0001162044-24-000164.txt : 20240214 0001162044-24-000164.hdr.sgml : 20240214 20240214114849 ACCESSION NUMBER: 0001162044-24-000164 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240214 DATE AS OF CHANGE: 20240214 EFFECTIVENESS DATE: 20240214 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16191 FILM NUMBER: 24634621 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/A 1 primary_doc.xml X0202 13F-HR/A LIVE false false false 0001143565 XXXXXXXX 12-31-2023 12-31-2023 true 1 RESTATEMENT 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 02-09-2024 0 205 982412678 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 72426 658 SH OTR 0 658 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 88780 253 SH OTR 0 253 0 ADOBE INC COM 00724F101 112757 189 SH OTR 0 189 0 ALPHABET INC CAP STK CL A 02079K305 1767079 12650 SH OTR 0 12650 0 ALPHABET INC CAP STK CL A 02079K305 773603 5538 SH OTR 0 5538 0 ALPHABET INC CAP STK CL C 02079K107 768491 5453 SH OTR 0 5453 0 ALPS ETF TR ALERIAN MLP 00162Q452 62093402 1460334 SH SOLE 1460334 0 0 ALTERYX INC NOTE 1.000% 8/0 02156BAF0 4137525 4260000 SH OTR 0 4260000 0 ALTRIA GROUP INC COM 02209S103 632087 15669 SH OTR 0 15669 0 AMERICAN TOWER CORP NEW COM 03027X100 37995 176 SH OTR 0 176 0 APOLLO GLOBAL MGMT INC COM 03769M106 2767743 29700 SH OTR 0 29700 0 APOLLO GLOBAL MGMT INC SER A MAND CNV 03769M304 6191622 109800 SH OTR 0 109800 0 APPLE INC COM 037833100 2127649 11051 SH OTR 0 11051 0 APPLE INC COM 037833100 1840972 9562 SH OTR 0 9562 0 APPLIED MATLS INC COM 038222105 535317 3303 SH OTR 0 3303 0 AT&T INC COM 00206R102 95847 5712 SH OTR 0 5712 0 ATI INC COM 01741R102 1514151 33300 SH OTR 0 33300 0 ATLANTICA SUSTAINABLE INFR P SHS G0751N103 41409 1926 SH OTR 0 1926 0 BIOMARIN PHARMACEUTICAL INC NOTE 1.250% 5/1 09061GAK7 2560062 2493000 SH OTR 0 2493000 0 BLACKROCK INC COM 09247X101 86863 107 SH OTR 0 107 0 BLACKSTONE INC COM 09260D107 2225640 17000 SH OTR 0 17000 0 BOOKING HOLDINGS INC COM 09857L108 99322 28 SH OTR 0 28 0 BOOKING HOLDINGS INC COM 09857L108 4256664 1200 SH OTR 0 1200 0 BROADCOM INC COM 11135F101 1050391 941 SH OTR 0 941 0 BROOKFIELD INFRAST PARTNERS LP INT UNIT G16252101 42039 1335 SH OTR 0 1335 0 CANADIAN NATL RY CO COM 136375102 47111 375 SH OTR 0 375 0 CANADIAN PACIFIC KANSAS CITY COM 13646K108 46962 594 SH OTR 0 594 0 CATERPILLAR INC COM 149123101 45829 155 SH OTR 0 155 0 CHEGG INC NOTE 9/0 163092AF6 1707310 2057000 SH OTR 0 2057000 0 CHENIERE ENERGY INC COM NEW 16411R208 60261 353 SH OTR 0 353 0 CHEVRON CORP NEW COM 166764100 56681 380 SH OTR 0 380 0 CISCO SYS INC COM 17275R102 768258 15207 SH OTR 0 15207 0 CITIGROUP INC COM NEW 172967424 76183 1481 SH OTR 0 1481 0 CLOUDFLARE INC CL A COM 18915M107 1956610 23500 SH OTR 0 23500 0 CME GROUP INC COM 12572Q105 62338 296 SH OTR 0 296 0 COCA COLA CO COM 191216100 64116 1088 SH OTR 0 1088 0 COMCAST CORP NEW CL A 20030N101 143302 3268 SH OTR 0 3268 0 CONOCOPHILLIPS COM 20825C104 52928 456 SH OTR 0 456 0 CONSTELLATION ENERGY CORP COM 21037T109 160841 1376 SH OTR 0 1376 0 COSTCO WHSL CORP NEW COM 22160K105 2900392 4394 SH OTR 0 4394 0 COSTCO WHSL CORP NEW COM 22160K105 77889 118 SH OTR 0 118 0 CROWN CASTLE INC COM 22822V101 29143 253 SH OTR 0 253 0 CSX CORP COM 126408103 42783 1234 SH OTR 0 1234 0 CVS HEALTH CORP COM 126650100 80302 1017 SH OTR 0 1017 0 CYBERARK SOFTWARE LTD NOTE 11/1 23248VAB1 3093960 2185000 SH OTR 0 2185000 0 DATADOG INC CL A COM 23804L103 1068144 8800 SH OTR 0 8800 0 DEERE & CO COM 244199105 43186 108 SH OTR 0 108 0 DELTA AIR LINES INC DEL COM NEW 247361702 151426 3764 SH OTR 0 3764 0 DEXCOM INC NOTE 0.250%11/1 252131AK3 5773320 5530000 SH OTR 0 5530000 0 DIGITAL RLTY TR INC COM 253868103 46161 343 SH OTR 0 343 0 DIMENSIONAL ETF TRUST CORE FIXED INCOM 25434V872 38531806 908769 SH SOLE 908769 0 0 DISNEY WALT CO COM 254687106 129747 1437 SH OTR 0 1437 0 DOMINOS PIZZA INC COM 25754A201 412230 1000 SH OTR 0 1000 0 DOW INC COM 260557103 54346 991 SH OTR 0 991 0 DRAFTKINGS INC NEW COM CL A 26142V105 2538000 72000 SH OTR 0 72000 0 DRAFTKINGS INC NEW NOTE 3/1 26142RAB0 2420530 3020000 SH OTR 0 3020000 0 DUKE ENERGY CORP NEW COM NEW 26441C204 45803 472 SH OTR 0 472 0 DUPONT DE NEMOURS INC COM 26614N102 55236 718 SH OTR 0 718 0 EATON CORP PLC SHS G29183103 75136 312 SH OTR 0 312 0 EBAY INC. COM 278642103 377793 8661 SH OTR 0 8661 0 ECOLAB INC COM 278865100 47406 239 SH OTR 0 239 0 EMERSON ELEC CO COM 291011104 42631 438 SH OTR 0 438 0 ENBRIDGE INC COM 29250N105 40775 1132 SH OTR 0 1132 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 44684 3238 SH OTR 0 3238 0 ENTERPRISE PRODS PARTNERS L COM 293792107 41738 1584 SH OTR 0 1584 0 EOG RES INC COM 26875P101 42212 349 SH OTR 0 349 0 EQT CORP COM 26884L109 1894340 49000 SH OTR 0 49000 0 EQUINIX INC COM 29444U700 51545 64 SH OTR 0 64 0 ETSY INC NOTE 0.250% 6/1 29786AAN6 4875654 6090000 SH OTR 0 6090000 0 EURONET WORLDWIDE INC NOTE 0.750% 3/1 298736AL3 5031168 5380928 SH OTR 0 5380928 0 EXPEDIA GROUP INC NOTE 30212PBE4 5791188 6125000 SH OTR 0 6125000 0 EXXON MOBIL CORP COM 30231G102 58988 590 SH OTR 0 590 0 FIDELITY COVINGTON TRUST VLU FACTOR ETF 316092782 1575416 29726 SH OTR 0 29726 0 FIDELITY COVINGTON TRUST MSCI INFO TECH I 316092808 958510 6673 SH OTR 0 6673 0 FIDELITY COVINGTON TRUST MSCI UTILS INDEX 316092865 21821487 534055 SH SOLE 534055 0 0 FORD MTR CO DEL NOTE 3/1 345370CZ1 2786000 2800000 SH OTR 0 2800000 0 FORTIS INC COM 349553107 44215 1075 SH OTR 0 1075 0 FREEPORT-MCMORAN INC CL B 35671D857 51765 1216 SH OTR 0 1216 0 GENERAL DYNAMICS CORP COM 369550108 48818 188 SH OTR 0 188 0 GENERAL ELECTRIC CO COM NEW 369604301 109379 857 SH OTR 0 857 0 GILEAD SCIENCES INC COM 375558103 512955 6332 SH OTR 0 6332 0 GLOBAL X FDS US PFD ETF 37954Y657 43480832 2241280 SH SOLE 2241280 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 97986 254 SH OTR 0 254 0 HOME DEPOT INC COM 437076102 124411 359 SH OTR 0 359 0 HONEYWELL INTL INC COM 438516106 109259 521 SH OTR 0 521 0 HONEYWELL INTL INC COM 438516106 47394 226 SH OTR 0 226 0 INTEL CORP COM 458140100 163514 3254 SH OTR 0 3254 0 INTERNATIONAL BUSINESS MACHS COM 459200101 522215 3193 SH OTR 0 3193 0 INVESCO EXCH TRADED FD TR II TAXABLE MUN BD 46138G805 16727391 621605 SH SOLE 621605 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 65970396 161092 SH SOLE 161092 0 0 ISHARES TR 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OTR 0 2284 0 KBR INC COM 48242W106 2011383 36300 SH OTR 0 36300 0 KINDER MORGAN INC DEL COM 49456B101 48069 2725 SH OTR 0 2725 0 KKR & CO INC COM 48251W104 2899750 35000 SH OTR 0 35000 0 LAM RESEARCH CORP COM 512807108 529484 676 SH OTR 0 676 0 LINDE PLC SHS G54950103 62017 151 SH OTR 0 151 0 LINDE PLC SHS G54950103 51339 125 SH OTR 0 125 0 LIVE NATION ENTERTAINMENT IN COM 538034109 3963960 42350 SH OTR 0 42350 0 LOCKHEED MARTIN CORP COM 539830109 42151 93 SH OTR 0 93 0 LOWES COS INC COM 548661107 353409 1588 SH OTR 0 1588 0 LULULEMON ATHLETICA INC COM 550021109 2970595 5810 SH OTR 0 5810 0 MANCHESTER UTD PLC NEW ORD CL A G5784H106 703110 34500 SH OTR 0 34500 0 MCDONALDS CORP COM 580135101 508811 1716 SH OTR 0 1716 0 MEDTRONIC PLC SHS G5960L103 87076 1057 SH OTR 0 1057 0 MERCADOLIBRE INC COM 58733R102 2655903 1690 SH OTR 0 1690 0 MERCADOLIBRE INC COM 58733R102 3143080 2000 SH OTR 0 2000 0 MERCK & CO INC COM 58933Y105 1253730 11500 SH OTR 0 11500 0 META PLATFORMS INC CL A 30303M102 2309589 6525 SH OTR 0 6525 0 META PLATFORMS INC CL A 30303M102 1484508 4194 SH OTR 0 4194 0 MICRON TECHNOLOGY INC COM 595112103 72624 851 SH OTR 0 851 0 MICROSOFT CORP COM 594918104 2875578 7647 SH OTR 0 7647 0 MICROSOFT CORP COM 594918104 1974586 5251 SH OTR 0 5251 0 MORGAN STANLEY COM NEW 617446448 91199 978 SH OTR 0 978 0 MPLX LP COM UNIT REP LTD 55336V100 44211 1204 SH OTR 0 1204 0 NETFLIX INC COM 64110L106 171382 352 SH OTR 0 352 0 NEXTERA ENERGY INC COM 65339F101 93054 1532 SH OTR 0 1532 0 NEXTERA ENERGY INC COM 65339F101 38205 629 SH OTR 0 629 0 NEXTERA ENERGY INC UNIT 09/01/2025 65339F713 6129696 160800 SH OTR 0 160800 0 NIKE INC CL B 654106103 2490487 22939 SH OTR 0 22939 0 NIKE INC CL B 654106103 104661 964 SH OTR 0 964 0 NORFOLK SOUTHN CORP COM 655844108 36875 156 SH OTR 0 156 0 NORTHROP GRUMMAN CORP COM 666807102 61326 131 SH OTR 0 131 0 NUCOR CORP COM 670346105 63699 366 SH OTR 0 366 0 NUTANIX INC CL A 67059N108 734426 15400 SH OTR 0 15400 0 NVIDIA CORPORATION COM 67066G104 988459 1996 SH OTR 0 1996 0 OCCIDENTAL PETE CORP COM 674599105 49261 825 SH OTR 0 825 0 OKTA INC NOTE 0.00375 6/1 679295AF2 4109716 4649000 SH OTR 0 4649000 0 ONEOK INC NEW COM 682680103 54280 773 SH OTR 0 773 0 OREILLY AUTOMOTIVE INC COM 67103H107 674557 710 SH OTR 0 710 0 PACCAR INC COM 693718108 262776 2691 SH OTR 0 2691 0 PEMBINA PIPELINE CORP COM 706327103 46467 1350 SH OTR 0 1350 0 PENTAIR PLC SHS G7S00T104 46025 633 SH OTR 0 633 0 PETIQ INC NOTE 4.000% 6/0 71639TAB2 640588 635000 SH OTR 0 635000 0 PHILLIPS 66 COM 718546104 61378 461 SH OTR 0 461 0 PIONEER NAT RES CO COM 723787107 1596648 7100 SH OTR 0 7100 0 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 42156 2643 SH OTR 0 2643 0 PROCTER AND GAMBLE CO COM COM 742718109 124559 850 SH OTR 0 850 0 PROLOGIS INC. COM 74340W103 92644 695 SH OTR 0 695 0 PROLOGIS INC. COM 74340W103 43589 327 SH OTR 0 327 0 PROS HOLDINGS INC NOTE 2.250% 9/1 74346YAG8 2480742 2211000 SH OTR 0 2211000 0 PUBLIC STORAGE COM 74460D109 42090 138 SH OTR 0 138 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 61530 220 SH OTR 0 220 0 REPUBLIC SVCS INC COM 760759100 47329 287 SH OTR 0 287 0 RTX CORPORATION COM 75513E101 44174 525 SH OTR 0 525 0 RTX CORPORATION COM COM 75513E101 99453 1182 SH OTR 0 1182 0 S&P GLOBAL INC COM 78409V104 111892 254 SH OTR 0 254 0 SALESFORCE INC COM 79466L302 199723 759 SH OTR 0 759 0 SCHLUMBERGER LTD COM STK 806857108 33097 636 SH OTR 0 636 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 21825164 386971 SH SOLE 386971 0 0 SCHWAB STRATEGIC TR US AGGREGATE B 808524839 100488524 2155481 SH SOLE 2155481 0 0 SCHWAB STRATEGIC TR US REIT ETF 808524847 28901778 1395547 SH SOLE 1395547 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 952391 4948 SH OTR 0 4948 0 SEMPRA COM 816851109 44464 595 SH OTR 0 595 0 SHERWIN WILLIAMS CO COM 824348106 51464 165 SH OTR 0 165 0 SHOPIFY INC NOTE 0.125%11/0 82509LAA5 5028076 5332000 SH OTR 0 5332000 0 SOUTHERN CO COM 842587107 43825 625 SH OTR 0 625 0 SOUTHWEST AIRLS CO NOTE 1.250% 5/0 844741BG2 1576380 1560000 SH OTR 0 1560000 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 1938316 41568 SH OTR 0 41568 0 SPLUNK INC NOTE 1.125% 6/1 848637AF1 5636670 5820000 SH OTR 0 5820000 0 STEEL DYNAMICS INC COM 858119100 61294 519 SH OTR 0 519 0 STRYKER CORPORATION COM 863667101 80555 269 SH OTR 0 269 0 TARGA RES CORP COM 87612G101 43348 499 SH OTR 0 499 0 TC ENERGY CORP COM 87807B107 35846 917 SH OTR 0 917 0 TESLA INC COM 88160R101 491493 1978 SH OTR 0 1978 0 T-MOBILE US INC COM 872590104 2084290 13000 SH OTR 0 13000 0 TRANSDIGM GROUP INC COM 893641100 2124360 2100 SH OTR 0 2100 0 TYLER TEX INDPT SCH DIST NOTE 0.0025 3/1 902252AB1 5667770 5620000 SH OTR 0 5620000 0 UBER TECHNOLOGIES INC COM 90353T100 2505899 40700 SH OTR 0 40700 0 UNION PAC CORP COM 907818108 49615 202 SH OTR 0 202 0 UNITED PARCEL SERVICE INC CL B 911312106 87892 559 SH OTR 0 559 0 UNITED PARCEL SERVICE INC CL B 911312106 37578 239 SH OTR 0 239 0 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 375271 2146 SH OTR 0 2146 0 VANGUARD ADMIRAL FDS INC 500 VAL IDX FD 921932703 1937922 11538 SH OTR 0 11538 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 21415430 49028 SH SOLE 49028 0 0 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 33160858 407983 SH SOLE 407983 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 60867562 357204 SH SOLE 357204 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 960256 1984 SH OTR 0 1984 0 VERIZON COMMUNICATIONS INC COM 92343V104 126747 3362 SH OTR 0 3362 0 VISA INC COM CL A 92826C839 2743568 10538 SH OTR 0 10538 0 WALMART INC COM 931142103 180036 1142 SH OTR 0 1142 0 WASTE CONNECTIONS INC COM 94106B101 45677 306 SH OTR 0 306 0 WASTE MGMT INC DEL COM 94106L109 47641 266 SH OTR 0 266 0 WELLS FARGO CO NEW COM 949746101 139489 2834 SH OTR 0 2834 0 WELLS FARGO CO NEW PERP PFD CNV A 949746804 6097662 5100 SH OTR 0 5100 0 WELLTOWER INC COM 95040Q104 47249 524 SH OTR 0 524 0 WESTERN DIGITAL CORP. NOTE 1.500% 2/0 958102AP0 80 80 SH OTR 0 80 0 WEYERHAEUSER CO MTN BE COM NEW 962166104 45027 1295 SH OTR 0 1295 0 WILLIAMS COS INC COM 969457100 57400 1648 SH OTR 0 1648 0 WISDOMTREE TR US EFFICIENT COR 97717Y790 50716139 1290487 SH SOLE 1290487 0 0 WIX COM LTD NOTE 8/1 92940WAD1 2297430 2540000 SH OTR 0 2540000 0 ZOETIS INC CL A 98978V103 71053 360 SH OTR 0 360 0