Chief Compliance Officer

0001951757-23-000406.txt : 20230720 0001951757-23-000406.hdr.sgml : 20230720 20230720091516 ACCESSION NUMBER: 0001951757-23-000406 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230720 DATE AS OF CHANGE: 20230720 EFFECTIVENESS DATE: 20230720 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: 231098271 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 06-30-2023 06-30-2023 Round Rock Advisors, LLC

187 DANBURY ROAD SUITE 201 WILTON CT 06897

13F HOLDINGS REPORT 028-21052 N Erika Morro Chief Compliance Officer (203) 920-4774 Erika Morro Wilton CT 07-20-2023 0 145 276738887 false INFORMATION TABLE 2 F_13F_RoundRock_Q22023.xml 3M CO COM 88579Y101 595620 5951 SH SOLE 0 0 5951 AGNICO EAGLE MINES LTD COM 008474108 724710 14500 SH SOLE 0 0 14500 ALPHABET INC CAP STK CL C 02079K107 657109 5432 SH SOLE 0 0 5432 ALPHABET INC CAP STK CL A 02079K305 743576 6212 SH SOLE 0 0 6212 AMAZON COM INC COM 023135106 1033624 7929 SH SOLE 0 0 7929 AMPHENOL CORP NEW CL A 032095101 723505 8517 SH SOLE 0 0 8517 APPLE INC COM 037833100 10706887 55199 SH SOLE 0 0 55199 ARISTA NETWORKS INC COM 040413106 489421 3020 SH SOLE 0 0 3020 AT&T INC COM 00206R102 663134 41576 SH SOLE 0 0 41576 BANCROFT FD LTD COM 059695106 404230 23653 SH SOLE 0 0 23653 BANK NEW YORK MELLON CORP COM 064058100 295835 6645 SH SOLE 0 0 6645 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 834768 2448 SH SOLE 0 0 2448 BLACKROCK CORPOR HI YLD FD I COM 09255P107 104203 11682 SH SOLE 0 0 11682 BLACKROCK DEBT STRATEGIES FD COM NEW 09255R202 280464 28648 SH SOLE 0 0 28648 BLACKROCK MUNIHOLDINGS FD IN COM 09253N104 268572 23093 SH SOLE 0 0 23093 BLACKSTONE INC COM 09260D107 409068 4400 SH SOLE 0 0 4400 BLACKSTONE STRATEGIC CRED 20 COM SHS BEN IN 09257R101 322413 29498 SH SOLE 0 0 29498 CHEVRON CORP NEW COM 166764100 591793 3761 SH SOLE 0 0 3761 COCA COLA CO COM 191216100 530740 8813 SH SOLE 0 0 8813 COHEN & STEERS REIT & PFD & COM 19247X100 392656 20677 SH SOLE 0 0 20677 CROWN CASTLE INC COM 22822V101 304106 2669 SH SOLE 0 0 2669 DEERE & CO COM 244199105 659244 1627 SH SOLE 0 0 1627 DISNEY WALT CO COM 254687106 203291 2277 SH SOLE 0 0 2277 EATON VANCE ENHANCED EQUITY COM 278277108 193301 10805 SH SOLE 0 0 10805 EMX RTY CORP COM 26873J107 19000 10000 SH SOLE 0 0 10000 ENTERPRISE PRODS PARTNERS L COM 293792107 1246355 47300 SH SOLE 0 0 47300 EXXON MOBIL CORP COM 30231G102 1797421 16759 SH SOLE 0 0 16759 FIDELITY COMWLTH TR NASDAQ COMPSIT 315912808 399922 7395 SH SOLE 0 0 7395 FIDELITY MERRIMACK STR TR TOTAL BD ETF 316188309 526579 11594 SH SOLE 0 0 11594 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 895479 28564 SH SOLE 0 0 28564 HOME DEPOT INC COM 437076102 1650874 5314 SH SOLE 0 0 5314 INTERNATIONAL BUSINESS MACHS COM 459200101 1736520 12978 SH SOLE 0 0 12978 INVESCO EXCH TRADED FD TR II NASDAQ 100 ETF 46138G649 2088655 13743 SH SOLE 0 0 13743 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 1248571 19879 SH SOLE 0 0 19879 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 8877246 59324 SH SOLE 0 0 59324 INVESCO QQQ TR UNIT SER 1 46090E103 27036422 73186 SH SOLE 0 0 73186 ISHARES TR CORE S&P SCP ETF 464287804 18844031 189102 SH SOLE 0 0 189102 ISHARES TR SELECT DIVID ETF 464287168 9462334 83516 SH SOLE 0 0 83516 ISHARES TR MSCI USA MIN VOL 46429B697 4319284 58110 SH SOLE 0 0 58110 ISHARES TR MSCI EAFE MIN VL 46429B689 2128613 31535 SH SOLE 0 0 31535 ISHARES TR ESG AWARE MSCI 46435U663 564951 15905 SH SOLE 0 0 15905 ISHARES TR MSCI USA ESG SLC 464288802 843528 9008 SH SOLE 0 0 9008 ISHARES TR 0-5YR HI YL CP 46434V407 786133 18966 SH SOLE 0 0 18966 ISHARES TR S&P 500 GRWT ETF 464287309 2166290 30736 SH SOLE 0 0 30736 ISHARES TR CORE S&P MCP ETF 464287507 1576724 6030 SH SOLE 0 0 6030 ISHARES TR CORE S&P US VLU 464287663 858140 10965 SH SOLE 0 0 10965 ISHARES TR CORE MSCI EAFE 46432F842 651780 9656 SH SOLE 0 0 9656 ISHARES TR RUS MD CP GR ETF 464287481 675016 6986 SH SOLE 0 0 6986 ISHARES TR RUS TP200 GR ETF 464289438 627422 3957 SH SOLE 0 0 3957 ISHARES TR BLACKROCK ULTRA 46434V878 362663 7210 SH SOLE 0 0 7210 ISHARES TR CORE S&P500 ETF 464287200 1399755 3142 SH SOLE 0 0 3142 ISHARES TR RUS 1000 GRW ETF 464287614 1512605 5497 SH SOLE 0 0 5497 ISHARES TR CORE DIV GRWTH 46434V621 240327 4664 SH SOLE 0 0 4664 ISHARES TR ESG AW MSCI EAFE 46435G516 221780 3041 SH SOLE 0 0 3041 ISHARES TR RUSSELL 2000 ETF 464287655 738932 3946 SH SOLE 0 0 3946 ISHARES TR US HLTHCARE ETF 464287762 548402 1957 SH SOLE 0 0 1957 ISHARES TR 1 3 YR TREAS BD 464287457 279611 3449 SH SOLE 0 0 3449 ISHARES TR NATIONAL MUN ETF 464288414 210258 1970 SH SOLE 0 0 1970 ITT INC COM 45073V108 1865598 20015 SH SOLE 0 0 20015 J P MORGAN EXCHANGE TRADED F ULTRA SHRT INC 46641Q837 6052428 120711 SH SOLE 0 0 120711 J P MORGAN EXCHANGE TRADED F EQUITY PREMIUM 46641Q332 2665627 48177 SH SOLE 0 0 48177 J P MORGAN EXCHANGE TRADED F NASDAQ EQT PREM 46654Q203 303844 6282 SH SOLE 0 0 6282 JOHNSON & JOHNSON COM 478160104 1171220 7076 SH SOLE 0 0 7076 JPMORGAN CHASE & CO COM 46625H100 1297997 8925 SH SOLE 0 0 8925 MATTHEWS ASIA FDS EMER MKTS EQUITY 577125818 485236 17409 SH SOLE 0 0 17409 MERCK & CO INC COM 58933Y105 1226284 10627 SH SOLE 0 0 10627 META PLATFORMS INC CL A 30303M102 246227 858 SH SOLE 0 0 858 MICRON TECHNOLOGY INC COM 595112103 803264 12728 SH SOLE 0 0 12728 MICROSOFT CORP COM 594918104 1154474 3390 SH SOLE 0 0 3390 MORGAN STANLEY EMKT DBT FD I COM 61744H105 489890 76070 SH SOLE 0 0 76070 NETFLIX INC COM 64110L106 496432 1127 SH SOLE 0 0 1127 NEUBERGER BERMAN MUN FD INC COM 64124P101 454695 44231 SH SOLE 0 0 44231 NOVARTIS AG SPONSORED ADR 66987V109 361762 3585 SH SOLE 0 0 3585 NVIDIA CORPORATION COM 67066G104 425146 1005 SH SOLE 0 0 1005 ORACLE CORP COM 68389X105 335000 2813 SH SOLE 0 0 2813 PALO ALTO NETWORKS INC COM 697435105 251677 985 SH SOLE 0 0 985 PARAMOUNT GLOBAL CLASS B COM 92556H206 528737 33233 SH SOLE 0 0 33233 PEPSICO INC COM 713448108 1784719 9636 SH SOLE 0 0 9636 PFIZER INC COM 717081103 1330046 36261 SH SOLE 0 0 36261 PIMCO DYNAMIC INCOME OPRNTS COM BEN SHS 69355M107 247422 18945 SH SOLE 0 0 18945 PIMCO ETF TR ENHANCD SHORT 72201R643 388213 3965 SH SOLE 0 0 3965 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 476853 4780 SH SOLE 0 0 4780 PIMCO ETF TR ACTIVE BD ETF 72201R775 220922 2411 SH SOLE 0 0 2411 PRESIDIO PPTY TR INC *W EXP 01/24/202 74102L113 575 13110 SH SOLE 0 0 13110 PROCTER AND GAMBLE CO COM 742718109 550058 3625 SH SOLE 0 0 3625 PROSHARES TR RUSS 2000 DIVD 74347B698 419878 7100 SH SOLE 0 0 7100 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 42240 12000 SH SOLE 0 0 12000 QUANTUM SI INC COM CL A 74765K105 39174 21885 SH SOLE 0 0 21885 RAYTHEON TECHNOLOGIES CORP COM 75513E101 994392 10151 SH SOLE 0 0 10151 REGENERON PHARMACEUTICALS COM 75886F107 330528 460 SH SOLE 0 0 460 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 1398278 19255 SH SOLE 0 0 19255 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 10191872 94967 SH SOLE 0 0 94967 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 8957959 67490 SH SOLE 0 0 67490 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 6827589 39271 SH SOLE 0 0 39271 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 211406 6271 SH SOLE 0 0 6271 SHOPIFY INC CL A 82509L107 250648 3880 SH SOLE 0 0 3880 SOUTHERN CO COM 842587107 312314 4446 SH SOLE 0 0 4446 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 890519 2590 SH SOLE 0 0 2590 SPDR S&P 500 ETF TR TR UNIT 78462F103 4349210 9811 SH SOLE 0 0 9811 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 649333 1356 SH SOLE 0 0 1356 SPDR SER TR S&P REGL BKG 78464A698 2710704 66390 SH SOLE 0 0 66390 SPDR SER TR S&P BIOTECH 78464A870 246106 2958 SH SOLE 0 0 2958 SPDR SER TR S&P SEMICNDCTR 78464A862 1094117 4944 SH SOLE 0 0 4944 SPDR SER TR S&P DIVID ETF 78464A763 543190 4431 SH SOLE 0 0 4431 STARBUCKS CORP COM 855244109 219767 2219 SH SOLE 0 0 2219 TEMPLETON EMERGING MKTS FD COM 880191101 374108 31597 SH SOLE 0 0 31597 TEMPLETON EMERGING MKTS INCO COM 880192109 218056 42341 SH SOLE 0 0 42341 TESLA INC COM 88160R101 1344712 5137 SH SOLE 0 0 5137 THERMO FISHER SCIENTIFIC INC COM 883556102 387660 743 SH SOLE 0 0 743 UNION PAC CORP COM 907818108 332712 1626 SH SOLE 0 0 1626 UNITED STS NAT GAS FD LP UNIT PAR 912318300 99363 13391 SH SOLE 0 0 13391 VANECK ETF TRUST SEMICONDUCTR ETF 92189F676 13493835 88629 SH SOLE 0 0 88629 VANECK ETF TRUST GOLD MINERS ETF 92189F106 276681 9189 SH SOLE 0 0 9189 VANGUARD ADMIRAL FDS INC MIDCP 400 GRTH 921932869 699174 7478 SH SOLE 0 0 7478 VANGUARD INDEX FDS MID CAP ETF 922908629 20151862 91533 SH SOLE 0 0 91533 VANGUARD INDEX FDS GROWTH ETF 922908736 820301 2899 SH SOLE 0 0 2899 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 319519 2309 SH SOLE 0 0 2309 VANGUARD INDEX FDS SML CP GRW ETF 922908595 929751 4047 SH SOLE 0 0 4047 VANGUARD INDEX FDS SM CP VAL ETF 922908611 858426 5190 SH SOLE 0 0 5190 VANGUARD INDEX FDS VALUE ETF 922908744 1455388 10242 SH SOLE 0 0 10242 VANGUARD INDEX FDS LARGE CAP ETF 922908637 1486825 7334 SH SOLE 0 0 7334 VANGUARD INDEX FDS TOTAL STK MKT 922908769 983615 4465 SH SOLE 0 0 4465 VANGUARD INDEX FDS SMALL CP ETF 922908751 1073501 5397 SH SOLE 0 0 5397 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 2622407 55302 SH SOLE 0 0 55302 VANGUARD MUN BD FDS TAX EXEMPT BD 922907746 346870 6907 SH SOLE 0 0 6907 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 3552697 46956 SH SOLE 0 0 46956 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 829029 10490 SH SOLE 0 0 10490 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1976851 12170 SH SOLE 0 0 12170 VANGUARD STAR FDS VG TL INTL STK F 921909768 222245 3963 SH SOLE 0 0 3963 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 717770 15543 SH SOLE 0 0 15543 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 27854880 262608 SH SOLE 0 0 262608 VANGUARD WHITEHALL FDS INTL DVD ETF 921946810 1377127 18340 SH SOLE 0 0 18340 VANGUARD WORLD FD ESG INTL STK ETF 921910725 333106 6272 SH SOLE 0 0 6272 VANGUARD WORLD FDS INF TECH ETF 92204A702 1837175 4155 SH SOLE 0 0 4155 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 203904 720 SH SOLE 0 0 720 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 308228 1259 SH SOLE 0 0 1259 VERIZON COMMUNICATIONS INC COM 92343V104 478598 12869 SH SOLE 0 0 12869 VOYA EMERGING MKTS HIGH DIVI COM 92912P108 62797 12030 SH SOLE 0 0 12030 VOYA GLBL ADV & PREM OPP FD COM 92912R104 976839 114384 SH SOLE 0 0 114384 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 363059 70634 SH SOLE 0 0 70634 WALMART INC COM 931142103 244101 1553 SH SOLE 0 0 1553 WISDOMTREE TR US SMALLCAP DIVD 97717W604 956087 33209 SH SOLE 0 0 33209 WP CAREY INC COM 92936U109 288616 4272 SH SOLE 0 0 4272 XYLEM INC COM 98419M100 503718 4473 SH SOLE 0 0 4473 YUM BRANDS INC COM 988498101 409831 2958 SH SOLE 0 0 2958