 SH SOLE 339880 0 0 STAG INDL INC COM 85254J102 46282 1204 SH OTR 0 1204 0 STEEL DYNAMICS INC COM 858119100 55883 377 SH OTR 0 377 0 STRYKER CORPORATION COM 863667101 63701 178 SH OTR 0 178 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 1428525 10500 SH OTR 0 10500 0 TARGA RES CORP COM 87612G101 55883 499 SH OTR 0 499 0 TARGET CORP COM 87612E106 354420 2000 SH OTR 0 2000 0 TC ENERGY CORP COM 87807B107 36863 917 SH OTR 0 917 0 TESLA INC COM 88160R101 69261 394 SH OTR 0 394 0 TJX COS INC NEW COM 872540109 3552236 35025 SH OTR 0 35025 0 TRADEWEB MKTS INC CL A 892672106 1010449 9700 SH OTR 0 9700 0 TRANSDIGM GROUP INC COM 893641100 1477920 1200 SH OTR 0 1200 0 TYLER TEX INDPT SCH DIST NOTE 0.250% 3/1 902252AB1 5645290 5620000 SH OTR 0 5620000 0 UBER TECHNOLOGIES INC COM 90353T100 3202784 41600 SH OTR 0 41600 0 UNION PAC CORP COM 907818108 49678 202 SH OTR 0 202 0 UNITED PARCEL SERVICE INC CL B 911312106 63911 430 SH OTR 0 430 0 UNITED PARCEL SERVICE INC CL B 911312106 35523 239 SH OTR 0 239 0 UNITED STATES STL CORP NEW COM 912909108 50078 1228 SH OTR 0 1228 0 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 291362 1295 SH OTR 0 1295 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 1517572 8409 SH OTR 0 8409 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 95416864 1313739 SH SOLE 1313739 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 20422540 42485 SH SOLE 42485 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 58484322 320269 SH SOLE 320269 0 0 VANGUARD WORLD FD INF TECH ETF 92204A702 734076 1400 SH OTR 0 1400 0 VERIZON COMMUNICATIONS INC COM 92343V104 103054 2456 SH OTR 0 2456 0 WALMART INC COM 931142103 159150 2645 SH OTR 0 2645 0 WASTE CONNECTIONS INC COM 94106B101 52635 306 SH OTR 0 306 0 WASTE MGMT INC DEL COM 94106L109 56698 266 SH OTR 0 266 0 WELLS FARGO CO NEW COM 949746101 102821 1774 SH OTR 0 1774 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 6218685 5100 SH OTR 0 5100 0 WELLTOWER INC COM 95040Q104 48963 524 SH OTR 0 524 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 46503 1295 SH OTR 0 1295 0 WILLIAMS COS INC COM 969457100 64223 1648 SH OTR 0 1648 0 WISDOMTREE TR US EFFICIENT COR 97717Y790 53064867 1256568 SH SOLE 1256568 0 0 WIX COM LTD SHS M98068105 976108 7100 SH OTR 0 7100 0 WIX COM LTD NOTE 8/1 92940WAD1 2344420 2540000 SH OTR 0 2540000 0 ZOETIS INC CL A 98978V103 44841 265 SH OTR 0 265 0