0001162044-21-000571.txt : 20210510 0001162044-21-000571.hdr.sgml : 20210510 20210510160930 ACCESSION NUMBER: 0001162044-21-000571 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210510 DATE AS OF CHANGE: 20210510 EFFECTIVENESS DATE: 20210510 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RATIONAL ADVISORS LLC CENTRAL INDEX KEY: 0001143565 IRS NUMBER: 311759224 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16191 FILM NUMBER: 21907236 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 13F-HR LIVE false false false 0001143565 XXXXXXXX 03-31-2021 03-31-2021 false RATIONAL ADVISORS LLC

36 N. New York Avenue Huntington NY 11743

13F HOLDINGS REPORT 028-16191 N Robert Glass 631-629-4907 Robert Glass Huntington NY 05-10-2021 0 195 541175 INFORMATION TABLE 2 infotable.xml ABBVIE INC COM 00287Y109 1209 11173 SH OTR 0 11173 0 ABBVIE INC COM 00287Y109 166 1535 SH OTR 0 1535 0 ACTIVISION BLIZZARD INC COM 00507V109 160 1719 SH OTR 0 1719 0 ACTIVISION BLIZZARD INC COM 00507V109 57 615 SH SOLE 615 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 433 910 SH SOLE 910 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 1280 10064 SH OTR 0 10064 0 AIRBNB INC COM CL A 009066101 1485 7900 SH OTR 0 7900 0 AKAMAI TECHNOLOGIES INC COM 00971T101 900 8828 SH OTR 0 8828 0 ALLISON TRANSMISSION HLDGS I COM 01973R101 163 4002 SH OTR 0 4002 0 ALPHABET INC CAP STK CL A 02079K305 2991 1450 SH OTR 0 1450 0 ALPHABET INC CAP STK CL C 02079K107 1189 575 SH SOLE 575 0 0 ALTERYX INC COM CL A 02156B103 73 885 SH SOLE 885 0 0 ALTRIA GROUP INC COM 02209S103 784 15316 SH OTR 0 15316 0 AMAZON COM INC COM 023135106 4211 1361 SH OTR 0 1361 0 AMAZON COM INC COM 023135106 1160 375 SH SOLE 375 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 170 7095 SH OTR 0 7095 0 AMERICAN EXPRESS CO COM 025816109 778 5500 SH OTR 0 5500 0 APPLE INC COM 037833100 506 4140 SH OTR 0 4140 0 APPLE INC COM 037833100 4734 38756 SH OTR 0 38756 0 APTIV PLC SHS G6095L109 159 1156 SH OTR 0 1156 0 AVERY DENNISON CORP COM 053611109 159 866 SH OTR 0 866 0 BAKER HUGHES COMPANY CL A 05722G100 157 7282 SH OTR 0 7282 0 BANDWIDTH INC COM CL A 05988J103 868 6845 SH SOLE 6845 0 0 BANK AMER CORP COM 060505104 2048 52944 SH OTR 0 52944 0 BANK AMER CORP 7.25%CNV PFD L 060505682 1968 1408 SH OTR 0 1408 0 BARCLAYS BK PLC SHRT TRM ETN 48 06746P621 78 6813 SH OTR 0 6813 0 BEST BUY INC COM 086516101 1139 9923 SH OTR 0 9923 0 BILIBILI INC ADS REP SHS Z 090040106 950 8870 SH SOLE 8870 0 0 BLACKROCK INC COM 09247X101 1505 1996 SH OTR 0 1996 0 BLOCK H & R INC COM 093671105 170 7795 SH OTR 0 7795 0 BOOKING HLDGS INC COM 09857L108 2796 1200 SH OTR 0 1200 0 BOSTON SCIENTIFIC CORP 5.50% CNV PFD A 101137206 3803 35135 SH OTR 0 35135 0 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 151 11686 SH OTR 0 11686 0 BROOKFIELD PPTY REIT INC CL A 11282X103 160 8890 SH OTR 0 8890 0 BROWN FORMAN CORP CL B 115637209 156 2263 SH OTR 0 2263 0 BUNGE LIMITED COM G16962105 664 8380 SH OTR 0 8380 0 CAESARS ENTERTAINMENT INC NE COM 12769G100 1093 12500 SH OTR 0 12500 0 CAPRI HOLDINGS LIMITED SHS G1890L107 1811 35500 SH OTR 0 35500 0 CARDINAL HEALTH INC COM 14149Y108 1127 18554 SH OTR 0 18554 0 CATERPILLAR INC DEL COM 149123101 1522 6563 SH OTR 0 6563 0 CELANESE CORP DEL COM 150870103 1280 8547 SH OTR 0 8547 0 CENTERPOINT ENERGY INC COM 15189T107 168 7405 SH OTR 0 7405 0 CHEMOURS CO COM 163851108 1263 45253 SH OTR 0 45253 0 CHEVRON CORP NEW COM 166764100 1742 16621 SH OTR 0 16621 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 2771 1950 SH OTR 0 1950 0 CINCINNATI FINL CORP COM 172062101 158 1537 SH OTR 0 1537 0 CINTAS CORP COM 172908105 159 467 SH OTR 0 467 0 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 995 12742 SH OTR 0 12742 0 COMCAST CORP NEW CL A 20030N101 1710 31596 SH OTR 0 31596 0 COMCAST CORP NEW CL A 20030N101 160 2948 SH OTR 0 2948 0 CONOCOPHILLIPS COM 20825C104 1355 25577 SH OTR 0 25577 0 COSTCO WHSL CORP NEW COM 22160K105 1542 4374 SH OTR 0 4374 0 CROWDSTRIKE HLDGS INC CL A 22788C105 1097 6010 SH SOLE 6010 0 0 CUMMINS INC COM 231021106 1267 4889 SH OTR 0 4889 0 CUMMINS INC COM 231021106 152 585 SH OTR 0 585 0 DANAHER CORPORATION 4.75 MND CV PFD 235851300 1235 805 SH OTR 0 805 0 DBX ETF TR XTRACK USD HIGH 233051432 25988 519862 SH SOLE 519862 0 0 DEERE & CO COM 244199105 1466 3919 SH OTR 0 3919 0 DEERE & CO COM 244199105 164 437 SH OTR 0 437 0 DICKS SPORTING GOODS INC COM 253393102 640 8409 SH OTR 0 8409 0 DISNEY WALT CO COM DISNEY 254687106 2028 10988 SH OTR 0 10988 0 DOCUSIGN INC COM 256163106 1126 5560 SH SOLE 5560 0 0 DOLBY LABORATORIES INC COM CL A 25659T107 163 1656 SH OTR 0 1656 0 DOMINION ENERGY INC UNIT 99/99/9999 25746U133 1815 18366 SH OTR 0 18366 0 DRAFTKINGS INC COM CL A 26142R104 920 15000 SH OTR 0 15000 0 DTE ENERGY CO UNIT 11/01/2022S 233331842 1811 36455 SH OTR 0 36455 0 ELECTRONIC ARTS INC COM 285512109 23 170 SH SOLE 170 0 0 ERIE INDTY CO CL A 29530P102 153 691 SH OTR 0 691 0 EXPEDIA GROUP INC COM NEW 30212P303 2754 16000 SH OTR 0 16000 0 EXTRA SPACE STORAGE INC COM 30225T102 163 1227 SH OTR 0 1227 0 FACEBOOK INC CL A 30303M102 2280 7740 SH SOLE 7740 0 0 FEDEX CORP COM 31428X106 1593 5610 SH OTR 0 5610 0 FIDELITY COVINGTON TRUST MSCI UTILS INDEX 316092865 1469 35409 SH SOLE 35409 0 0 FIFTH THIRD BANCORP COM 316773100 1239 33074 SH OTR 0 33074 0 FOX CORP CL A COM 35137L105 155 4303 SH OTR 0 4303 0 FREEPORT-MCMORAN INC CL B 35671D857 1403 42596 SH OTR 0 42596 0 GLOBAL X FDS GLBL X MLP ETF 37954Y343 11322 342275 SH SOLE 342275 0 0 GLOBAL X FDS NASDAQ 100 COVER 37954Y483 26051 1154239 SH SOLE 1154239 0 0 GLOBAL X FDS US PFD ETF 37954Y657 19212 753116 SH SOLE 753116 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 1500 4586 SH OTR 0 4586 0 GOLDMAN SACHS GROUP INC COM 38141G104 1651 5050 SH OTR 0 5050 0 GRAINGER W W INC COM 384802104 156 388 SH OTR 0 388 0 HARTFORD FDS EXCHANGE TRADED TOTAL RTRN ETF 41653L305 25553 635359 SH SOLE 635359 0 0 HEALTHPEAK PROPERTIES INC COM 42250P103 1236 38935 SH OTR 0 38935 0 HEICO CORP NEW COM 422806109 156 1241 SH OTR 0 1241 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 1499 12393 SH OTR 0 12393 0 HILTON WORLDWIDE HLDGS INC COM 43300A203 2370 19600 SH OTR 0 19600 0 HORIZON THERAPEUTICS PUB L SHS G46188101 372 8333 SH OTR 0 8333 0 HUBBELL INC COM 443510607 158 847 SH OTR 0 847 0 INTEL CORP COM 458140100 1138 17778 SH OTR 0 17778 0 INTEL CORP COM 458140100 160 2507 SH OTR 0 2507 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 959 8585 SH SOLE 8585 0 0 INTUIT COM 461202103 165 432 SH OTR 0 432 0 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 10230 319392 SH SOLE 319392 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 23641 74080 SH SOLE 74080 0 0 ISHARES INC CORE MSCI EMKT 46434G103 5098 79208 SH SOLE 79208 0 0 ISHARES TR S&P 100 ETF 464287101 1149 6388 SH OTR 0 6388 0 ISHARES TR CORE S&P500 ETF 464287200 812 2040 SH OTR 0 2040 0 ISHARES TR CORE S&P TTL STK 464287150 8035 87723 SH SOLE 87723 0 0 ISHARES TR CORE US AGGBD ET 464287226 35775 314283 SH SOLE 314283 0 0 ISHARES TR MBS ETF 464288588 8038 74137 SH SOLE 74137 0 0 ISHARES TR CORE S&P500 ETF 464287200 22877 57506 SH SOLE 57506 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 91 806 SH SOLE 806 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 910 10547 SH SOLE 10547 0 0 ISHARES TR CORE MSCI EAFE 46432F842 11500 159617 SH SOLE 159617 0 0 J & J SNACK FOODS CORP COM 466032109 162 1032 SH OTR 0 1032 0 JOHNSON & JOHNSON COM 478160104 2240 13632 SH OTR 0 13632 0 JPMORGAN CHASE & CO COM 46625H100 2573 16904 SH OTR 0 16904 0 LAZARD LTD SHS A G54050102 162 3720 SH OTR 0 3720 0 LULULEMON ATHLETICA INC COM 550021109 1000 3261 SH OTR 0 3261 0 LUMEN TECHNOLOGIES INC COM 550241103 165 12362 SH OTR 0 12362 0 MARKETAXESS HLDGS INC COM 57060D108 156 314 SH OTR 0 314 0 MARKETAXESS HLDGS INC COM 57060D108 916 1840 SH SOLE 1840 0 0 MARRIOTT INTL INC NEW CL A 571903202 2444 16500 SH OTR 0 16500 0 MARRIOTT INTL INC NEW CL A 571903202 164 1108 SH OTR 0 1108 0 MASCO CORP COM 574599106 1211 20216 SH OTR 0 20216 0 MASTERCARD INCORPORATED CL A 57636Q104 1081 3035 SH OTR 0 3035 0 MASTERCARD INCORPORATED CL A 57636Q104 5867 16478 SH OTR 0 16478 0 MASTERCARD INCORPORATED CL A 57636Q104 1132 3180 SH SOLE 3180 0 0 MERCADOLIBRE INC COM 58733R102 1793 1218 SH OTR 0 1218 0 MERCADOLIBRE INC COM 58733R102 913 620 SH SOLE 620 0 0 MERCK & CO. INC COM 58933Y105 1230 15950 SH OTR 0 15950 0 MICROSOFT CORP COM 594918104 505 2142 SH OTR 0 2142 0 MICROSOFT CORP COM 594918104 2616 11097 SH OTR 0 11097 0 MICROSOFT CORP COM 594918104 21 90 SH SOLE 90 0 0 MORGAN STANLEY COM NEW 617446448 1510 19443 SH OTR 0 19443 0 MORNINGSTAR INC COM 617700109 162 718 SH OTR 0 718 0 MOSAIC CO NEW COM 61945C103 165 5222 SH OTR 0 5222 0 MSC INDL DIRECT INC CL A 553530106 161 1787 SH OTR 0 1787 0 NETEASE INC SPONSORED ADS 64110W102 162 1565 SH OTR 0 1565 0 NETFLIX INC COM 64110L106 1155 2215 SH SOLE 2215 0 0 NEW FORTRESS ENERGY INC COM CL A 644393100 156 3395 SH OTR 0 3395 0 NEXTERA ENERGY INC UNIT 09/01/2022S 65339F796 1993 34713 SH OTR 0 34713 0 NEXTERA ENERGY INC UNIT 99/99/9999 65339F770 1244 25118 SH OTR 0 25118 0 NIKE INC CL B 654106103 3700 27839 SH OTR 0 27839 0 NRG ENERGY INC COM NEW 629377508 1307 34630 SH OTR 0 34630 0 NVIDIA CORP COM 67066G104 169 316 SH OTR 0 316 0 OKTA INC CL A 679295105 766 3475 SH SOLE 3475 0 0 ORACLE CORP COM 68389X105 540 7694 SH OTR 0 7694 0 PACCAR INC COM 693718108 161 1736 SH OTR 0 1736 0 PAYPAL HLDGS INC COM 70450Y103 1031 4245 SH OTR 0 4245 0 PAYPAL HLDGS INC COM 70450Y103 1022 4210 SH SOLE 4210 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 1462 13000 SH OTR 0 13000 0 PELOTON INTERACTIVE INC CL A COM 70614W100 928 8250 SH SOLE 8250 0 0 POOL CORP COM 73278L105 164 475 SH OTR 0 475 0 PROCTER AND GAMBLE CO COM 742718109 1154 8520 SH OTR 0 8520 0 PROSHARES TR II VIX SH TRM FUTRS 74347W171 377 40373 SH OTR 0 40373 0 PUBLIC STORAGE COM 74460D109 164 665 SH OTR 0 665 0 PULTE GROUP INC COM 745867101 1162 22154 SH OTR 0 22154 0 QUALCOMM INC COM 747525103 506 3817 SH OTR 0 3817 0 QURATE RETAIL INC COM SER A 74915M100 160 13591 SH OTR 0 13591 0 RESMED INC COM 761152107 165 852 SH OTR 0 852 0 RH COM 74967X103 3878 6500 SH OTR 0 6500 0 RINGCENTRAL INC CL A 76680R206 986 3310 SH SOLE 3310 0 0 ROBERT HALF INTL INC COM 770323103 158 2027 SH OTR 0 2027 0 SABRA HEALTH CARE REIT INC COM 78573L106 159 9173 SH OTR 0 9173 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 35776 663137 SH SOLE 663137 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 4558 110934 SH SOLE 110934 0 0 SERVICENOW INC COM 81762P102 1108 2215 SH SOLE 2215 0 0 SHAKE SHACK INC CL A 819047101 2763 24500 SH OTR 0 24500 0 SHOPIFY INC CL A 82509L107 1313 1187 SH OTR 0 1187 0 SKYWORKS SOLUTIONS INC COM 83088M102 599 3266 SH OTR 0 3266 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 1293 4500 SH SOLE 4500 0 0 SOUTHERN CO COM 842587107 1471 23667 SH OTR 0 23667 0 SOUTHERN CO UNIT 08/01/2022 842587602 1387 27233 SH OTR 0 27233 0 SOUTHWEST AIRLS CO COM 844741108 2381 39000 SH OTR 0 39000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2306 5818 SH OTR 0 5818 0 SPDR SER TR PORTFOLIO AGRGTE 78464A649 0 3 SH SOLE 3 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 1819 6788 SH OTR 0 6788 0 SQUARE INC CL A 852234103 1437 6328 SH OTR 0 6328 0 SQUARE INC CL A 852234103 1119 4930 SH SOLE 4930 0 0 STANLEY BLACK & DECKER INC UNIT 11/15/2022 854502846 3653 30965 SH OTR 0 30965 0 STARBUCKS CORP COM 855244109 765 7000 SH OTR 0 7000 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 65 365 SH SOLE 365 0 0 TARGET CORP COM 87612E106 2575 13000 SH OTR 0 13000 0 TELADOC HEALTH INC COM 87918A105 913 5025 SH SOLE 5025 0 0 TESLA MTRS INC COM 88160R101 1085 1625 SH OTR 0 1625 0 TRADEWEB MKTS INC CL A 892672106 163 2202 SH OTR 0 2202 0 UNIVERSAL HLTH SVCS INC CL B 913903100 160 1203 SH OTR 0 1203 0 US BANCORP DEL COM NEW 902973304 1385 25047 SH OTR 0 25047 0 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 35765 422159 SH SOLE 422159 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 8186 22470 SH SOLE 22470 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 8046 38927 SH SOLE 38927 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 16862 181258 SH SOLE 181258 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 4812 32716 SH SOLE 32716 0 0 VEEVA SYS INC CL A COM 922475108 494 1890 SH SOLE 1890 0 0 VEON LTD SPONSORED ADR 91822M106 171 96839 SH OTR 0 96839 0 VERIZON COMMUNICATIONS INC COM 92343V104 1676 28823 SH OTR 0 28823 0 VISA INC COM CL A 92826C839 4728 22328 SH OTR 0 22328 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 172 3126 SH OTR 0 3126 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 2060 1453 SH OTR 0 1453 0 WISDOMTREE TR 90/60 BALNCED FD 97717Y790 2680 71793 SH SOLE 71793 0 0 WIX COM LTD SHS M98068105 162 580 SH SOLE 580 0 0 XILINX INC COM 983919101 164 1321 SH OTR 0 1321 0 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 771 2400 SH SOLE 2400 0 0