0001162044-21-001372.txt : 20211109
0001162044-21-001372.hdr.sgml : 20211109
20211109151341
ACCESSION NUMBER: 0001162044-21-001372
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211109
DATE AS OF CHANGE: 20211109
EFFECTIVENESS DATE: 20211109
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: 211391693
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
09-30-2021
09-30-2021
false
RATIONAL ADVISORS LLC
36 N. New York Avenue
Huntington
NY
11743
13F HOLDINGS REPORT
028-16191
N
Robert Glass
Chief Compliance Officer
631-629-4907
Robert Glass
Huntington
NY
11-04-2021
0
207
1279017
INFORMATION TABLE
2
infotable.xml
ABBVIE INC
COM
00287Y109
1559
14452
SH
OTR
0
14452
0
ABRDN ETFS
BBRG ALL COMD K1
003261104
21
763
SH
OTR
0
763
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
1022
3195
SH
OTR
0
3195
0
ADOBE SYSTEMS INCORPORATED
COM
00724F101
429
745
SH
SOLE
745
0
0
AGILENT TECHNOLOGIES INC
COM
00846U101
1541
9783
SH
OTR
0
9783
0
AGNICO EAGLE MINES LTD
COM
008474108
9
181
SH
OTR
0
181
0
AIR PRODS & CHEMS INC
COM
009158106
10
38
SH
OTR
0
38
0
AIRBNB INC
COM CL A
009066101
1493
8900
SH
OTR
0
8900
0
ALPHABET INC
CAP STK CL A
02079K305
1537
575
SH
OTR
0
575
0
ALPHABET INC
CAP STK CL A
02079K305
4866
1820
SH
OTR
0
1820
0
ALPHABET INC
CAP STK CL C
02079K107
1074
403
SH
SOLE
403
0
0
AMAZON COM INC
COM
023135106
5719
1741
SH
OTR
0
1741
0
AMAZON COM INC
COM
023135106
1081
329
SH
SOLE
329
0
0
AMERICAN ELEC PWR CO INC
UNIT 08/01/2021
025537127
1900
39850
SH
OTR
0
39850
0
AMERICAN EXPRESS CO
COM
025816109
2010
12000
SH
OTR
0
12000
0
AMERICAN TOWER CORP NEW
COM
03027X100
9
35
SH
OTR
0
35
0
ANTERO MIDSTREAM CORP
COM
03676B102
11
1049
SH
OTR
0
1049
0
APPLE INC
COM
037833100
757
5347
SH
OTR
0
5347
0
APPLE INC
COM
037833100
4833
34156
SH
OTR
0
34156
0
APPLIED MATLS INC
COM
038222105
1423
11053
SH
OTR
0
11053
0
ATHENE HOLDING LTD
CL A
G0684D107
10
152
SH
OTR
0
152
0
AUTONATION INC
COM
05329W102
953
7828
SH
OTR
0
7828
0
BANK OF AMERICA CORPORATION
COM
060505104
1433
33746
SH
OTR
0
33746
0
BANK OF AMERICA CORPORATION
COM
060505104
11
248
SH
OTR
0
248
0
BARRICK GOLD CORP
COM
067901108
9
518
SH
OTR
0
518
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
10
37
SH
OTR
0
37
0
BEST BUY INC
COM
086516101
969
9162
SH
OTR
0
9162
0
BILIBILI INC
ADS REP SHS Z
090040106
495
7475
SH
SOLE
7475
0
0
BLACKROCK INC
COM
09247X101
1525
1818
SH
OTR
0
1818
0
BLACKSTONE INC
COM
09260D107
2734
23500
SH
OTR
0
23500
0
BOEING CO
COM
097023105
10
47
SH
OTR
0
47
0
BUNGE LIMITED
COM
G16962105
1165
14332
SH
OTR
0
14332
0
CAESARS ENTERTAINMENT INC NE
COM
12769G100
4974
44300
SH
OTR
0
44300
0
CARDINAL HEALTH INC
COM
14149Y108
1522
30763
SH
OTR
0
30763
0
CATERPILLAR INC DEL
COM
149123101
1344
7002
SH
OTR
0
7002
0
CBOE GLOBAL MKTS INC
COM
12503M108
867
6999
SH
OTR
0
6999
0
CELANESE CORP DEL
COM
150870103
1142
7582
SH
OTR
0
7582
0
CHEVRON CORP NEW
COM
166764100
11
104
SH
OTR
0
104
0
CHIPOTLE MEXICAN GRILL INC
COM
169656105
3635
2000
SH
OTR
0
2000
0
CISCO SYS INC
COM
17275R102
742
13628
SH
OTR
0
13628
0
CITIGROUP INC
COM NEW
172967424
10
143
SH
OTR
0
143
0
COINBASE GLOBAL INC
COM CL A
19260Q107
9
40
SH
OTR
0
40
0
COMCAST CORP NEW
CL A
20030N101
2110
37721
SH
OTR
0
37721
0
CONOCOPHILLIPS
COM
20825C104
1464
21603
SH
OTR
0
21603
0
CONOCOPHILLIPS
COM
20825C104
12
182
SH
OTR
0
182
0
COSTCO WHSL CORP NEW
COM
22160K105
3538
7874
SH
OTR
0
7874
0
CROWDSTRIKE HLDGS INC
CL A
22788C105
1064
4330
SH
SOLE
4330
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
9
53
SH
OTR
0
53
0
CUMMINS INC
COM
231021106
1438
6404
SH
OTR
0
6404
0
DARDEN RESTAURANTS INC
COM
237194105
1128
7447
SH
OTR
0
7447
0
DBX ETF TR
XTRACK USD HIGH
233051432
34127
851466
SH
SOLE
851466
0
0
DEERE & CO
COM
244199105
1283
3830
SH
OTR
0
3830
0
DIGITAL TURBINE INC
COM NEW
25400W102
131
1900
SH
SOLE
1900
0
0
DIREXION SHS ETF TR
AUSPCE CMD STG
25460E307
21
662
SH
OTR
0
662
0
DISNEY WALT CO
COM DISNEY
254687106
3299
19500
SH
OTR
0
19500
0
DISNEY WALT CO
COM DISNEY
254687106
9
56
SH
OTR
0
56
0
DOCUSIGN INC
COM
256163106
1201
4665
SH
SOLE
4665
0
0
DOMINION ENERGY INC
UNIT 99/99/9999
25746U133
1784
18366
SH
OTR
0
18366
0
DTE ENERGY CO
UNIT 11/01/2022S
233331842
1008
20055
SH
OTR
0
20055
0
ECOLAB INC
COM
278865100
9
45
SH
OTR
0
45
0
ENBRIDGE INC
COM
29250N105
10
258
SH
OTR
0
258
0
ENLINK MIDSTREAM LLC
COM UNIT REP LTD
29336T100
12
1793
SH
OTR
0
1793
0
EOG RES INC
COM
26875P101
12
150
SH
OTR
0
150
0
EQUINIX INC
COM
29444U700
10
13
SH
OTR
0
13
0
EVERBRIDGE INC
COM
29978A104
82
540
SH
SOLE
540
0
0
EXELON CORP
COM
30161N101
1502
31080
SH
OTR
0
31080
0
EXXON MOBIL CORP
COM
30231G102
1815
30856
SH
OTR
0
30856
0
EXXON MOBIL CORP
COM
30231G102
11
186
SH
OTR
0
186
0
FACEBOOK INC
CL A
30303M102
2184
6435
SH
SOLE
6435
0
0
FEDEX CORP
COM
31428X106
1221
5566
SH
OTR
0
5566
0
FIDELITY COVINGTON TRUST
MSCI UTILS INDEX
316092865
44756
1087370
SH
SOLE
1087370
0
0
FIFTH THIRD BANCORP
COM
316773100
1247
29375
SH
OTR
0
29375
0
FIRST MAJESTIC SILVER CORP
COM
32076V103
9
762
SH
OTR
0
762
0
FIVERR INTL LTD
ORD SHS
M4R82T106
92
504
SH
SOLE
504
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
1393
98403
SH
OTR
0
98403
0
FRANCO NEV CORP
COM
351858105
9
72
SH
OTR
0
72
0
FREEPORT-MCMORAN INC
CL B
35671D857
9
290
SH
OTR
0
290
0
GAMING & LEISURE PPTYS INC
COM
36467J108
1472
31775
SH
OTR
0
31775
0
GLOBAL X FDS
GLBL X MLP ETF
37954Y343
78003
2211600
SH
SOLE
2211600
0
0
GLOBAL X FDS
NASDAQ 100 COVER
37954Y483
52691
2388528
SH
SOLE
2388528
0
0
GLOBAL X FDS
US PFD ETF
37954Y657
40782
1583137
SH
SOLE
1583137
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
1486
3930
SH
OTR
0
3930
0
GOLDMAN SACHS GROUP INC
COM
38141G104
2911
7700
SH
OTR
0
7700
0
GOOSEHEAD INS INC
COM CL A
38267D109
10
68
SH
OTR
0
68
0
GRANITESHARES ETF TR
BBG COMMD K 1
38747R108
21
712
SH
OTR
0
712
0
HARTFORD FDS EXCHANGE TRADED
TOTAL RTRN ETF
41653L305
13587
333583
SH
SOLE
333583
0
0
HECLA MNG CO
COM
422704106
9
1699
SH
OTR
0
1699
0
HERSHEY CO
COM
427866108
1361
8039
SH
OTR
0
8039
0
HOME DEPOT INC
COM
437076102
2462
7500
SH
OTR
0
7500
0
HONEYWELL INTL INC
COM
438516106
10
45
SH
OTR
0
45
0
HORIZON THERAPEUTICS PUB L
SHS
G46188101
1526
13933
SH
OTR
0
13933
0
INVESCO ACTIVLY MANGD ETC FD
OPTIMUM YIELD
46090F100
21
1020
SH
OTR
0
1020
0
INVESCO DB COMMDY INDX TRCK
UNIT
46138B103
21
1064
SH
OTR
0
1064
0
INVESCO EXCH TRADED FD TR II
TAXABLE MUN BD
46138G805
20258
615562
SH
SOLE
615562
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
75208
210102
SH
SOLE
210102
0
0
ISHARES S&P GSCI COMMODITY-
UNIT BEN INT
46428R107
22
1283
SH
OTR
0
1283
0
ISHARES SILVER TRUST
ISHARES
46428Q109
19
923
SH
OTR
0
923
0
ISHARES TR
S&P 500 VAL ETF
464287408
1202
8267
SH
OTR
0
8267
0
ISHARES TR
CORE S&P TTL STK
464287150
25384
258020
SH
SOLE
258020
0
0
ISHARES TR
CORE US AGGBD ET
464287226
123593
1076312
SH
SOLE
1076312
0
0
ISHARES TR
MBS ETF
464288588
6776
62662
SH
SOLE
62662
0
0
ISHARES TR
CORE S&P500 ETF
464287200
40061
92987
SH
SOLE
92987
0
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
508
4412
SH
SOLE
4412
0
0
ISHARES TR
1 3 YR TREAS BD
464287457
509
5904
SH
SOLE
5904
0
0
ISHARES TR
CORE MSCI EAFE
46432F842
2279
30695
SH
SOLE
30695
0
0
ISHARES U S ETF TR
GSCI CMDTY STGY
46431W853
21
598
SH
OTR
0
598
0
JOHNSON & JOHNSON
COM
478160104
2647
16392
SH
OTR
0
16392
0
JOINT CORP
COM
47973J102
171
1740
SH
SOLE
1740
0
0
JPMORGAN CHASE & CO
COM
46625H100
2081
12713
SH
OTR
0
12713
0
JPMORGAN CHASE & CO
COM
46625H100
11
65
SH
OTR
0
65
0
KINDER MORGAN INC DEL
COM
49456B101
11
629
SH
OTR
0
629
0
KKR & CO INC
CL A
48251W104
2740
45000
SH
OTR
0
45000
0
KRANESHARES TR
GLOBAL CARBON
500767678
21
522
SH
OTR
0
522
0
LEMONADE INC
COM
52567D107
9
136
SH
OTR
0
136
0
LINDE PLC
COM
G5494J103
9
32
SH
OTR
0
32
0
LIVE NATION ENTERTAINMENT IN
COM
538034109
2069
22700
SH
OTR
0
22700
0
LOWES COS INC
COM
548661107
609
3000
SH
OTR
0
3000
0
LULULEMON ATHLETICA INC
COM
550021109
3040
7511
SH
OTR
0
7511
0
MARATHON DIGITAL HOLDINGS IN
COM
565788106
8
259
SH
OTR
0
259
0
MASCO CORP
COM
574599106
1422
25604
SH
OTR
0
25604
0
MASTERCARD INCORPORATED
CL A
57636Q104
930
2675
SH
SOLE
2675
0
0
MCDONALDS CORP
COM
580135101
1085
4500
SH
OTR
0
4500
0
MCDONALDS CORP
COM
580135101
10
43
SH
OTR
0
43
0
MERCADOLIBRE INC
COM
58733R102
873
520
SH
SOLE
520
0
0
MICROSOFT CORP
COM
594918104
4256
15097
SH
OTR
0
15097
0
MICROSOFT CORP
COM
594918104
8
30
SH
SOLE
30
0
0
MICROSTRATEGY INC
CL A NEW
594972408
9
16
SH
OTR
0
16
0
MIMECAST LTD
ORD SHS
G14838109
252
3960
SH
SOLE
3960
0
0
MORGAN STANLEY
COM NEW
617446448
1078
11075
SH
OTR
0
11075
0
NETFLIX INC
COM
64110L106
1080
1770
SH
SOLE
1770
0
0
NEWMONT GOLDCORP CORPORATION
COM
651639106
10
178
SH
OTR
0
178
0
NEXTERA ENERGY INC
UNIT 09/01/2022S
65339F796
2035
34713
SH
OTR
0
34713
0
NEXTERA ENERGY INC
UNIT 99/99/9999
65339F770
1280
25118
SH
OTR
0
25118
0
NIKE INC
CL B
654106103
4493
30939
SH
OTR
0
30939
0
NISOURCE INC
UNIT 12/01/2023
65473P121
1955
18900
SH
OTR
0
18900
0
NRG ENERGY INC
COM NEW
629377508
9
230
SH
OTR
0
230
0
OKTA INC
CL A
679295105
1306
5501
SH
OTR
0
5501
0
OKTA INC
CL A
679295105
1087
4580
SH
SOLE
4580
0
0
OLIN CORP
COM PAR $1
680665205
1208
25043
SH
OTR
0
25043
0
ONEOK INC NEW
COM
682680103
11
193
SH
OTR
0
193
0
OPPFI INC
COM CL A
68386H103
1330
169182
SH
SOLE
169182
0
0
ORACLE CORP
COM
68389X105
955
10957
SH
OTR
0
10957
0
PAN AMERN SILVER CORP
COM
697900108
9
398
SH
OTR
0
398
0
PAYPAL HLDGS INC
COM
70450Y103
3056
11745
SH
OTR
0
11745
0
PAYPAL HLDGS INC
COM
70450Y103
9
36
SH
OTR
0
36
0
PAYPAL HLDGS INC
COM
70450Y103
924
3550
SH
SOLE
3550
0
0
PLANTRONICS INC NEW
COM
727493108
9
341
SH
OTR
0
341
0
PROGRESSIVE CORP OHIO
COM
743315103
10
107
SH
OTR
0
107
0
PROLOGIS INC
COM
74340W103
502
4000
SH
OTR
0
4000
0
PROLOGIS INC
COM
74340W103
10
77
SH
OTR
0
77
0
PUBLIC STORAGE
COM
74460D109
9
31
SH
OTR
0
31
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
10
121
SH
OTR
0
121
0
REPLIGEN CORP
COM
759916109
53
185
SH
SOLE
185
0
0
RH
COM
74967X103
8837
13250
SH
OTR
0
13250
0
RINGCENTRAL INC
CL A
76680R206
1081
4970
SH
SOLE
4970
0
0
ROKU INC
COM CL A
77543R102
1241
3960
SH
OTR
0
3960
0
SCHLUMBERGER LTD
COM
806857108
11
367
SH
OTR
0
367
0
SCHWAB STRATEGIC TR
US AGGREGATE B
808524839
123601
2277948
SH
SOLE
2277948
0
0
SCHWAB STRATEGIC TR
US REIT ETF
808524847
64320
1408052
SH
SOLE
1408052
0
0
SERVICENOW INC
COM
81762P102
1083
1740
SH
SOLE
1740
0
0
SHERWIN WILLIAMS CO
COM
824348106
10
34
SH
OTR
0
34
0
SHOPIFY INC
CL A
82509L107
2762
2037
SH
OTR
0
2037
0
SKYWORKS SOLUTIONS INC
COM
83088M102
797
4837
SH
OTR
0
4837
0
SOFI TECHNOLOGIES INC
COM
83406F102
979
61645
SH
SOLE
61645
0
0
SOLAREDGE TECHNOLOGIES INC
COM
83417M104
1008
3800
SH
SOLE
3800
0
0
SOUTHERN CO
COM
842587107
1575
25408
SH
OTR
0
25408
0
SOUTHERN CO
UNIT 08/01/2022
842587602
1801
35313
SH
OTR
0
35313
0
SPDR GOLD TRUST
GOLD SHS
78463V107
20
120
SH
OTR
0
120
0
SQUARE INC
CL A
852234103
1518
6328
SH
OTR
0
6328
0
SQUARE INC
CL A
852234103
10
40
SH
OTR
0
40
0
SQUARE INC
CL A
852234103
1039
4330
SH
SOLE
4330
0
0
SSR MNG INC
COM
784730103
9
633
SH
OTR
0
633
0
STANLEY BLACK & DECKER INC
UNIT 11/15/2022
854502846
2462
23390
SH
OTR
0
23390
0
STARBUCKS CORP
COM
855244109
10
87
SH
OTR
0
87
0
STIFEL FINL CORP
COM
860630102
848
12480
SH
OTR
0
12480
0
SUNNOVA ENERGY INTL INC.
COM
86745K104
9
285
SH
OTR
0
285
0
TAPESTRY INC
COM
876030107
906
24465
SH
OTR
0
24465
0
TARGET CORP
COM
87612E106
5456
23850
SH
OTR
0
23850
0
TC ENERGY CORP
COM
87807B107
10
214
SH
OTR
0
214
0
TELADOC HEALTH INC
COM
87918A105
534
4210
SH
SOLE
4210
0
0
TESLA MTRS INC
COM
88160R101
2462
3175
SH
OTR
0
3175
0
TJX COS INC NEW
COM
872540109
2342
35500
SH
OTR
0
35500
0
TRUPANION INC
COM
898202106
9
112
SH
OTR
0
112
0
TYSON FOODS INC
CL A
902494103
1141
14456
SH
OTR
0
14456
0
ULTA BEAUTY INC
COM
90384S303
2653
7350
SH
OTR
0
7350
0
UNION PAC CORP
COM
907818108
9
47
SH
OTR
0
47
0
UNITED PARCEL SERVICE INC
COM
911312106
10
53
SH
OTR
0
53
0
UNITEDHEALTH GROUP INC
COM
91324P102
1528
3910
SH
OTR
0
3910
0
US BANCORP DEL
COM NEW
902973304
974
16380
SH
OTR
0
16380
0
VANGUARD BD INDEX FDS
TOTAL BND MRKT
921937835
123625
1446755
SH
SOLE
1446755
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
25441
64505
SH
SOLE
64505
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
25374
114266
SH
SOLE
114266
0
0
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
27144
287508
SH
SOLE
287508
0
0
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
921908844
77848
506825
SH
SOLE
506825
0
0
VEEVA SYS INC
CL A COM
922475108
460
1595
SH
SOLE
1595
0
0
VIACOMCBS INC
CL B
92556H206
10
250
SH
OTR
0
250
0
VISA INC
COM CL A
92826C839
4261
19128
SH
OTR
0
19128
0
VISTRA ENERGY CORP
COM
92840M102
9
546
SH
OTR
0
546
0
WASTE MGMT INC DEL
COM
94106L109
1456
9748
SH
OTR
0
9748
0
WELLS FARGO CO NEW
COM
949746101
10
222
SH
OTR
0
222
0
WHEATON PRECIOUS METALS CORP
COM
962879102
9
243
SH
OTR
0
243
0
WILLIAMS COS INC
COM
969457100
11
414
SH
OTR
0
414
0
WILLIAMS SONOMA INC
COM
969904101
497
2800
SH
OTR
0
2800
0
WISDOMTREE TR
US EFFICIENT COR
97717Y790
58490
1435697
SH
SOLE
1435697
0
0
XPEL INC
COM
98379L100
679
8945
SH
SOLE
8945
0
0
YUM CHINA HLDGS INC
COM
98850P109
10
167
SH
OTR
0
167
0
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
803
3070
SH
SOLE
3070
0
0