CHIEF COMPLIANCE OFFICER

0001951757-23-000015.txt : 20230119 0001951757-23-000015.hdr.sgml : 20230119 20230119130337 ACCESSION NUMBER: 0001951757-23-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230119 DATE AS OF CHANGE: 20230119 EFFECTIVENESS DATE: 20230119 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: 23536793 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 X0202 13F-HR LIVE false false false 0001846991 XXXXXXXX 12-31-2022 12-31-2022 Round Rock Advisors, LLC

187 DANBURY ROAD SUITE 201 WILTON CT 06897

13F HOLDINGS REPORT 028-21052 N ERIKA B. MORRO CHIEF COMPLIANCE OFFICER (203) 920-4774 ERIKA B. MORRO WILTON CT 01-19-2023 0 153 244229716 false INFORMATION TABLE 2 13FRoundRock_Q42022.xml PRESIDIO PPTY TR INC *W EXP 01/24/202 74102L113 721 13110 SH SOLE 0 0 13110 EMX RTY CORP COM 26873J107 18900 10000 SH SOLE 0 0 10000 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 43560 12000 SH SOLE 0 0 12000 QUANTUM SI INC COM CL A 74765K105 45540 24885 SH SOLE 0 0 24885 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 54450 15000 SH SOLE 0 0 15000 VOYA EMERGING MKTS HIGH DIVI COM 92912P108 70408 13645 SH SOLE 0 0 13645 PALANTIR TECHNOLOGIES INC CL A 69608A108 79687 12412 SH SOLE 0 0 12412 EATON VANCE SR FLTNG RTE TR COM 27828Q105 131280 12000 SH SOLE 0 0 12000 BLACKROCK INVT QUALITY MUN T COM 09247D105 135256 11600 SH SOLE 0 0 11600 VOXX INTL CORP CL A 91829F104 147450 15000 SH SOLE 0 0 15000 BLACKROCK CORPOR HI YLD FD I COM 09255P107 165029 18882 SH SOLE 0 0 18882 EATON VANCE ENHANCED EQUITY COM 278277108 178823 10805 SH SOLE 0 0 10805 STARBUCKS CORP COM 855244109 206147 2078 SH SOLE 0 0 2078 NVIDIA CORPORATION COM 67066G104 217021 1485 SH SOLE 0 0 1485 PIMCO ETF TR ACTIVE BD ETF 72201R775 217999 2409 SH SOLE 0 0 2409 WALMART INC COM 931142103 220200 1553 SH SOLE 0 0 1553 NEW YORK CMNTY BANCORP INC COM 649445103 220730 20550 SH SOLE 0 0 20550 PARAMOUNT GLOBAL CLASS B COM 92556H206 225061 13333 SH SOLE 0 0 13333 GOLDMAN SACHS ETF TR ACTIVEBETA US LG 381430503 225573 2963 SH SOLE 0 0 2963 NIKE INC CL B 654106103 229691 1963 SH SOLE 0 0 1963 CITIGROUP INC COM NEW 172967424 231351 5115 SH SOLE 0 0 5115 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 234133 6846 SH SOLE 0 0 6846 PIMCO DYNAMIC INCOME OPRNTS COM BEN SHS 69355M107 241928 18945 SH SOLE 0 0 18945 ISHARES TR CORE DIV GRWTH 46434V621 250264 5005 SH SOLE 0 0 5005 VANECK ETF TRUST GOLD MINERS ETF 92189F106 250632 8745 SH SOLE 0 0 8745 REGENERON PHARMACEUTICALS COM 75886F107 259736 360 SH SOLE 0 0 360 ISHARES TR NATIONAL MUN ETF 464288414 261088 2474 SH SOLE 0 0 2474 MBIA INC COM 55262C100 265000 20000 SH SOLE 0 0 20000 MATTHEWS ASIA FDS EMER MKTS EQUITY 577125818 265765 10051 SH SOLE 0 0 10051 ISHARES TR MSCI AC ASIA ETF 464288182 271276 4187 SH SOLE 0 0 4187 PATTERSON-UTI ENERGY INC COM 703481101 271400 20000 SH SOLE 0 0 20000 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 275004 830 SH SOLE 0 0 830 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 280349 23093 SH SOLE 0 0 23093 VANGUARD STAR FDS VG TL INTL STK F 921909768 282908 5470 SH SOLE 0 0 5470 VANGUARD WORLD FD ESG INTL STK ETF 921910725 287762 5850 SH SOLE 0 0 5850 CROWN CASTLE INC COM 22822V101 294203 2169 SH SOLE 0 0 2169 ASSURED GUARANTY LTD COM G0585R106 299808 5400 SH SOLE 0 0 5400 BANK NEW YORK MELLON CORP COM 064058100 302480 6645 SH SOLE 0 0 6645 FIDELITY COMWLTH TR NASDAQ COMPSIT 315912808 302973 7395 SH SOLE 0 0 7395 ORACLE CORP COM 68389X105 306362 3748 SH SOLE 0 0 3748 BLACKSTONE STRATEGIC CREDIT COM SHS BEN IN 09257R101 312089 29498 SH SOLE 0 0 29498 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 312295 1259 SH SOLE 0 0 1259 BP PLC SPONSORED ADR 055622104 312624 8950 SH SOLE 0 0 8950 SOUTHERN CO COM 842587107 317471 4446 SH SOLE 0 0 4446 NOVARTIS AG SPONSORED ADR 66987V109 317520 3500 SH SOLE 0 0 3500 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 321866 2380 SH SOLE 0 0 2380 AT&T INC COM 00206R102 323887 17593 SH SOLE 0 0 17593 ISHARES TR CORE HIGH DV ETF 46429B663 329294 3159 SH SOLE 0 0 3159 UNION PAC CORP COM 907818108 330277 1595 SH SOLE 0 0 1595 TEMPLETON EMERGING MKTS INCO COM 880192109 340439 62011 SH SOLE 0 0 62011 ARISTA NETWORKS INC COM 040413106 346940 2859 SH SOLE 0 0 2859 TEMPLETON EMERGING MKTS FD COM 880191101 360838 31597 SH SOLE 0 0 31597 NETFLIX INC COM 64110L106 363292 1232 SH SOLE 0 0 1232 BLACKROCK DEBT STRATEGIES FD COM NEW 09255R202 363959 39561 SH SOLE 0 0 39561 ISHARES TR BLACKROCK ULTRA 46434V878 369045 7375 SH SOLE 0 0 7375 YUM BRANDS INC COM 988498101 376811 2942 SH SOLE 0 0 2942 PIMCO ETF TR ENHANCD SHORT 72201R643 379072 3912 SH SOLE 0 0 3912 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 382130 70634 SH SOLE 0 0 70634 THERMO FISHER SCIENTIFIC INC COM 883556102 408612 742 SH SOLE 0 0 742 BRISTOL-MYERS SQUIBB CO COM 110122108 411050 5713 SH SOLE 0 0 5713 BANCROFT FD LTD COM 059695106 416134 25405 SH SOLE 0 0 25405 COHEN & STEERS REIT & PFD & COM 19247X100 431587 21177 SH SOLE 0 0 21177 PROSHARES TR RUSS 2000 DIVD 74347B698 435711 7100 SH SOLE 0 0 7100 BLACKSTONE INC COM 09260D107 452365 6097 SH SOLE 0 0 6097 NEUBERGER BERMAN MUN FD INC COM 64124P101 455677 43731 SH SOLE 0 0 43731 DOW INC COM 260557103 461472 9158 SH SOLE 0 0 9158 LENNAR CORP CL A 526057104 488700 5400 SH SOLE 0 0 5400 XYLEM INC COM 98419M100 493032 4459 SH SOLE 0 0 4459 ISHARES TR RUS TP200 GR ETF 464289438 496101 4116 SH SOLE 0 0 4116 WP CAREY INC COM 92936U109 498519 6379 SH SOLE 0 0 6379 ISHARES TR ESG AWARE MSCI 46435U663 537215 16339 SH SOLE 0 0 16339 COCA COLA CO COM 191216100 540113 8491 SH SOLE 0 0 8491 PROCTER AND GAMBLE CO COM 742718109 544404 3592 SH SOLE 0 0 3592 ALPHABET INC CAP STK CL C 02079K107 546577 6160 SH SOLE 0 0 6160 RH COM 74967X103 549877 2058 SH SOLE 0 0 2058 ALPHABET INC CAP STK CL A 02079K305 552320 6260 SH SOLE 0 0 6260 ISHARES TR US HLTHCARE ETF 464287762 565823 1994 SH SOLE 0 0 1994 SPDR SER TR S&P BIOTECH 78464A870 583075 7025 SH SOLE 0 0 7025 ISHARES TR CORE MSCI EAFE 46432F842 587059 9524 SH SOLE 0 0 9524 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 599538 1354 SH SOLE 0 0 1354 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 608716 8058 SH SOLE 0 0 8058 MORGAN STANLEY EMKT DBT FD I COM 61744H105 611291 93470 SH SOLE 0 0 93470 FIDELITY MERRIMACK STR TR TOTAL BD ETF 316188309 611925 13592 SH SOLE 0 0 13592 NEWMONT CORP COM 651639106 628987 13326 SH SOLE 0 0 13326 ISHARES TR RUS MD CP GR ETF 464287481 643678 7699 SH SOLE 0 0 7699 MICRON TECHNOLOGY INC COM 595112103 648640 12978 SH SOLE 0 0 12978 VERIZON COMMUNICATIONS INC COM 92343V104 650455 16509 SH SOLE 0 0 16509 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 654961 15605 SH SOLE 0 0 15605 SPDR SER TR S&P DIVID ETF 78464A763 656327 5246 SH SOLE 0 0 5246 VANGUARD INDEX FDS GROWTH ETF 922908736 660428 3099 SH SOLE 0 0 3099 AMAZON COM INC COM 023135106 671412 7993 SH SOLE 0 0 7993 CHEVRON CORP NEW COM 166764100 679370 3785 SH SOLE 0 0 3785 VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 921932869 686928 4057 SH SOLE 0 0 4057 ISHARES TR RUSSELL 2000 ETF 464287655 697091 3998 SH SOLE 0 0 3998 3M CO COM 88579Y101 706089 5888 SH SOLE 0 0 5888 ISHARES TR MSCI USA ESG SLC 464288802 741303 9005 SH SOLE 0 0 9005 AMPHENOL CORP NEW CL A 032095101 754624 9911 SH SOLE 0 0 9911 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 758967 2457 SH SOLE 0 0 2457 ISHARES TR 0-5YR HI YL CP 46434V407 763726 18678 SH SOLE 0 0 18678 ISHARES TR CORE S&P US VLU 464287663 774475 10965 SH SOLE 0 0 10965 LOCKHEED MARTIN CORP COM 539830109 787141 1618 SH SOLE 0 0 1618 VANGUARD INDEX FDS TOTAL STK MKT 922908769 788937 4126 SH SOLE 0 0 4126 MICROSOFT CORP COM 594918104 830594 3463 SH SOLE 0 0 3463 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 839519 10831 SH SOLE 0 0 10831 SPDR SER TR S&P SEMICNDCTR 78464A862 886821 5303 SH SOLE 0 0 5303 VANGUARD INDEX FDS SML CP GRW ETF 922908595 891795 4447 SH SOLE 0 0 4447 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 913317 31734 SH SOLE 0 0 31734 VANGUARD INDEX FDS SM CP VAL ETF 922908611 932694 5873 SH SOLE 0 0 5873 RAYTHEON TECHNOLOGIES CORP COM 75513E101 961364 9526 SH SOLE 0 0 9526 VOYA GLBL ADV & PREM OPP FD COM 92912R104 970781 111584 SH SOLE 0 0 111584 WISDOMTREE TR US SMALLCAP DIVD 97717W604 970885 34138 SH SOLE 0 0 34138 TESLA INC COM 88160R101 1003424 8146 SH SOLE 0 0 8146 VANGUARD INDEX FDS SMALL CP ETF 922908751 1052902 5737 SH SOLE 0 0 5737 J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 46641Q332 1061823 19487 SH SOLE 0 0 19487 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 1074188 15427 SH SOLE 0 0 15427 ENTERPRISE PRODS PARTNERS L COM 293792107 1121580 46500 SH SOLE 0 0 46500 ISHARES TR RUS 1000 GRW ETF 464287614 1177463 5496 SH SOLE 0 0 5496 JPMORGAN CHASE & CO COM 46625H100 1197339 8929 SH SOLE 0 0 8929 JOHNSON & JOHNSON COM 478160104 1234607 6989 SH SOLE 0 0 6989 INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 46138G649 1302093 11888 SH SOLE 0 0 11888 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 1320332 13384 SH SOLE 0 0 13384 ISHARES TR CORE S&P500 ETF 464287200 1367753 3560 SH SOLE 0 0 3560 VANGUARD WORLD FDS INF TECH ETF 92204A702 1380809 4323 SH SOLE 0 0 4323 MERCK & CO INC COM 58933Y105 1391535 12542 SH SOLE 0 0 12542 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1394491 21823 SH SOLE 0 0 21823 VANGUARD INDEX FDS VALUE ETF 922908744 1438655 10249 SH SOLE 0 0 10249 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1472834 8455 SH SOLE 0 0 8455 ISHARES TR CORE S&P MCP ETF 464287507 1483269 6132 SH SOLE 0 0 6132 ITT INC COM 45073V108 1681203 20730 SH SOLE 0 0 20730 HOME DEPOT INC COM 437076102 1713625 5425 SH SOLE 0 0 5425 PEPSICO INC COM 713448108 1742466 9645 SH SOLE 0 0 9645 INTERNATIONAL BUSINESS MACHS COM 459200101 1816917 12896 SH SOLE 0 0 12896 ISHARES TR S&P 500 GRWT ETF 464287309 1866737 31910 SH SOLE 0 0 31910 EXXON MOBIL CORP COM 30231G102 1909624 17313 SH SOLE 0 0 17313 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1938955 12769 SH SOLE 0 0 12769 ISHARES TR MSCI EAFE MIN VL 46429B689 2017290 31726 SH SOLE 0 0 31726 PFIZER INC COM 717081103 2024071 39502 SH SOLE 0 0 39502 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2834304 60679 SH SOLE 0 0 60679 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3716808 49432 SH SOLE 0 0 49432 SPDR S&P 500 ETF TR TR UNIT 78462F103 3839299 10039 SH SOLE 0 0 10039 ISHARES TR MSCI USA MIN VOL 46429B697 4264432 59146 SH SOLE 0 0 59146 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 4722005 37946 SH SOLE 0 0 37946 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 6093470 121553 SH SOLE 0 0 121553 APPLE INC COM 037833100 7215492 55534 SH SOLE 0 0 55534 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 7993376 56590 SH SOLE 0 0 56590 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 8008288 58949 SH SOLE 0 0 58949 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 8608769 42420 SH SOLE 0 0 42420 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 9063965 92292 SH SOLE 0 0 92292 ISHARES TR SELECT DIVID ETF 464287168 9732169 80698 SH SOLE 0 0 80698 ISHARES TR CORE S&P SCP ETF 464287804 17386827 183715 SH SOLE 0 0 183715 VANGUARD INDEX FDS MID CAP ETF 922908629 17765466 87167 SH SOLE 0 0 87167 INVESCO QQQ TR UNIT SER 1 46090E103 18337969 68867 SH SOLE 0 0 68867 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 27595093 255014 SH SOLE 0 0 255014