0001162044-23-000822.txt : 20230808 0001162044-23-000822.hdr.sgml : 20230808 20230808154838 ACCESSION NUMBER: 0001162044-23-000822 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230808 DATE AS OF CHANGE: 20230808 EFFECTIVENESS DATE: 20230808 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: 231150991 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 06-30-2023 06-30-2023 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 08-04-2023 0 340 1208008196 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 272768 2502 SH OTR 0 2502 0 ABBOTT LABS COM 002824100 20496 188 SH SOLE 188 0 0 ABBVIE INC COM 00287Y109 25329 188 SH SOLE 188 0 0 ABRDN ETFS BBRG ALL COMD K1 003261104 64633 3206 SH OTR 0 3206 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 246864 800 SH OTR 0 800 0 ADOBE INC COM 00724F101 272856 558 SH OTR 0 558 0 ADOBE INC COM 00724F101 41564 85 SH SOLE 85 0 0 AEMETIS INC COM NEW 00770K202 2038 278 SH SOLE 278 0 0 AGNICO EAGLE MINES LTD COM 008474108 44182 884 SH OTR 0 884 0 AIR PRODS & CHEMS INC COM 009158106 55413 185 SH OTR 0 185 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1663048 37600 SH OTR 0 37600 0 ALLSTATE CORP COM 020002101 39472 362 SH OTR 0 362 0 ALPHABET INC CAP STK CL A 02079K305 2076795 17350 SH OTR 0 17350 0 ALPHABET INC CAP STK CL A 02079K305 1275643 10657 SH OTR 0 10657 0 ALPHABET INC CAP 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4391981 3748 SH OTR 0 3748 0 BARRICK GOLD CORP COM 067901108 40683 2403 SH OTR 0 2403 0 BAXTER INTL INC COM 071813109 4647 102 SH SOLE 102 0 0 BEAM THERAPEUTICS INC COM 07373V105 4023 126 SH SOLE 126 0 0 BECTON DICKINSON & CO COM 075887109 227049 860 SH OTR 0 860 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1678402 4922 SH OTR 0 4922 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 1553430 3 SH OTR 0 3 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 55583 163 SH OTR 0 163 0 BEYOND MEAT INC COM 08862E109 1635 126 SH SOLE 126 0 0 BIOMARIN PHARMACEUTICAL INC NOTE 1.250% 5/1 09061GAK7 505668 503000 SH OTR 0 503000 0 BLACKROCK INC COM 09247X101 238443 345 SH OTR 0 345 0 BLACKSTONE GROUP INC COM CL A 09260D107 6357753 68385 SH OTR 0 68385 0 BLINK CHARGING CO COM 09354A100 2216 370 SH SOLE 370 0 0 BLOOM ENERGY CORP COM CL A 093712107 7488 458 SH SOLE 458 0 0 BOEING CO COM 097023105 334900 1586 SH OTR 0 1586 0 BOEING CO COM 097023105 52157 247 SH OTR 0 247 0 BOOKING HLDGS INC COM 09857L108 299737 111 SH OTR 0 111 0 BOOKING HLDGS INC COM 09857L108 1890231 700 SH OTR 0 700 0 BOOKING HOLDINGS INC NOTE 0.750% 5/0 09857LAN8 824340 550000 SH OTR 0 550000 0 BOSTON SCIENTIFIC CORP COM 101137107 1551896 28691 SH OTR 0 28691 0 BOSTON SCIENTIFIC CORP COM 101137107 21852 404 SH SOLE 404 0 0 BROADCOM INC COM 11135F101 570769 658 SH OTR 0 658 0 BROADCOM INC COM 11135F101 520458 600 SH OTR 0 600 0 BROOKFIELD RENEWABLE CORP CL A SUB VTG 11284V105 8258 262 SH SOLE 262 0 0 CALIFORNIA WTR SVC GROUP COM 130788102 6712 130 SH SOLE 130 0 0 CANADIAN PACIFIC KANSAS CITY COM 13646K108 49270 610 SH OTR 0 610 0 CANADIAN SOLAR INC COM 136635109 11452 296 SH SOLE 296 0 0 CANOO INC COM CL A 13803R102 655 1366 SH SOLE 1366 0 0 CASELLA WASTE SYS INC CL A 147448104 9769 108 SH SOLE 108 0 0 CBRE GROUP INC CL A 12504L109 6618 82 SH SOLE 82 0 0 CHARGEPOINT HOLDINGS INC COM CL A 15961R105 4553 518 SH SOLE 518 0 0 CHEGG INC NOTE 9/0 163092AF6 1540693 2057000 SH OTR 0 2057000 0 CHEVRON CORP NEW COM 166764100 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EDWARDS LIFESCIENCES CORP COM 28176E108 13206 140 SH SOLE 140 0 0 ENBRIDGE INC COM 29250N105 43317 1166 SH OTR 0 1166 0 ENERSYS COM 29275Y102 12154 112 SH SOLE 112 0 0 ENLINK MIDSTREAM LLC COM UNIT REP LTD 29336T100 67522 6370 SH OTR 0 6370 0 ENPHASE ENERGY INC COM 29355A107 10049 60 SH SOLE 60 0 0 ENVIVA INC COM 29415B103 1302 120 SH SOLE 120 0 0 EOG RES INC COM 26875P101 59280 518 SH OTR 0 518 0 EQUINIX INC COM 29444U700 51740 66 SH OTR 0 66 0 ETSY INC NOTE 0.250% 6/1 29786AAN6 3026100 3930000 SH OTR 0 3930000 0 EURONET WORLDWIDE INC NOTE 0.750% 3/1 298736AL3 3145726 3240928 SH OTR 0 3240928 0 EXPEDIA GROUP INC NOTE 2/1 30212PBE4 3377237 3865000 SH OTR 0 3865000 0 EXXON MOBIL CORP COM 30231G102 64565 602 SH OTR 0 602 0 FACEBOOK INC COM 30303M102 2173874 7575 SH OTR 0 7575 0 FACEBOOK INC COM 30303M102 1955195 6813 SH OTR 0 6813 0 FACEBOOK INC COM 30303M102 28124 98 SH SOLE 98 0 0 FIDELITY MSCI UTILS INDEX 316092865 67753911 1602505 SH SOLE 1602505 0 0 FIDELITY MSCI UTILS INDEX 316092865 147134 3480 SH SOLE 3480 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 22826 4040 SH OTR 0 4040 0 FIRST SOLAR INC COM 336433107 19769 104 SH SOLE 104 0 0 FISKER INC CL A COM STK 33813J106 3328 590 SH SOLE 590 0 0 FLUENCE ENERGY INC COM CL A 34379V103 8472 318 SH SOLE 318 0 0 FRANCO NEV CORP COM 351858105 48769 342 SH OTR 0 342 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 49880 1247 SH OTR 0 1247 0 FREYR BATTERY SHS L4135L100 8509 910 SH SOLE 910 0 0 FUELCELL ENERGY INC COM 35952H601 3663 1696 SH SOLE 1696 0 0 GARTNER INC COM 366651107 10509 30 SH SOLE 30 0 0 GENERAL ELECTRIC CO COM NEW 369604301 335702 3056 SH OTR 0 3056 0 GILEAD SCIENCES INC COM 375558103 134102 1740 SH OTR 0 1740 0 GILEAD SCIENCES INC COM 375558103 18497 240 SH SOLE 240 0 0 GLOBAL WTR RES INC COM 379463102 2384 188 SH SOLE 188 0 0 GLOBAL X FDS US PFD ETF 37954Y657 43081419 2221837 SH SOLE 2221837 0 0 GLOBAL X FDS US PFD ETF 37954Y657 93537 4824 SH SOLE 4824 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 266741 827 SH OTR 0 827 0 GRANITESHARES ETF TR BBG COMMD K 1 38747R108 50097 2426 SH OTR 0 2426 0 GREENPOWER MTR CO INC COM NEW 39540E302 1011 386 SH SOLE 386 0 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 4500 180 SH SOLE 180 0 0 HECLA MNG CO COM 422704106 43729 8491 SH OTR 0 8491 0 HERITAGE CRYSTAL CLEAN INC COM 42726M106 3703 98 SH SOLE 98 0 0 HERSHEY CO COM 427866108 1504443 6025 SH OTR 0 6025 0 HOME DEPOT INC COM 437076102 421538 1357 SH OTR 0 1357 0 HONEYWELL INTL INC COM 438516106 393005 1894 SH OTR 0 1894 0 HONEYWELL INTL INC COM 438516106 48140 232 SH OTR 0 232 0 INGREDION INC COM 457187102 9324 88 SH SOLE 88 0 0 INSULET CORP NOTE 0.375% 9/0 45784PAK7 1469645 1070000 SH OTR 0 1070000 0 INTUIT COM 461202103 20160 44 SH SOLE 44 0 0 INVESCO ACTIVLY MANGD ETC FD OPTIMUM YIELD 46090F100 64569 4746 SH OTR 0 4746 0 INVESCO DB COMMDY INDX TRCK UNIT 46138B103 67714 2983 SH OTR 0 2983 0 INVESCO EXCHNG TRADED FD TR TAXABLE MUN BD 46138G805 12156316 457865 SH SOLE 457865 0 0 INVESCO EXCHNG TRADED FD TR TAXABLE MUN BD 46138G805 26444 996 SH SOLE 996 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1237926 3351 SH OTR 0 3351 0 INVESCO QQQ TR UNIT SER 1 46090E103 75512773 204409 SH SOLE 204409 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 164022 444 SH SOLE 444 0 0 IQVIA HLDGS INC COM 46266C105 14835 66 SH SOLE 66 0 0 ISHARES CORE TOTUSBD ETF 464287226 110716901 1130341 SH SOLE 1130341 0 0 ISHARES CORE TOTUSBD ETF 464287226 240173 2452 SH SOLE 2452 0 0 ISHARES TR S&P 100 ETF 464287101 2788891 13469 SH OTR 0 13469 0 ISHARES TR CORE S&P500 ETF 464287200 24601855 55197 SH SOLE 55197 0 0 ISHARES TR MBS ETF 464288588 5910483 63373 SH SOLE 63373 0 0 ISHARES TR BROAD USD HIGH 46435U853 18543690 525317 SH SOLE 525317 0 0 ISHARES TR CORE S&P500 ETF 464287200 21768476 48840 SH SOLE 48840 0 0 ISHARES TR BARCLAYS 7 10 YR 464287440 478943 4958 SH SOLE 4958 0 0 ISHARES TR 1-3 YR TR BD ETF 464287457 1925974 23754 SH SOLE 23754 0 0 ISHARES TR CORE MSCI EAFE 46432F842 23511465 348318 SH SOLE 348318 0 0 ISHARES TR CORE S&P500 ETF 464287200 53485 120 SH SOLE 120 0 0 ISHARES TR MBS ETF 464288588 13057 140 SH SOLE 140 0 0 ISHARES TR BROAD USD HIGH 46435U853 40242 1140 SH SOLE 1140 0 0 ISHARES U S ETF TR GSCI CMDTY STGY 46431W853 48946 1884 SH OTR 0 1884 0 J P MORGAN EXCHANGE-TRADED F EQUITY PREMIUM 46641Q332 56321569 1017921 SH SOLE 1017921 0 0 J P MORGAN EXCHANGE-TRADED F EQUITY PREMIUM 46641Q332 122390 2212 SH SOLE 2212 0 0 JOHNSON & JOHNSON COM 478160104 483484 2921 SH OTR 0 2921 0 JOHNSON CTLS INTL PLC SHS G51502105 14718 216 SH SOLE 216 0 0 JPMORGAN CHASE & CO COM 46625H100 1045277 7187 SH OTR 0 7187 0 JPMORGAN CHASE & CO COM 46625H100 48141 331 SH OTR 0 331 0 KBR INC COM 48242W106 2068908 31800 SH OTR 0 31800 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 7703 46 SH SOLE 46 0 0 KINDER MORGAN INC DEL COM 49456B101 48182 2798 SH OTR 0 2798 0 KKR & CO INC CL A 48251W104 4519200 80700 SH OTR 0 80700 0 KLA-TENCOR CORP COM 482480100 156176 322 SH OTR 0 322 0 KRAFT HEINZ CO COM 500754106 87366 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SH OTR 0 568 0 PEPSICO INC COM 713448108 852012 4600 SH OTR 0 4600 0 PEPSICO INC COM 713448108 203186 1097 SH OTR 0 1097 0 PETIQ INC NOTE 4.000% 6/0 71639TAB2 1122376 1225000 SH OTR 0 1225000 0 PFIZER INC COM 717081103 16873 460 SH SOLE 460 0 0 PIONEER NAT RES CO COM 723787107 2486160 12000 SH OTR 0 12000 0 PLUG POWER INC COM NEW 72919P202 3616 348 SH SOLE 348 0 0 PROCTER & GAMBLE CO COM 742718109 484506 3193 SH OTR 0 3193 0 PROGRESSIVE CORP OHIO COM 743315103 52683 398 SH OTR 0 398 0 PROLOGIS INC COM 74340W103 308905 2519 SH OTR 0 2519 0 PROLOGIS INC COM 74340W103 41326 337 SH OTR 0 337 0 PROS HOLDINGS INC NOTE 1.000% 5/1 74346YAH6 2308972 2440000 SH OTR 0 2440000 0 PUBLIC STORAGE COM 74460D109 41447 142 SH OTR 0 142 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 10861 1016 SH SOLE 1016 0 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 425636 4345 SH OTR 0 4345 0 RAYTHEON TECHNOLOGIES CORP COM 75513E101 52702 538 SH OTR 0 538 0 RBC BEARINGS INC 5% CNV PFD SR A 75524B203 3425500 32500 SH OTR 0 32500 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 60836 224 SH OTR 0 224 0 RENESOLA LTD SPONSORED ADS 75971T301 1812 478 SH SOLE 478 0 0 S&P GLOBAL INC COM 78409V104 309888 773 SH OTR 0 773 0 SALESFORCE COM INC COM 79466L302 537657 2545 SH OTR 0 2545 0 SALESFORCE COM INC COM 79466L302 971796 4600 SH OTR 0 4600 0 SALESFORCE COM INC COM 79466L302 23661 112 SH SOLE 112 0 0 SCHLUMBERGER LTD COM 806857108 69161 1408 SH OTR 0 1408 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 25262921 482393 SH SOLE 482393 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 110768536 2399665 SH SOLE 2399665 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 38242884 1958161 SH SOLE 1958161 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 54884 1048 SH SOLE 1048 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 240586 5212 SH SOLE 5212 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 83042 4252 SH SOLE 4252 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1670447 9608 SH OTR 0 9608 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1104836 14896 SH OTR 0 14896 0 SERVICENOW INC COM 81762P102 337182 600 SH OTR 0 600 0 SERVICENOW INC COM 81762P102 24727 44 SH SOLE 44 0 0 SHERWIN WILLIAMS CO COM 824348106 45138 170 SH OTR 0 170 0 SHOALS TECHNOLOGIES GROUP IN CL A 82489W107 10428 408 SH SOLE 408 0 0 SHOPIFY INC NOTE 0.125% 11/0 82509LAA5 2538612 2802000 SH OTR 0 2802000 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 9686 36 SH SOLE 36 0 0 SOUTHERN CO COM 842587107 226908 3230 SH OTR 0 3230 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 3749055 3270000 SH OTR 0 3270000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2750552 6205 SH OTR 0 6205 0 SPLUNK INC NOTE 1.125% 6/1 848637AF1 3751875 4350000 SH OTR 0 4350000 0 SSR MNG INC COM 784730103 38555 2719 SH OTR 0 2719 0 STARBUCKS CORP COM 855244109 160378 1619 SH OTR 0 1619 0 STARBUCKS CORP COM 855244109 48341 488 SH OTR 0 488 0 STEEL DYNAMICS INC COM 858119100 57842 531 SH OTR 0 531 0 STERICYCLE INC COM 858912108 7059 152 SH SOLE 152 0 0 STRYKER CORP COM 863667101 288615 946 SH OTR 0 946 0 SUNNOVA ENERGY INTL INC COM 86745K104 6848 374 SH SOLE 374 0 0 SUNPOWER CORP COM 867652406 4469 456 SH SOLE 456 0 0 SUNRUN INC COM 86771W105 4929 276 SH SOLE 276 0 0 SUNWORKS INC COM NEW 86803X204 1216 1076 SH SOLE 1076 0 0 TC ENERGY CORP COM 87807B107 38349 949 SH OTR 0 949 0 TESLA MTRS INC COM 88160R101 231666 885 SH OTR 0 885 0 TESLA MTRS INC COM 88160R101 42145 161 SH SOLE 161 0 0 TEXAS INSTRS INC COM 882508104 204323 1135 SH OTR 0 1135 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1862648 3570 SH OTR 0 3570 0 T-MOBILE US INC COM 872590104 555600 4000 SH OTR 0 4000 0 T-MOBILE US INC COM 872590104 133066 958 SH OTR 0 958 0 TPI COMPOSITES INC COM 87266J104 2261 218 SH SOLE 218 0 0 TRAVELERS COMPANIES INC COM 89417E109 47757 275 SH OTR 0 275 0 TYLER TEX INDPT SCH DIST NOTE 0.250% 3/1 902252AB1 4027300 3910000 SH OTR 0 3910000 0 UNILEVER PLC SPON ADR NEW 904767704 24814 476 SH SOLE 476 0 0 UNION PAC CORP COM 907818108 42561 208 SH OTR 0 208 0 UNITED PARCEL SERVICE INC COM 911312106 365849 2041 SH OTR 0 2041 0 UNITED PARCEL SERVICE INC COM 911312106 44096 246 SH OTR 0 246 0 UNITED STATES STL CORP NEW COM 912909108 51145 2045 SH OTR 0 2045 0 UNITEDHEALTH GROUP INC COM 91324P102 26916 56 SH SOLE 56 0 0 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 2684168 17630 SH OTR 0 17630 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 110840111 1524833 SH SOLE 1524833 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 240749 3312 SH SOLE 3312 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2765934 9775 SH OTR 0 9775 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 24978075 61329 SH SOLE 61329 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 53761 132 SH SOLE 132 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 24392847 308653 SH SOLE 308653 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 52792 668 SH SOLE 668 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 64742811 398589 SH SOLE 398589 0 0 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 140340 864 SH SOLE 864 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 345086 9279 SH OTR 0 9279 0 VERTEX PHARMACEUTICALS INC COM 92532F100 134430 382 SH OTR 0 382 0 VIACOMCBS INC CL B 92556H206 22831 1435 SH OTR 0 1435 0 VISA INC COM CL A 92826C839 1671384 7038 SH OTR 0 7038 0 VISA INC COM CL A 92826C839 50346 212 SH OTR 0 212 0 VISA INC COM CL A 92826C839 27548 116 SH SOLE 116 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 78889 2769 SH OTR 0 2769 0 WAL-MART STORES INC COM 931142103 210464 1339 SH OTR 0 1339 0 WATERS CORP COM 941848103 6930 26 SH SOLE 26 0 0 WATTS WATER TECHNOLOGIES INC CL A 942749102 8452 46 SH SOLE 46 0 0 WELLS FARGO & CO NEW COM 949746101 420227 9846 SH OTR 0 9846 0 WELLS FARGO & CO NEW COM 949746101 42595 998 SH OTR 0 998 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 1497600 1300 SH OTR 0 1300 0 WEST PHARMACEUTICAL SVSC INC COM 955306105 8414 22 SH SOLE 22 0 0 WESTERN DIGITAL CORP. NOTE 1.500% 2/0 958102AP0 3027826 3123080 SH OTR 0 3123080 0 WHEATON PRECIOUS METALS CORP COM 962879102 49876 1154 SH OTR 0 1154 0 WILLIAMS COS INC DEL COM 969457100 55014 1686 SH OTR 0 1686 0 WISDOMTREE TR 90/60 BALNCED FD 97717Y790 51145813 1379709 SH SOLE 1379709 0 0 WISDOMTREE TR 90/60 BALNCED FD 97717Y790 111062 2996 SH SOLE 2996 0 0 WIX COM LTD NOTE 8/1 92940WAD1 0 0 SH OTR 0 0 0 WORKHORSE GROUP INC COM NEW 98138J206 793 910 SH SOLE 910 0 0 XYLEM INC COM 98419M100 8559 76 SH SOLE 76 0 0