# EDGAR Filing Document

**Accession Number:** 0001143565
**File Stem:** 0001162044-23-000154
**Filing Date:** 2023-2
**Character Count:** 30224
**Document Hash:** fc4fcd1fd05388edf6370e3ef563d728
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001162044-23-000154.hdr.sgml**: 20230207

**ACCESSION NUMBER**: 0001162044-23-000154

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230207

**DATE AS OF CHANGE**: 20230207

**EFFECTIVENESS DATE**: 20230207

**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:** 23594170

**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

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** RATIONAL ADVISORS LLC<br>**Address:** 36 N. New York Avenue<br>Huntington, NY 11743

**Form 13F File Number:** 028-16191

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Robert Glass<br>**Title:** CCO<br>**Phone:** 631-629-4907

**Signature, Place, and Date of Signing:**

Robert Glass  Huntington, NY  02-03-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 293

**Form 13F Information Table Value Total:** $1206762

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABBOTT LABS | COM | 002824100 |  | 21 | 188 | SH |  | SOLE |  | 188 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 |  | 1834 | 11347 | SH |  | OTR |  | 0 | 11347 | 0 |
| ABBVIE INC | COM | 00287Y109 |  | 30 | 188 | SH |  | SOLE |  | 188 | 0 | 0 |
| ABRDN ETFS | BBRG ALL COMD K1 | 003261104 |  | 71 | 3220 | SH |  | OTR |  | 0 | 3220 | 0 |
| ADOBE INC | COM | 00724F101 |  | 17 | 50 | SH |  | SOLE |  | 50 | 0 | 0 |
| AEMETIS INC | COM NEW | 00770K202 |  | 1 | 278 | SH |  | SOLE |  | 278 | 0 | 0 |
| AGNICO EAGLE MINES LTD | COM | 008474108 |  | 46 | 888 | SH |  | OTR |  | 0 | 888 | 0 |
| AIR PRODS  CHEMS INC | COM | 009158106 |  | 57 | 186 | SH |  | OTR |  | 0 | 186 | 0 |
| ALLSTATE CORP | COM | 020002101 |  | 49 | 365 | SH |  | OTR |  | 0 | 365 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 1654 | 18750 | SH |  | OTR |  | 0 | 18750 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 1155 | 13086 | SH |  | OTR |  | 0 | 13086 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 18 | 200 | SH |  | SOLE |  | 200 | 0 | 0 |
| ALPS ETF TR | ALERIAN MLP | 00162Q452 |  | 76336 | 2005156 | SH |  | SOLE |  | 2005156 | 0 | 0 |
| ALPS ETF TR | ALERIAN MLP | 00162Q452 |  | 193 | 5070 | SH |  | SOLE |  | 5070 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 1740 | 20720 | SH |  | OTR |  | 0 | 20720 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 770 | 9162 | SH |  | OTR |  | 0 | 9162 | 0 |
| AMERESCO INC | CL A | 02361E108 |  | 7 | 128 | SH |  | SOLE |  | 128 | 0 | 0 |
| AMERICAN TOWER CORP NEW | COM | 03027X100 |  | 39 | 184 | SH |  | OTR |  | 0 | 184 | 0 |
| AMERICAN WTR WKS CO INC NEW | COM | 030420103 |  | 8 | 52 | SH |  | SOLE |  | 52 | 0 | 0 |
| AMERISOURCEBERGEN CORP | COM | 03073E105 |  | 896 | 5409 | SH |  | OTR |  | 0 | 5409 | 0 |
| AMGEN INC | COM | 031162100 |  | 29 | 112 | SH |  | SOLE |  | 112 | 0 | 0 |
| ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 |  | 480 | 8001 | SH |  | OTR |  | 0 | 8001 | 0 |
| ANTERO MIDSTREAM CORP | COM | 03676B102 |  | 51 | 4748 | SH |  | OTR |  | 0 | 4748 | 0 |
| APOLLO GLOBAL MGMT INC | COM | 03769M106 |  | 49 | 773 | SH |  | OTR |  | 0 | 773 | 0 |
| APPLE INC | COM | 037833100 |  | 1923 | 14801 | SH |  | OTR |  | 0 | 14801 | 0 |
| APPLE INC | COM | 037833100 |  | 1000 | 7700 | SH |  | OTR |  | 0 | 7700 | 0 |
| APPLE INC | COM | 037833100 |  | 24 | 188 | SH |  | SOLE |  | 188 | 0 | 0 |
| ARCHER DANIELS MIDLAND CO | COM | 039483102 |  | 1868 | 20115 | SH |  | OTR |  | 0 | 20115 | 0 |
| ARCIMOTO INC | COM NEW | 039587209 |  | 0 | 6 | SH |  | SOLE |  | 6 | 0 | 0 |
| ARIS WATER SOLUTIONS INC | CLASS A COM | 04041L106 |  | 4 | 254 | SH |  | SOLE |  | 254 | 0 | 0 |
| ARRAY TECHNOLOGIES INC | COM SHS | 04271T100 |  | 12 | 618 | SH |  | SOLE |  | 618 | 0 | 0 |
| ATLANTICA SUSTAINABLE INFR P | SHS | G0751N103 |  | 7 | 260 | SH |  | SOLE |  | 260 | 0 | 0 |
| AUTODESK INC | COM | 052769106 |  | 12 | 64 | SH |  | SOLE |  | 64 | 0 | 0 |
| AVANGRID INC | COM | 05351W103 |  | 637 | 14826 | SH |  | OTR |  | 0 | 14826 | 0 |
| BALLARD PWR SYS INC NEW | COM | 058586108 |  | 4 | 748 | SH |  | SOLE |  | 748 | 0 | 0 |
| BANK AMER CORP | COM | 060505104 |  | 416 | 12574 | SH |  | OTR |  | 0 | 12574 | 0 |
| BANK AMER CORP | COM | 060505104 |  | 38 | 1158 | SH |  | OTR |  | 0 | 1158 | 0 |
| BANK AMER CORP | 7.25%CNV PFD L | 060505682 |  | 4928 | 4248 | SH |  | OTR |  | 0 | 4248 | 0 |
| BARRICK GOLD CORP | COM | 067901108 |  | 42 | 2421 | SH |  | OTR |  | 0 | 2421 | 0 |
| BAXTER INTL INC | COM | 071813109 |  | 5 | 102 | SH |  | SOLE |  | 102 | 0 | 0 |
| BEAM THERAPEUTICS INC | COM | 07373V105 |  | 5 | 126 | SH |  | SOLE |  | 126 | 0 | 0 |
| BECTON DICKINSON  CO | 6% DP CONV PFD B | 075887406 |  | 4507 | 90000 | SH |  | OTR |  | 0 | 90000 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 1435 | 4644 | SH |  | OTR |  | 0 | 4644 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 50 | 163 | SH |  | OTR |  | 0 | 163 | 0 |
| BEYOND MEAT INC | COM | 08862E109 |  | 2 | 126 | SH |  | SOLE |  | 126 | 0 | 0 |
| BLACKSTONE GROUP INC | COM CL A | 09260D107 |  | 5312 | 71600 | SH |  | OTR |  | 0 | 71600 | 0 |
| BLINK CHARGING CO | COM | 09354A100 |  | 4 | 370 | SH |  | SOLE |  | 370 | 0 | 0 |
| BLOOM ENERGY CORP | COM CL A | 093712107 |  | 9 | 458 | SH |  | SOLE |  | 458 | 0 | 0 |
| BOEING CO | COM | 097023105 |  | 47 | 247 | SH |  | OTR |  | 0 | 247 | 0 |
| BOSTON SCIENTIFIC CORP | 5.50% CNV PFD A | 101137206 |  | 4839 | 42135 | SH |  | OTR |  | 0 | 42135 | 0 |
| BOSTON SCIENTIFIC CORP | COM | 101137107 |  | 19 | 404 | SH |  | SOLE |  | 404 | 0 | 0 |
| BROOKFIELD RENEWABLE CORP | CL A SUB VTG | 11284V105 |  | 7 | 262 | SH |  | SOLE |  | 262 | 0 | 0 |
| BUNGE LIMITED | COM | G16962105 |  | 1215 | 12182 | SH |  | OTR |  | 0 | 12182 | 0 |
| CALIFORNIA WTR SVC GROUP | COM | 130788102 |  | 8 | 130 | SH |  | SOLE |  | 130 | 0 | 0 |
| CANADIAN PAC RY LTD | COM | 13645T100 |  | 45 | 610 | SH |  | OTR |  | 0 | 610 | 0 |
| CANADIAN SOLAR INC | COM | 136635109 |  | 9 | 296 | SH |  | SOLE |  | 296 | 0 | 0 |
| CANOO INC | COM CL A | 13803R102 |  | 2 | 1366 | SH |  | SOLE |  | 1366 | 0 | 0 |
| CASELLA WASTE SYS INC | CL A | 147448104 |  | 9 | 108 | SH |  | SOLE |  | 108 | 0 | 0 |
| CATERPILLAR INC DEL | COM | 149123101 |  | 949 | 3963 | SH |  | OTR |  | 0 | 3963 | 0 |
| CBRE GROUP INC | CL A | 12504L109 |  | 6 | 82 | SH |  | SOLE |  | 82 | 0 | 0 |
| CHARGEPOINT HOLDINGS INC | COM CL A | 15961R105 |  | 5 | 518 | SH |  | SOLE |  | 518 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 |  | 1113 | 6200 | SH |  | OTR |  | 0 | 6200 | 0 |
| CHEVRON CORP NEW | COM | 166764100 |  | 70 | 389 | SH |  | OTR |  | 0 | 389 | 0 |
| CHUBB LIMITED | COM | H1467J104 |  | 1184 | 5368 | SH |  | OTR |  | 0 | 5368 | 0 |
| CIGNA CORP NEW | COM | 125523100 |  | 24 | 72 | SH |  | SOLE |  | 72 | 0 | 0 |
| CINTAS CORP | COM | 172908105 |  | 10 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| CISCO SYS INC | COM | 17275R102 |  | 1356 | 28457 | SH |  | OTR |  | 0 | 28457 | 0 |
| CISCO SYS INC | COM | 17275R102 |  | 20 | 418 | SH |  | SOLE |  | 418 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 |  | 36 | 790 | SH |  | OTR |  | 0 | 790 | 0 |
| CLEARWAY ENERGY INC | CL C | 18539C204 |  | 8 | 262 | SH |  | SOLE |  | 262 | 0 | 0 |
| CLEVELAND CLIFFS INC | COM | 185899101 |  | 37 | 2326 | SH |  | OTR |  | 0 | 2326 | 0 |
| COCA COLA CO | COM | 191216100 |  | 1662 | 26129 | SH |  | OTR |  | 0 | 26129 | 0 |
| COCA COLA CO | COM | 191216100 |  | 48 | 748 | SH |  | OTR |  | 0 | 748 | 0 |
| COMPANIA DE MINAS BUENAVENTU | SPONSORED ADR | 204448104 |  | 42 | 5652 | SH |  | OTR |  | 0 | 5652 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 797 | 6751 | SH |  | OTR |  | 0 | 6751 | 0 |
| CONOCOPHILLIPS | COM | 20825C104 |  | 75 | 633 | SH |  | OTR |  | 0 | 633 | 0 |
| CORTEVA INC | COM | 22052L104 |  | 374 | 6364 | SH |  | OTR |  | 0 | 6364 | 0 |
| COSTCO WHSL CORP NEW | COM | 22160K105 |  | 1778 | 3894 | SH |  | OTR |  | 0 | 3894 | 0 |
| COSTCO WHSL CORP NEW | COM | 22160K105 |  | 1322 | 2897 | SH |  | OTR |  | 0 | 2897 | 0 |
| CROWN CASTLE INTL CORP NEW | COM | 22822V101 |  | 36 | 268 | SH |  | OTR |  | 0 | 268 | 0 |
| CSX CORP | COM | 126408103 |  | 39 | 1271 | SH |  | OTR |  | 0 | 1271 | 0 |
| DANAHER CORPORATION | 5% CONV PFD B | 235851409 |  | 4947 | 3645 | SH |  | OTR |  | 0 | 3645 | 0 |
| DECKERS OUTDOOR CORP | COM | 243537107 |  | 699 | 1750 | SH |  | OTR |  | 0 | 1750 | 0 |
| DIREXION SHS ETF TR | AUSPCE CMD STG | 25460E307 |  | 83 | 2823 | SH |  | OTR |  | 0 | 2823 | 0 |
| DISNEY WALT CO | COM DISNEY | 254687106 |  | 29 | 330 | SH |  | OTR |  | 0 | 330 | 0 |
| DOMINOS PIZZA INC | COM | 25754A201 |  | 693 | 2000 | SH |  | OTR |  | 0 | 2000 | 0 |
| ECOLAB INC | COM | 278865100 |  | 36 | 245 | SH |  | OTR |  | 0 | 245 | 0 |
| ECOLAB INC | COM | 278865100 |  | 11 | 74 | SH |  | SOLE |  | 74 | 0 | 0 |
| EDWARDS LIFESCIENCES CORP | COM | 28176E108 |  | 10 | 140 | SH |  | SOLE |  | 140 | 0 | 0 |
| ENBRIDGE INC | COM | 29250N105 |  | 46 | 1173 | SH |  | OTR |  | 0 | 1173 | 0 |
| ENERSYS | COM | 29275Y102 |  | 8 | 112 | SH |  | SOLE |  | 112 | 0 | 0 |
| ENLINK MIDSTREAM LLC | COM UNIT REP LTD | 29336T100 |  | 79 | 6419 | SH |  | OTR |  | 0 | 6419 | 0 |
| ENPHASE ENERGY INC | COM | 29355A107 |  | 16 | 60 | SH |  | SOLE |  | 60 | 0 | 0 |
| ENVIVA INC | COM | 29415B103 |  | 6 | 120 | SH |  | SOLE |  | 120 | 0 | 0 |
| EOG RES INC | COM | 26875P101 |  | 67 | 521 | SH |  | OTR |  | 0 | 521 | 0 |
| EQUINIX INC | COM | 29444U700 |  | 43 | 65 | SH |  | OTR |  | 0 | 65 | 0 |
| EXELON CORP | COM | 30161N101 |  | 653 | 15096 | SH |  | OTR |  | 0 | 15096 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 1588 | 14400 | SH |  | OTR |  | 0 | 14400 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 976 | 8853 | SH |  | OTR |  | 0 | 8853 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 77 | 701 | SH |  | OTR |  | 0 | 701 | 0 |
| FACEBOOK INC | COM | 30303M102 |  | 1408 | 11700 | SH |  | OTR |  | 0 | 11700 | 0 |
| FACEBOOK INC | COM | 30303M102 |  | 12 | 98 | SH |  | SOLE |  | 98 | 0 | 0 |
| FASTENAL CO | COM | 311900104 |  | 605 | 12783 | SH |  | OTR |  | 0 | 12783 | 0 |
| FERRARI N V | COM | N3167Y103 |  | 771 | 3600 | SH |  | OTR |  | 0 | 3600 | 0 |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 316188309 |  | 26436 | 587208 | SH |  | SOLE |  | 587208 | 0 | 0 |
| FIDELITY MERRIMACK STR TR | TOTAL BD ETF | 316188309 |  | 67 | 1490 | SH |  | SOLE |  | 1490 | 0 | 0 |
| FIRST MAJESTIC SILVER CORP | COM | 32076V103 |  | 35 | 4171 | SH |  | OTR |  | 0 | 4171 | 0 |
| FIRST SOLAR INC | COM | 336433107 |  | 16 | 104 | SH |  | SOLE |  | 104 | 0 | 0 |
| FISKER INC | CL A COM STK | 33813J106 |  | 4 | 590 | SH |  | SOLE |  | 590 | 0 | 0 |
| FLUENCE ENERGY INC | COM CL A | 34379V103 |  | 5 | 318 | SH |  | SOLE |  | 318 | 0 | 0 |
| FRANCO NEV CORP | COM | 351858105 |  | 47 | 342 | SH |  | OTR |  | 0 | 342 | 0 |
| FREEPORT-MCMORAN COPPER  GO | COM | 35671D857 |  | 48 | 1254 | SH |  | OTR |  | 0 | 1254 | 0 |
| FREYR BATTERY | SHS | L4135L100 |  | 8 | 910 | SH |  | SOLE |  | 910 | 0 | 0 |
| FUELCELL ENERGY INC | COM | 35952H601 |  | 5 | 1696 | SH |  | SOLE |  | 1696 | 0 | 0 |
| GARTNER INC | COM | 366651107 |  | 10 | 30 | SH |  | SOLE |  | 30 | 0 | 0 |
| GENERAL DYNAMICS CORP | COM | 369550108 |  | 703 | 2834 | SH |  | OTR |  | 0 | 2834 | 0 |
| GEVO INC | COM PAR | 374396406 |  | 4 | 2110 | SH |  | SOLE |  | 2110 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 |  | 21 | 240 | SH |  | SOLE |  | 240 | 0 | 0 |
| GLOBAL WTR RES INC | COM | 379463102 |  | 2 | 188 | SH |  | SOLE |  | 188 | 0 | 0 |
| GLOBAL X FDS | US PFD ETF | 37954Y657 |  | 37958 | 1959636 | SH |  | SOLE |  | 1959636 | 0 | 0 |
| GLOBAL X FDS | US PFD ETF | 37954Y657 |  | 96 | 4960 | SH |  | SOLE |  | 4960 | 0 | 0 |
| GRANITESHARES ETF TR | BBG COMMD K 1 | 38747R108 |  | 55 | 2439 | SH |  | OTR |  | 0 | 2439 | 0 |
| GREENPOWER MTR CO INC | COM NEW | 39540E302 |  | 1 | 386 | SH |  | SOLE |  | 386 | 0 | 0 |
| HANNON ARMSTRONG SUST INFR C | COM | 41068X100 |  | 5 | 180 | SH |  | SOLE |  | 180 | 0 | 0 |
| HECLA MNG CO | COM | 422704106 |  | 48 | 8558 | SH |  | OTR |  | 0 | 8558 | 0 |
| HERITAGE CRYSTAL CLEAN INC | COM | 42726M106 |  | 3 | 98 | SH |  | SOLE |  | 98 | 0 | 0 |
| HERSHEY CO | COM | 427866108 |  | 1749 | 7552 | SH |  | OTR |  | 0 | 7552 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 1341 | 4245 | SH |  | OTR |  | 0 | 4245 | 0 |
| HONEYWELL INTL INC | COM | 438516106 |  | 50 | 233 | SH |  | OTR |  | 0 | 233 | 0 |
| INGREDION INC | COM | 457187102 |  | 9 | 88 | SH |  | SOLE |  | 88 | 0 | 0 |
| INTUIT | COM | 461202103 |  | 17 | 44 | SH |  | SOLE |  | 44 | 0 | 0 |
| INVESCO ACTIVLY MANGD ETC FD | OPTIMUM YIELD | 46090F100 |  | 71 | 4772 | SH |  | OTR |  | 0 | 4772 | 0 |
| INVESCO DB COMMDY INDX TRCK | UNIT | 46138B103 |  | 74 | 2998 | SH |  | OTR |  | 0 | 2998 | 0 |
| INVESCO EXCHNG TRADED FD TR | TAXABLE MUN BD | 46138G805 |  | 33003 | 1283664 | SH |  | SOLE |  | 1283664 | 0 | 0 |
| INVESCO EXCHNG TRADED FD TR | TAXABLE MUN BD | 46138G805 |  | 84 | 3250 | SH |  | SOLE |  | 3250 | 0 | 0 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 70908 | 266292 | SH |  | SOLE |  | 266292 | 0 | 0 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 180 | 675 | SH |  | SOLE |  | 675 | 0 | 0 |
| IQVIA HLDGS INC | COM | 46266C105 |  | 14 | 66 | SH |  | SOLE |  | 66 | 0 | 0 |
| IRON MTN INC NEW | COM | 46284V101 |  | 1031 | 20675 | SH |  | OTR |  | 0 | 20675 | 0 |
| ISHARES | CORE TOTUSBD ETF | 464287226 |  | 120088 | 1238144 | SH |  | SOLE |  | 1238144 | 0 | 0 |
| ISHARES | CORE TOTUSBD ETF | 464287226 |  | 304 | 3135 | SH |  | SOLE |  | 3135 | 0 | 0 |
| ISHARES S GSCI COMMODITY- | UNIT BEN INT | 46428R107 |  | 68 | 3223 | SH |  | OTR |  | 0 | 3223 | 0 |
| ISHARES TR | S 500 VAL ETF | 464287408 |  | 2523 | 17395 | SH |  | OTR |  | 0 | 17395 | 0 |
| ISHARES TR | RUS 1000 VAL ETF | 464287598 |  | 2642 | 17423 | SH |  | OTR |  | 0 | 17423 | 0 |
| ISHARES TR | CORE S ETF | 464287200 |  | 24485 | 63728 | SH |  | SOLE |  | 63728 | 0 | 0 |
| ISHARES TR | BROAD USD HIGH | 46435U853 |  | 19490 | 564448 | SH |  | SOLE |  | 564448 | 0 | 0 |
| ISHARES TR | CORE S ETF | 464287200 |  | 4337 | 11288 | SH |  | SOLE |  | 11288 | 0 | 0 |
| ISHARES TR | BARCLAYS 7 10 YR | 464287440 |  | 10835 | 113129 | SH |  | SOLE |  | 113129 | 0 | 0 |
| ISHARES TR | 1-3 YR TR BD ETF | 464287457 |  | 20151 | 248253 | SH |  | SOLE |  | 248253 | 0 | 0 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 |  | 15415 | 250079 | SH |  | SOLE |  | 250079 | 0 | 0 |
| ISHARES TR | CORE S ETF | 464287200 |  | 61 | 160 | SH |  | SOLE |  | 160 | 0 | 0 |
| ISHARES TR | BROAD USD HIGH | 46435U853 |  | 49 | 1430 | SH |  | SOLE |  | 1430 | 0 | 0 |
| ISHARES U S ETF TR | GSCI CMDTY STGY | 46431W853 |  | 53 | 1896 | SH |  | OTR |  | 0 | 1896 | 0 |
| J P MORGAN EXCHANGE-TRADED F | EQUITY PREMIUM | 46641Q332 |  | 51344 | 942264 | SH |  | SOLE |  | 942264 | 0 | 0 |
| J P MORGAN EXCHANGE-TRADED F | EQUITY PREMIUM | 46641Q332 |  | 130 | 2385 | SH |  | SOLE |  | 2385 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 1686 | 9542 | SH |  | OTR |  | 0 | 9542 | 0 |
| JOHNSON CTLS INTL PLC | SHS | G51502105 |  | 14 | 216 | SH |  | SOLE |  | 216 | 0 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 561 | 4184 | SH |  | OTR |  | 0 | 4184 | 0 |
| JPMORGAN CHASE  CO | COM | 46625H100 |  | 44 | 330 | SH |  | OTR |  | 0 | 330 | 0 |
| KBR INC | COM | 48242W106 |  | 3316 | 62803 | SH |  | OTR |  | 0 | 62803 | 0 |
| KEYSIGHT TECHNOLOGIES INC | COM | 49338L103 |  | 8 | 46 | SH |  | SOLE |  | 46 | 0 | 0 |
| KINDER MORGAN INC DEL | COM | 49456B101 |  | 51 | 2811 | SH |  | OTR |  | 0 | 2811 | 0 |
| KKR  CO INC | CL A | 48251W104 |  | 4178 | 90000 | SH |  | OTR |  | 0 | 90000 | 0 |
| KKR  CO INC | 6% MCONV PFD C | 48251W401 |  | 1655 | 28900 | SH |  | OTR |  | 0 | 28900 | 0 |
| KRANESHARES TR | GLOBAL CARBON | 500767678 |  | 64 | 1755 | SH |  | OTR |  | 0 | 1755 | 0 |
| LAUDER ESTEE COS INC | CL A | 518439104 |  | 1563 | 6300 | SH |  | OTR |  | 0 | 6300 | 0 |
| LIBERTY MEDIA CORP DEL | COM SER C FRMLA | 531229854 |  | 360 | 6024 | SH |  | OTR |  | 0 | 6024 | 0 |
| LILLY ELI  CO | COM | 532457108 |  | 763 | 2085 | SH |  | OTR |  | 0 | 2085 | 0 |
| LINDE PLC | COM | G5494J103 |  | 422 | 1293 | SH |  | OTR |  | 0 | 1293 | 0 |
| LINDE PLC | COM | G5494J103 |  | 51 | 155 | SH |  | OTR |  | 0 | 155 | 0 |
| LULULEMON ATHLETICA INC | COM | 550021109 |  | 2307 | 7200 | SH |  | OTR |  | 0 | 7200 | 0 |
| MANPOWERGROUP INC | COM | 56418H100 |  | 7 | 86 | SH |  | SOLE |  | 86 | 0 | 0 |
| MARATHON OIL CORP | COM | 565849106 |  | 399 | 14752 | SH |  | OTR |  | 0 | 14752 | 0 |
| MARKEL CORP | COM | 570535104 |  | 49 | 37 | SH |  | OTR |  | 0 | 37 | 0 |
| MASTERCARD INC | CL A | 57636Q104 |  | 2086 | 6000 | SH |  | OTR |  | 0 | 6000 | 0 |
| MASTERCARD INC | CL A | 57636Q104 |  | 43 | 125 | SH |  | OTR |  | 0 | 125 | 0 |
| MASTERCARD INC | CL A | 57636Q104 |  | 24 | 68 | SH |  | SOLE |  | 68 | 0 | 0 |
| MAXEON SOLAR TECHNOLOGIES LT | SHS | Y58473102 |  | 4 | 242 | SH |  | SOLE |  | 242 | 0 | 0 |
| MCCORMICK  CO INC | COM | 579780206 |  | 7 | 90 | SH |  | SOLE |  | 90 | 0 | 0 |
| MCDONALDS CORP | COM | 580135101 |  | 52 | 199 | SH |  | OTR |  | 0 | 199 | 0 |
| MCKESSON CORP | COM | 58155Q103 |  | 1079 | 2877 | SH |  | OTR |  | 0 | 2877 | 0 |
| MERCADOLIBRE INC | COM | 58733R102 |  | 685 | 810 | SH |  | OTR |  | 0 | 810 | 0 |
| MERCK  CO INC | COM | 58933Y105 |  | 1944 | 17518 | SH |  | OTR |  | 0 | 17518 | 0 |
| METLIFE INC | COM | 59156R108 |  | 1237 | 17089 | SH |  | OTR |  | 0 | 17089 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 1870 | 7797 | SH |  | OTR |  | 0 | 7797 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 2209 | 9213 | SH |  | OTR |  | 0 | 9213 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 25 | 104 | SH |  | SOLE |  | 104 | 0 | 0 |
| MODERNA INC | COM | 60770K107 |  | 21 | 118 | SH |  | SOLE |  | 118 | 0 | 0 |
| MONTAUK RENEWABLES INC | COM | 61218C103 |  | 10 | 902 | SH |  | SOLE |  | 902 | 0 | 0 |
| NASDAQ INC | COM | 631103108 |  | 1211 | 19737 | SH |  | OTR |  | 0 | 19737 | 0 |
| NETAPP INC | COM | 64110D104 |  | 6 | 94 | SH |  | SOLE |  | 94 | 0 | 0 |
| NETFLIX INC | COM | 64110L106 |  | 14 | 46 | SH |  | SOLE |  | 46 | 0 | 0 |
| NEWMONT GOLDCORP CORPORATION | COM | 651639106 |  | 38 | 797 | SH |  | OTR |  | 0 | 797 | 0 |
| NEXTERA ENERGY INC | UNIT 99/99/9999 | 65339F739 |  | 4292 | 85000 | SH |  | OTR |  | 0 | 85000 | 0 |
| NEXTERA ENERGY INC | UNIT 99/99/9999 | 65339F770 |  | 1273 | 25118 | SH |  | OTR |  | 0 | 25118 | 0 |
| NEXTERA ENERGY INC | COM | 65339F101 |  | 25 | 298 | SH |  | SOLE |  | 298 | 0 | 0 |
| NEXTERA ENERGY PARTNERS LP | COM UNIT PART IN | 65341B106 |  | 8 | 114 | SH |  | SOLE |  | 114 | 0 | 0 |
| NIKE INC | CL B | 654106103 |  | 1924 | 16439 | SH |  | OTR |  | 0 | 16439 | 0 |
| NIKOLA CORP | COM | 654110105 |  | 2 | 860 | SH |  | SOLE |  | 860 | 0 | 0 |
| NISOURCE INC | UNIT 12/01/2023 | 65473P121 |  | 5140 | 49300 | SH |  | OTR |  | 0 | 49300 | 0 |
| NORFOLK SOUTHERN CORP | COM | 655844108 |  | 40 | 163 | SH |  | OTR |  | 0 | 163 | 0 |
| NORTHROP GRUMMAN CORP | COM | 666807102 |  | 715 | 1310 | SH |  | OTR |  | 0 | 1310 | 0 |
| NRG ENERGY INC | COM NEW | 629377508 |  | 571 | 17933 | SH |  | OTR |  | 0 | 17933 | 0 |
| NUCOR CORP | COM | 670346105 |  | 57 | 434 | SH |  | OTR |  | 0 | 434 | 0 |
| OATLY GROUP AB | SPONSORED ADS | 67421J108 |  | 2 | 1092 | SH |  | SOLE |  | 1092 | 0 | 0 |
| OMEGA HEALTHCARE INVS INC | COM | 681936100 |  | 1312 | 46934 | SH |  | OTR |  | 0 | 46934 | 0 |
| ONEOK INC NEW | COM | 682680103 |  | 52 | 798 | SH |  | OTR |  | 0 | 798 | 0 |
| ORACLE CORP | COM | 68389X105 |  | 931 | 11385 | SH |  | OTR |  | 0 | 11385 | 0 |
| ORACLE CORP | COM | 68389X105 |  | 24 | 290 | SH |  | SOLE |  | 290 | 0 | 0 |
| ORMAT TECHNOLOGIES INC | COM | 686688102 |  | 10 | 116 | SH |  | SOLE |  | 116 | 0 | 0 |
| PAN AMERN SILVER CORP | COM | 697900108 |  | 32 | 1979 | SH |  | OTR |  | 0 | 1979 | 0 |
| PAYPAL HLDGS INC | COM | 70450Y103 |  | 570 | 8000 | SH |  | OTR |  | 0 | 8000 | 0 |
| PAYPAL HLDGS INC | COM | 70450Y103 |  | 41 | 572 | SH |  | OTR |  | 0 | 572 | 0 |
| PFIZER INC | COM | 717081103 |  | 24 | 460 | SH |  | SOLE |  | 460 | 0 | 0 |
| PIONEER NAT RES CO | COM | 723787107 |  | 2512 | 11000 | SH |  | OTR |  | 0 | 11000 | 0 |
| PLUG POWER INC | COM NEW | 72919P202 |  | 4 | 348 | SH |  | SOLE |  | 348 | 0 | 0 |
| PROCTER  GAMBLE CO | COM | 742718109 |  | 721 | 4759 | SH |  | OTR |  | 0 | 4759 | 0 |
| PROGRESSIVE CORP OHIO | COM | 743315103 |  | 61 | 473 | SH |  | OTR |  | 0 | 473 | 0 |
| PROLOGIS INC | COM | 74340W103 |  | 38 | 338 | SH |  | OTR |  | 0 | 338 | 0 |
| PUBLIC STORAGE | COM | 74460D109 |  | 40 | 142 | SH |  | OTR |  | 0 | 142 | 0 |
| PURECYCLE TECHNOLOGIES INC | COM | 74623V103 |  | 7 | 1016 | SH |  | SOLE |  | 1016 | 0 | 0 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 |  | 826 | 8186 | SH |  | OTR |  | 0 | 8186 | 0 |
| RAYTHEON TECHNOLOGIES CORP | COM | 75513E101 |  | 54 | 538 | SH |  | OTR |  | 0 | 538 | 0 |
| RELIANCE STEEL  ALUMINUM CO | COM | 759509102 |  | 62 | 307 | SH |  | OTR |  | 0 | 307 | 0 |
| RENESOLA LTD | SPONSORED ADS | 75971T301 |  | 2 | 478 | SH |  | SOLE |  | 478 | 0 | 0 |
| REPUBLIC SVCS INC | COM | 760759100 |  | 636 | 4930 | SH |  | OTR |  | 0 | 4930 | 0 |
| RH | COM | 74967X103 |  | 1349 | 5050 | SH |  | OTR |  | 0 | 5050 | 0 |
| SALESFORCE COM INC | COM | 79466L302 |  | 15 | 112 | SH |  | SOLE |  | 112 | 0 | 0 |
| SCHLUMBERGER LTD | COM | 806857108 |  | 76 | 1417 | SH |  | OTR |  | 0 | 1417 | 0 |
| SCHWAB STRATEGIC TR | US LCAP VA ETF | 808524409 |  | 2761 | 41814 | SH |  | OTR |  | 0 | 41814 | 0 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 |  | 24457 | 541688 | SH |  | SOLE |  | 541688 | 0 | 0 |
| SCHWAB STRATEGIC TR | US REIT ETF | 808524847 |  | 44167 | 2289656 | SH |  | SOLE |  | 2289656 | 0 | 0 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 |  | 62 | 1370 | SH |  | SOLE |  | 1370 | 0 | 0 |
| SCHWAB STRATEGIC TR | US REIT ETF | 808524847 |  | 112 | 5790 | SH |  | SOLE |  | 5790 | 0 | 0 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 |  | 72527 | 1028752 | SH |  | SOLE |  | 1028752 | 0 | 0 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 |  | 184 | 2605 | SH |  | SOLE |  | 2605 | 0 | 0 |
| SEMPRA ENERGY | COM | 816851109 |  | 702 | 4545 | SH |  | OTR |  | 0 | 4545 | 0 |
| SERVICENOW INC | COM | 81762P102 |  | 17 | 44 | SH |  | SOLE |  | 44 | 0 | 0 |
| SHERWIN WILLIAMS CO | COM | 824348106 |  | 40 | 170 | SH |  | OTR |  | 0 | 170 | 0 |
| SHOALS TECHNOLOGIES GROUP IN | CL A | 82489W107 |  | 10 | 408 | SH |  | SOLE |  | 408 | 0 | 0 |
| SOLAREDGE TECHNOLOGIES INC | COM | 83417M104 |  | 10 | 36 | SH |  | SOLE |  | 36 | 0 | 0 |
| SPDR SER TR | PRTFLO S VL | 78464A508 |  | 2598 | 66810 | SH |  | OTR |  | 0 | 66810 | 0 |
| SPDR SERIES TRUST | PORTFOLIO AGRGTE | 78464A649 |  | 120226 | 4784152 | SH |  | SOLE |  | 4784152 | 0 | 0 |
| SPDR SERIES TRUST | PORTFOLIO AGRGTE | 78464A649 |  | 304 | 12105 | SH |  | SOLE |  | 12105 | 0 | 0 |
| SPOTIFY TECHNOLOGY S A | SHS | L8681T102 |  | 711 | 9000 | SH |  | OTR |  | 0 | 9000 | 0 |
| SSR MNG INC | COM | 784730103 |  | 43 | 2743 | SH |  | OTR |  | 0 | 2743 | 0 |
| STARBUCKS CORP | COM | 855244109 |  | 49 | 489 | SH |  | OTR |  | 0 | 489 | 0 |
| STEEL DYNAMICS INC | COM | 858119100 |  | 72 | 740 | SH |  | OTR |  | 0 | 740 | 0 |
| STERICYCLE INC | COM | 858912108 |  | 8 | 152 | SH |  | SOLE |  | 152 | 0 | 0 |
| SUNNOVA ENERGY INTL INC | COM | 86745K104 |  | 7 | 374 | SH |  | SOLE |  | 374 | 0 | 0 |
| SUNPOWER CORP | COM | 867652406 |  | 8 | 456 | SH |  | SOLE |  | 456 | 0 | 0 |
| SUNRUN INC | COM | 86771W105 |  | 7 | 276 | SH |  | SOLE |  | 276 | 0 | 0 |
| SUNWORKS INC | COM NEW | 86803X204 |  | 2 | 1076 | SH |  | SOLE |  | 1076 | 0 | 0 |
| TC ENERGY CORP | COM | 87807B107 |  | 38 | 953 | SH |  | OTR |  | 0 | 953 | 0 |
| TESLA MTRS INC | COM | 88160R101 |  | 246 | 2000 | SH |  | OTR |  | 0 | 2000 | 0 |
| TESLA MTRS INC | COM | 88160R101 |  | 12 | 96 | SH |  | SOLE |  | 96 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 2214 | 4020 | SH |  | OTR |  | 0 | 4020 | 0 |
| TPI COMPOSITES INC | COM | 87266J104 |  | 2 | 218 | SH |  | SOLE |  | 218 | 0 | 0 |
| TRAVELERS COMPANIES INC | COM | 89417E109 |  | 1349 | 7195 | SH |  | OTR |  | 0 | 7195 | 0 |
| TRAVELERS COMPANIES INC | COM | 89417E109 |  | 52 | 276 | SH |  | OTR |  | 0 | 276 | 0 |
| UNILEVER PLC | SPON ADR NEW | 904767704 |  | 24 | 476 | SH |  | SOLE |  | 476 | 0 | 0 |
| UNION PAC CORP | COM | 907818108 |  | 43 | 208 | SH |  | OTR |  | 0 | 208 | 0 |
| UNITED PARCEL SERVICE INC | COM | 911312106 |  | 43 | 246 | SH |  | OTR |  | 0 | 246 | 0 |
| UNITED STATES STL CORP NEW | COM | 912909108 |  | 52 | 2060 | SH |  | OTR |  | 0 | 2060 | 0 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 1969 | 3713 | SH |  | OTR |  | 0 | 3713 | 0 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 30 | 56 | SH |  | SOLE |  | 56 | 0 | 0 |
| VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 |  | 120178 | 1672860 | SH |  | SOLE |  | 1672860 | 0 | 0 |
| VANGUARD BD INDEX FD INC | TOTAL BND MRKT | 921937835 |  | 304 | 4235 | SH |  | SOLE |  | 4235 | 0 | 0 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 23989 | 68280 | SH |  | SOLE |  | 68280 | 0 | 0 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 61 | 175 | SH |  | SOLE |  | 175 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | MORTG-BACK SEC | 92206C771 |  | 13158 | 289052 | SH |  | SOLE |  | 289052 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 |  | 6527 | 84212 | SH |  | SOLE |  | 84212 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | MORTG-BACK SEC | 92206C771 |  | 33 | 730 | SH |  | SOLE |  | 730 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 |  | 17 | 215 | SH |  | SOLE |  | 215 | 0 | 0 |
| VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 921908844 |  | 63938 | 421060 | SH |  | SOLE |  | 421060 | 0 | 0 |
| VANGUARD SPECIALIZED PORTFOL | DIV APP ETF | 921908844 |  | 162 | 1065 | SH |  | SOLE |  | 1065 | 0 | 0 |
| VIACOMCBS INC | CL B | 92556H206 |  | 25 | 1462 | SH |  | OTR |  | 0 | 1462 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 2250 | 10828 | SH |  | OTR |  | 0 | 10828 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 44 | 211 | SH |  | OTR |  | 0 | 211 | 0 |
| VISA INC | COM CL A | 92826C839 |  | 24 | 116 | SH |  | SOLE |  | 116 | 0 | 0 |
| WAL-MART STORES INC | COM | 931142103 |  | 994 | 7011 | SH |  | OTR |  | 0 | 7011 | 0 |
| WASTE MGMT INC DEL | COM | 94106L109 |  | 759 | 4835 | SH |  | OTR |  | 0 | 4835 | 0 |
| WATERS CORP | COM | 941848103 |  | 9 | 26 | SH |  | SOLE |  | 26 | 0 | 0 |
| WATTS WATER TECHNOLOGIES INC | CL A | 942749102 |  | 7 | 46 | SH |  | SOLE |  | 46 | 0 | 0 |
| WELLS FARGO  CO NEW | COM | 949746101 |  | 41 | 1001 | SH |  | OTR |  | 0 | 1001 | 0 |
| WELLS FARGO CO NEW | PERP PFD CNV A | 949746804 |  | 4957 | 4183 | SH |  | OTR |  | 0 | 4183 | 0 |
| WEST PHARMACEUTICAL SVSC INC | COM | 955306105 |  | 5 | 22 | SH |  | SOLE |  | 22 | 0 | 0 |
| WHEATON PRECIOUS METALS CORP | COM | 962879102 |  | 45 | 1155 | SH |  | OTR |  | 0 | 1155 | 0 |
| WILLIAMS COS INC DEL | COM | 969457100 |  | 56 | 1691 | SH |  | OTR |  | 0 | 1691 | 0 |
| WISDOMTREE TR | 90/60 BALNCED FD | 97717Y790 |  | 56426 | 1738864 | SH |  | SOLE |  | 1738864 | 0 | 0 |
| WISDOMTREE TR | 90/60 BALNCED FD | 97717Y790 |  | 143 | 4395 | SH |  | SOLE |  | 4395 | 0 | 0 |
| WORKHORSE GROUP INC | COM NEW | 98138J206 |  | 1 | 910 | SH |  | SOLE |  | 910 | 0 | 0 |
| XYLEM INC | COM | 98419M100 |  | 8 | 76 | SH |  | SOLE |  | 76 | 0 | 0 |

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