Chief Compliance Officer

0001846991-22-000002.txt : 20220428 0001846991-22-000002.hdr.sgml : 20220428 20220427174436 ACCESSION NUMBER: 0001846991-22-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220428 DATE AS OF CHANGE: 20220427 EFFECTIVENESS DATE: 20220428 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Round Rock Advisors, LLC CENTRAL INDEX KEY: 0001846991 IRS NUMBER: 821105309 STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-21052 FILM NUMBER: 22861202 BUSINESS ADDRESS: STREET 1: 187 DANBURY ROAD STREET 2: SUITE 201 CITY: WILTON STATE: CT ZIP: 06897 BUSINESS PHONE: (203) 920-4774 MAIL ADDRESS: STREET 1: 187 DANBURY ROAD STREET 2: SUITE 201 CITY: WILTON STATE: CT ZIP: 06897 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001846991 XXXXXXXX 03-31-2022 03-31-2022 Round Rock Advisors, LLC

187 DANBURY ROAD SUITE 201 WILTON CT 06897

13F HOLDINGS REPORT 028-21052 N BERT BOWLER Chief Compliance Officer (203) 920-4774 BERT BOWLER WILTON CT 04-27-2022 0 142 246556 false INFORMATION TABLE 2 13F_RoundRock_Q12022.xml EMX RTY CORP COM 26873J107 22 10000 SH SOLE 0 0 10000 BLACKROCK MUNIHOLDINGS QUALI COM 09253N104 143 10075 SH SOLE 0 0 10075 PALANTIR TECHNOLOGIES INC CL A 69608A108 152 11057 SH SOLE 0 0 11057 BLACKSTONE STRATEGIC CREDIT COM SHS BEN IN 09257R101 179 13748 SH SOLE 0 0 13748 ISHARES TR ESG AW MSCI EAFE 46435G516 202 2741 SH SOLE 0 0 2741 INTEL CORP COM 458140100 203 4096 SH SOLE 0 0 4096 BLACKROCK CORPOR HI YLD FD I COM 09255P107 203 18882 SH SOLE 0 0 18882 INNOVATIVE INDL PPTYS INC COM 45781V101 213 1036 SH SOLE 0 0 1036 ISHARES INC MSCI EM ASIA ETF 464286426 214 2893 SH SOLE 0 0 2893 VANGUARD WORLD FD ESG US CORP BD 921910691 214 3153 SH SOLE 0 0 3153 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 220 720 SH SOLE 0 0 720 BLACKROCK SCIENCE & TECHNOLO SHS 09258G104 223 5150 SH SOLE 0 0 5150 ISHARES TR PFD AND INCM SEC 464288687 223 6110 SH SOLE 0 0 6110 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 223 538 SH SOLE 0 0 538 ISHARES TR CORE HIGH DV ETF 46429B663 227 2128 SH SOLE 0 0 2128 ORACLE CORP COM 68389X105 227 2748 SH SOLE 0 0 2748 SELECT SECTOR SPDR TR ENERGY 81369Y506 231 3024 SH SOLE 0 0 3024 SPDR SER TR S&P BIOTECH 78464A870 232 2583 SH SOLE 0 0 2583 WALMART INC COM 931142103 233 1565 SH SOLE 0 0 1565 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 237 2186 SH SOLE 0 0 2186 BORGWARNER INC COM 099724106 253 6500 SH SOLE 0 0 6500 YUM BRANDS INC COM 988498101 255 2154 SH SOLE 0 0 2154 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 256 2356 SH SOLE 0 0 2356 SOUTHERN CO COM 842587107 256 3534 SH SOLE 0 0 3534 NOVARTIS AG SPONSORED ADR 66987V109 260 2960 SH SOLE 0 0 2960 3M CO COM 88579Y101 262 1762 SH SOLE 0 0 1762 SHOPIFY INC CL A 82509L107 262 388 SH SOLE 0 0 388 INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 46138G649 266 1783 SH SOLE 0 0 1783 EATON VANCE ENHANCED EQUITY COM 278277108 267 12705 SH SOLE 0 0 12705 NEUBERGER BERMAN MUN FD INC COM 64124P101 268 20209 SH SOLE 0 0 20209 WP CAREY INC COM 92936U109 273 3374 SH SOLE 0 0 3374 AT&T INC COM 00206R102 275 11655 SH SOLE 0 0 11655 DISNEY WALT CO COM 254687106 276 2014 SH SOLE 0 0 2014 FACEBOOK INC CL A 30303M102 286 1285 SH SOLE 0 0 1285 VANGUARD WORLD FD ESG INTL STK ETF 921910725 287 5010 SH SOLE 0 0 5010 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 288 830 SH SOLE 0 0 830 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 297 50634 SH SOLE 0 0 50634 NVIDIA CORPORATION COM 67066G104 301 1104 SH SOLE 0 0 1104 AMERICAN EXPRESS CO COM 025816109 318 1699 SH SOLE 0 0 1699 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 322 3613 SH SOLE 0 0 3613 ISHARES TR CORE DIV GRWTH 46434V621 322 6035 SH SOLE 0 0 6035 BANK NEW YORK MELLON CORP COM 064058100 330 6645 SH SOLE 0 0 6645 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 332 8663 SH SOLE 0 0 8663 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 345 1358 SH SOLE 0 0 1358 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 359 4733 SH SOLE 0 0 4733 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 371 2477 SH SOLE 0 0 2477 ISHARES TR MSCI AC ASIA ETF 464288182 380 5071 SH SOLE 0 0 5071 XYLEM INC COM 98419M100 380 4459 SH SOLE 0 0 4459 ISHARES TR BLACKROCK ULTRA 46434V878 382 7615 SH SOLE 0 0 7615 TEMPLETON EMERGING MKTS FD COM 880191101 400 29097 SH SOLE 0 0 29097 FIDELITY COMWLTH TR NASDAQ COMPSIT 315912808 411 7395 SH SOLE 0 0 7395 TEMPLETON EMERGING MKTS INCO COM 880192109 415 60521 SH SOLE 0 0 60521 ARISTA NETWORKS INC COM 040413106 420 3020 SH SOLE 0 0 3020 NETFLIX INC COM 64110L106 423 1129 SH SOLE 0 0 1129 PROSHARES TR RUSS 2000 DIVD 74347B698 452 7000 SH SOLE 0 0 7000 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 453 11800 SH SOLE 0 0 11800 BANCROFT FD LTD COM 059695106 456 20005 SH SOLE 0 0 20005 BLACKROCK DEBT STRATEGIES FD COM NEW 09255R202 464 44526 SH SOLE 0 0 44526 PIMCO DYNAMIC INCOME FD SHS 72201Y101 468 19194 SH SOLE 0 0 19194 UNION PAC CORP COM 907818108 469 1718 SH SOLE 0 0 1718 THERMO FISHER SCIENTIFIC INC COM 883556102 487 824 SH SOLE 0 0 824 ISHARES TR US HLTHCARE ETF 464287762 500 1730 SH SOLE 0 0 1730 INTERNATIONAL BUSINESS MACHS COM 459200101 520 4001 SH SOLE 0 0 4001 DOW INC COM 260557103 522 8191 SH SOLE 0 0 8191 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 533 5325 SH SOLE 0 0 5325 COHEN & STEERS REIT & PFD & COM 19247X100 540 20077 SH SOLE 0 0 20077 VERIZON COMMUNICATIONS INC COM 92343V104 569 11165 SH SOLE 0 0 11165 RAYTHEON TECHNOLOGIES CORP COM 75513E101 578 5838 SH SOLE 0 0 5838 PROCTER AND GAMBLE CO COM 742718109 580 3795 SH SOLE 0 0 3795 ISHARES TR ESG AWARE MSCI 46435U663 583 15338 SH SOLE 0 0 15338 RH COM 74967X103 606 1858 SH SOLE 0 0 1858 CHEVRON CORP NEW COM 166764100 629 3861 SH SOLE 0 0 3861 ISHARES TR RUS TP200 GR ETF 464289438 637 4008 SH SOLE 0 0 4008 SPDR SER TR S&P DIVID ETF 78464A763 640 4996 SH SOLE 0 0 4996 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 646 8191 SH SOLE 0 0 8191 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 664 1354 SH SOLE 0 0 1354 ISHARES TR CORE MSCI EAFE 46432F842 669 9619 SH SOLE 0 0 9619 ISHARES TR NATIONAL MUN ETF 464288414 724 6603 SH SOLE 0 0 6603 MICRON TECHNOLOGY INC COM 595112103 744 9551 SH SOLE 0 0 9551 LOCKHEED MARTIN CORP COM 539830109 746 1689 SH SOLE 0 0 1689 EXXON MOBIL CORP COM 30231G102 763 9238 SH SOLE 0 0 9238 ALPHABET INC CAP STK CL C 02079K107 765 274 SH SOLE 0 0 274 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 772 16079 SH SOLE 0 0 16079 JPMORGAN CHASE & CO COM 46625H100 773 5667 SH SOLE 0 0 5667 AMPHENOL CORP NEW CL A 032095101 775 10291 SH SOLE 0 0 10291 NEWMONT CORP COM 651639106 814 10241 SH SOLE 0 0 10241 ISHARES TR MSCI USA ESG SLC 464288802 814 8404 SH SOLE 0 0 8404 ENTERPRISE PRODS PARTNERS L COM 293792107 818 31700 SH SOLE 0 0 31700 ISHARES TR RUS MD CP GR ETF 464287481 825 8204 SH SOLE 0 0 8204 ISHARES TR 0-5YR HI YL CP 46434V407 828 18833 SH SOLE 0 0 18833 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 832 2357 SH SOLE 0 0 2357 ISHARES TR CORE S&P US VLU 464287663 847 11158 SH SOLE 0 0 11158 VOYA GLBL ADV & PREM OPP FD COM 92912R104 866 89514 SH SOLE 0 0 89514 ALPHABET INC CAP STK CL A 02079K305 871 313 SH SOLE 0 0 313 VANGUARD INDEX FDS GROWTH ETF 922908736 895 3112 SH SOLE 0 0 3112 MORGAN STANLEY EMER MKTS DEB COM 61744H105 931 119613 SH SOLE 0 0 119613 J P MORGAN EXCHANGE-TRADED F EQUITY PREMIUM 46641Q332 939 15287 SH SOLE 0 0 15287 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 956 12097 SH SOLE 0 0 12097 VANGUARD INDEX FDS TOTAL STK MKT 922908769 971 4267 SH SOLE 0 0 4267 WISDOMTREE TR US SMALLCAP DIVD 97717W604 1025 32166 SH SOLE 0 0 32166 MICROSOFT CORP COM 594918104 1038 3366 SH SOLE 0 0 3366 VANGUARD INDEX FDS SMALL CP ETF 922908751 1052 4950 SH SOLE 0 0 4950 VANGUARD INDEX FDS SM CP VAL ETF 922908611 1058 6015 SH SOLE 0 0 6015 VANGUARD INDEX FDS SML CP GRW ETF 922908595 1103 4447 SH SOLE 0 0 4447 FIDELITY COVINGTON TRUST TOTAL BD ETF 316188309 1149 23087 SH SOLE 0 0 23087 VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 921932869 1180 6132 SH SOLE 0 0 6132 ISHARES TR RUSSELL 2000 ETF 464287655 1188 5787 SH SOLE 0 0 5787 AMAZON COM INC COM 023135106 1262 387 SH SOLE 0 0 387 JOHNSON & JOHNSON COM 478160104 1323 7464 SH SOLE 0 0 7464 PFIZER INC COM 717081103 1380 26657 SH SOLE 0 0 26657 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 1447 44207 SH SOLE 0 0 44207 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1467 21863 SH SOLE 0 0 21863 VANGUARD INDEX FDS VALUE ETF 922908744 1491 10088 SH SOLE 0 0 10088 PEPSICO INC COM 713448108 1516 9057 SH SOLE 0 0 9057 ITT INC COM 45073V108 1559 20730 SH SOLE 0 0 20730 HOME DEPOT INC COM 437076102 1559 5208 SH SOLE 0 0 5208 ISHARES TR CORE S&P MCP ETF 464287507 1635 6092 SH SOLE 0 0 6092 ISHARES TR RUS 1000 GRW ETF 464287614 1756 6326 SH SOLE 0 0 6326 ISHARES TR CORE S&P500 ETF 464287200 1894 4175 SH SOLE 0 0 4175 VANGUARD WORLD FDS INF TECH ETF 92204A702 1974 4739 SH SOLE 0 0 4739 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1980 9499 SH SOLE 0 0 9499 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 2139 13189 SH SOLE 0 0 13189 ISHARES TR S&P 500 GRWT ETF 464287309 2477 32436 SH SOLE 0 0 32436 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 2506 49849 SH SOLE 0 0 49849 ISHARES TR MSCI EAFE MIN VL 46429B689 2717 37667 SH SOLE 0 0 37667 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2892 56474 SH SOLE 0 0 56474 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3214 20223 SH SOLE 0 0 20223 TESLA INC COM 88160R101 3342 3101 SH SOLE 0 0 3101 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 3690 42885 SH SOLE 0 0 42885 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 4031 51624 SH SOLE 0 0 51624 SPDR S&P 500 ETF TR TR UNIT 78462F103 4769 10559 SH SOLE 0 0 10559 ISHARES TR MSCI USA MIN VOL 46429B697 4948 63782 SH SOLE 0 0 63782 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 5835 42594 SH SOLE 0 0 42594 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 7180 45528 SH SOLE 0 0 45528 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 8137 79012 SH SOLE 0 0 79012 ISHARES TR SELECT DIVID ETF 464287168 8981 70092 SH SOLE 0 0 70092 APPLE INC COM 037833100 9125 52258 SH SOLE 0 0 52258 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 9575 35491 SH SOLE 0 0 35491 ISHARES TR CORE S&P SCP ETF 464287804 16800 155731 SH SOLE 0 0 155731 VANGUARD INDEX FDS MID CAP ETF 922908629 17742 74594 SH SOLE 0 0 74594 INVESCO QQQ TR UNIT SER 1 46090E103 24307 67046 SH SOLE 0 0 67046 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 25360 225928 SH SOLE 0 0 225928