# EDGAR Filing Document

**Accession Number:** 0001846991
**File Stem:** 0001951757-25-001039
**Filing Date:** 2025-8
**Character Count:** 24962
**Document Hash:** 95beef865386efc14b93321c4cc83c0f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001951757-25-001039.hdr.sgml**: 20250806

**ACCESSION NUMBER**: 0001951757-25-001039

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

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20250630

**FILED AS OF DATE**: 20250806

**DATE AS OF CHANGE**: 20250806

**EFFECTIVENESS DATE**: 20250806

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Round Rock Advisors, LLC
- **CENTRAL INDEX KEY:** 0001846991

**ORGANIZATION NAME:**
- **EIN:** 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:** 251189183

**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

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 06-30-2025

**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:** Round Rock Advisors LLC<br>**Address:** 187 DANBURY ROAD<br>SUITE 201<br>WILTON, CT 06897

**Form 13F File Number:** 028-21052

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:** Craig Jensen<br>**Title:** Chief Compliance Officer<br>**Phone:** (203) 920-4774

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

Craig Jensen  Wilton, CT  08-06-2025<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:** 215

**Form 13F Information Table Value Total:** $579725748

      (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 |
| AT INC | COM | 00206R102 |  | 210555 | 7276 | SH |  | SOLE |  | 0 | 0 | 7276 |
| ABBVIE INC | COM | 00287Y109 |  | 3806138 | 20505 | SH |  | SOLE |  | 831 | 0 | 19674 |
| AGNICO EAGLE MINES LTD | COM | 008474108 |  | 1256495 | 10565 | SH |  | SOLE |  | 65 | 0 | 10500 |
| AIR PRODS  CHEMS INC | COM | 009158106 |  | 3095044 | 10973 | SH |  | SOLE |  | 0 | 0 | 10973 |
| ALPHABET INC | CAP STK CL C | 02079K107 |  | 7146707 | 40288 | SH |  | SOLE |  | 0 | 0 | 40288 |
| ALPHABET INC | CAP STK CL A | 02079K305 |  | 1560371 | 8854 | SH |  | SOLE |  | 0 | 0 | 8854 |
| KINETIK HOLDINGS INC | COM NEW CL A | 02215L209 |  | 633307 | 14377 | SH |  | SOLE |  | 14377 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 8247967 | 37595 | SH |  | SOLE |  | 0 | 0 | 37595 |
| AMEREN CORP | COM | 023608102 |  | 976343 | 10166 | SH |  | SOLE |  | 0 | 0 | 10166 |
| AMERICAN EXPRESS CO | COM | 025816109 |  | 711989 | 2232 | SH |  | SOLE |  | 0 | 0 | 2232 |
| AMERIPRISE FINL INC | COM | 03076C106 |  | 1078135 | 2020 | SH |  | SOLE |  | 0 | 0 | 2020 |
| AMPHENOL CORP NEW | CL A | 032095101 |  | 1664611 | 16857 | SH |  | SOLE |  | 0 | 0 | 16857 |
| ELEVANCE HEALTH INC | COM | 036752103 |  | 2647406 | 6806 | SH |  | SOLE |  | 0 | 0 | 6806 |
| APPLE INC | COM | 037833100 |  | 17172165 | 83697 | SH |  | SOLE |  | 11191 | 0 | 72506 |
| ARES MANAGEMENT CORPORATION | CL A COM STK | 03990B101 |  | 336354 | 1942 | SH |  | SOLE |  | 1941 | 0 | 1 |
| ARES CAPITAL CORP | COM | 04010L103 |  | 3924362 | 178705 | SH |  | SOLE |  | 177358 | 0 | 1347 |
| ARES COML REAL ESTATE CORP | COM | 04013V108 |  | 172316 | 36125 | SH |  | SOLE |  | 36125 | 0 | 0 |
| ARISTA NETWORKS INC | COM SHS | 040413205 |  | 1073175 | 10489 | SH |  | SOLE |  | 0 | 0 | 10489 |
| AUTOMATIC DATA PROCESSING IN | COM | 053015103 |  | 233150 | 756 | SH |  | SOLE |  | 52 | 0 | 704 |
| BANK AMERICA CORP | COM | 060505104 |  | 340704 | 7200 | SH |  | SOLE |  | 0 | 0 | 7200 |
| BANK NEW YORK MELLON CORP | COM | 064058100 |  | 884951 | 9713 | SH |  | SOLE |  | 0 | 0 | 9713 |
| BARINGS CORPORATE INVS | COM | 06759X107 |  | 952304 | 43966 | SH |  | SOLE |  | 43966 | 0 | 0 |
| BARINGS PARTN INVS | SH BEN INT | 06761A103 |  | 4142580 | 205996 | SH |  | SOLE |  | 205996 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 |  | 14576000 | 20 | SH |  | SOLE |  | 0 | 0 | 20 |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 |  | 2213654 | 4557 | SH |  | SOLE |  | 195 | 0 | 4362 |
| BGC GROUP INC | CL A | 088929104 |  | 958438 | 93689 | SH |  | SOLE |  | 93689 | 0 | 0 |
| BLACKROCK LTD DURATION INCOM | COM SHS | 09249W101 |  | 501192 | 35345 | SH |  | SOLE |  | 35345 | 0 | 0 |
| BLACKSTONE INC | COM | 09260D107 |  | 300357 | 2008 | SH |  | SOLE |  | 0 | 0 | 2008 |
| BOEING CO | COM | 097023105 |  | 244522 | 1167 | SH |  | SOLE |  | 0 | 0 | 1167 |
| BOOKING HOLDINGS INC | COM | 09857L108 |  | 428404 | 74 | SH |  | SOLE |  | 0 | 0 | 74 |
| BROADCOM INC | COM | 11135F101 |  | 455925 | 1654 | SH |  | SOLE |  | 0 | 0 | 1654 |
| BROOKFIELD CORP | CL A LTD VT SH | 11271J107 |  | 1266379 | 20475 | SH |  | SOLE |  | 0 | 0 | 20475 |
| BROOKFIELD ASSET MANAGMT LTD | CL A LMT VTG SHS | 113004105 |  | 284858 | 5153 | SH |  | SOLE |  | 0 | 0 | 5153 |
| CVS HEALTH CORP | COM | 126650100 |  | 1042357 | 15111 | SH |  | SOLE |  | 70 | 0 | 15041 |
| CAMDEN PPTY TR | SH BEN INT | 133131102 |  | 202842 | 1800 | SH |  | SOLE |  | 1800 | 0 | 0 |
| CAPITAL GROUP INTL FOCUS EQT | SHS CREATION UNI | 14019W109 |  | 475942 | 17543 | SH |  | SOLE |  | 0 | 0 | 17543 |
| CAPITAL ONE FINL CORP | COM | 14040H105 |  | 3081616 | 14484 | SH |  | SOLE |  | 0 | 0 | 14484 |
| CARRIER GLOBAL CORPORATION | COM | 14448C104 |  | 293711 | 4013 | SH |  | SOLE |  | 0 | 0 | 4013 |
| CHEVRON CORP NEW | COM | 166764100 |  | 2094583 | 14628 | SH |  | SOLE |  | 0 | 0 | 14628 |
| CINCINNATI FINL CORP | COM | 172062101 |  | 269992 | 1813 | SH |  | SOLE |  | 1813 | 0 | 0 |
| CITIGROUP INC | COM NEW | 172967424 |  | 1445508 | 16982 | SH |  | SOLE |  | 0 | 0 | 16982 |
| CITIZENS FINL GROUP INC | COM | 174610105 |  | 344575 | 7700 | SH |  | SOLE |  | 7700 | 0 | 0 |
| COCA COLA CO | COM | 191216100 |  | 776373 | 10973 | SH |  | SOLE |  | 0 | 0 | 10973 |
| COMCAST CORP NEW | CL A | 20030N101 |  | 1415251 | 39654 | SH |  | SOLE |  | 0 | 0 | 39654 |
| CONSTELLATION BRANDS INC | CL A | 21036P108 |  | 1167880 | 7179 | SH |  | SOLE |  | 0 | 0 | 7179 |
| CONSTELLATION ENERGY CORP | COM | 21037T109 |  | 290807 | 901 | SH |  | SOLE |  | 0 | 0 | 901 |
| CORTEVA INC | COM | 22052L104 |  | 354688 | 4759 | SH |  | SOLE |  | 0 | 0 | 4759 |
| COSTCO WHSL CORP NEW | COM | 22160K105 |  | 333692 | 337 | SH |  | SOLE |  | 0 | 0 | 337 |
| DEERE  CO | COM | 244199105 |  | 837992 | 1648 | SH |  | SOLE |  | 0 | 0 | 1648 |
| DELL TECHNOLOGIES INC | CL C | 24703L202 |  | 864453 | 7051 | SH |  | SOLE |  | 0 | 0 | 7051 |
| DISNEY WALT CO | COM | 254687106 |  | 598727 | 4828 | SH |  | SOLE |  | 198 | 0 | 4630 |
| DORCHESTER MINERALS LP | COM UNIT | 25820R105 |  | 8631502 | 309817 | SH |  | SOLE |  | 309817 | 0 | 0 |
| DUPONT DE NEMOURS INC | COM | 26614N102 |  | 292674 | 4267 | SH |  | SOLE |  | 0 | 0 | 4267 |
| ENACT HLDGS INC | COM | 29249E109 |  | 421281 | 11340 | SH |  | SOLE |  | 11340 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 |  | 1207995 | 38955 | SH |  | SOLE |  | 0 | 0 | 38955 |
| EXXON MOBIL CORP | COM | 30231G102 |  | 3613268 | 33518 | SH |  | SOLE |  | 1829 | 0 | 31689 |
| FS KKR CAP CORP | COM | 302635206 |  | 975769 | 47025 | SH |  | SOLE |  | 41093 | 0 | 5932 |
| META PLATFORMS INC | CL A | 30303M102 |  | 1579512 | 2140 | SH |  | SOLE |  | 100 | 0 | 2040 |
| FIDELITY COMWLTH TR | NASDAQ COMPSIT | 315912808 |  | 609561 | 7610 | SH |  | SOLE |  | 0 | 0 | 7610 |
| FIRST NORTHWEST BANCORP | COM | 335834107 |  | 82020 | 10652 | SH |  | SOLE |  | 10652 | 0 | 0 |
| GE AEROSPACE | COM NEW | 369604301 |  | 734508 | 2854 | SH |  | SOLE |  | 0 | 0 | 2854 |
| GILEAD SCIENCES INC | COM | 375558103 |  | 335160 | 3023 | SH |  | SOLE |  | 60 | 0 | 2963 |
| GOLDMAN SACHS GROUP INC | COM | 38141G104 |  | 952632 | 1346 | SH |  | SOLE |  | 0 | 0 | 1346 |
| GOLDMAN SACHS ETF TR | ACTIVEBETA INT | 381430107 |  | 356464 | 8988 | SH |  | SOLE |  | 0 | 0 | 8988 |
| GOLDMAN SACHS BDC INC | SHS | 38147U107 |  | 2333363 | 207410 | SH |  | SOLE |  | 207410 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 736456 | 2009 | SH |  | SOLE |  | 0 | 0 | 2009 |
| HONEYWELL INTL INC | COM | 438516106 |  | 2888411 | 12403 | SH |  | SOLE |  | 0 | 0 | 12403 |
| ITT INC | COM | 45073V108 |  | 3201999 | 20417 | SH |  | SOLE |  | 0 | 0 | 20417 |
| INTERCONTINENTAL EXCHANGE IN | COM | 45866F104 |  | 4795355 | 26137 | SH |  | SOLE |  | 0 | 0 | 26137 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 |  | 4543992 | 15415 | SH |  | SOLE |  | 0 | 0 | 15415 |
| INVESCO QQQ TR | UNIT SER 1 | 46090E103 |  | 43052558 | 78045 | SH |  | SOLE |  | 0 | 0 | 78045 |
| INVESCO EXCHANGE TRADED FD T | AEROSPACE DEFN | 46137V100 |  | 253843 | 1792 | SH |  | SOLE |  | 0 | 0 | 1792 |
| INVESCO EXCHANGE TRADED FD T | S EQL WGT | 46137V357 |  | 13609323 | 74883 | SH |  | SOLE |  | 0 | 0 | 74883 |
| INVESCO EXCH TRADED FD TR II | S LOW VOL | 46138E354 |  | 922775 | 12672 | SH |  | SOLE |  | 0 | 0 | 12672 |
| INVESCO EXCH TRADED FD TR II | NASDAQ 100 ETF | 46138G649 |  | 3173750 | 13975 | SH |  | SOLE |  | 0 | 0 | 13975 |
| ISHARES TR | SELECT DIVID ETF | 464287168 |  | 13899990 | 104661 | SH |  | SOLE |  | 0 | 0 | 104661 |
| ISHARES TR | CORE S ETF | 464287200 |  | 1582700 | 2551 | SH |  | SOLE |  | 0 | 0 | 2551 |
| ISHARES TR | MSCI EMG MKT ETF | 464287234 |  | 647236 | 13417 | SH |  | SOLE |  | 0 | 0 | 13417 |
| ISHARES TR | S 500 GRWT ETF | 464287309 |  | 3427470 | 31131 | SH |  | SOLE |  | 0 | 0 | 31131 |
| ISHARES TR | RUS MD CP GR ETF | 464287481 |  | 900479 | 6493 | SH |  | SOLE |  | 0 | 0 | 6493 |
| ISHARES TR | CORE S MCP ETF | 464287507 |  | 1059116 | 17077 | SH |  | SOLE |  | 0 | 0 | 17077 |
| ISHARES TR | RUS 1000 GRW ETF | 464287614 |  | 365047 | 860 | SH |  | SOLE |  | 0 | 0 | 860 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 |  | 647800 | 3002 | SH |  | SOLE |  | 130 | 0 | 2872 |
| ISHARES TR | CORE S US GWT | 464287671 |  | 246448 | 1639 | SH |  | SOLE |  | 0 | 0 | 1639 |
| ISHARES TR | US HLTHCARE ETF | 464287762 |  | 205662 | 3641 | SH |  | SOLE |  | 0 | 0 | 3641 |
| ISHARES TR | CORE S SCP ETF | 464287804 |  | 24613764 | 225215 | SH |  | SOLE |  | 0 | 0 | 225215 |
| ISHARES TR | NATIONAL MUN ETF | 464288414 |  | 278439 | 2665 | SH |  | SOLE |  | 0 | 0 | 2665 |
| ISHARES TR | INTL SEL DIV ETF | 464288448 |  | 200848 | 5820 | SH |  | SOLE |  | 320 | 0 | 5500 |
| ISHARES TR | ESG OPTIMIZED | 464288802 |  | 1092078 | 8616 | SH |  | SOLE |  | 0 | 0 | 8616 |
| ISHARES TR | RUS TP200 GR ETF | 464289438 |  | 993928 | 4032 | SH |  | SOLE |  | 0 | 0 | 4032 |
| ISHARES TR | CORE HIGH DV ETF | 46429B663 |  | 260938 | 2227 | SH |  | SOLE |  | 0 | 0 | 2227 |
| ISHARES TR | MSCI EAFE MIN VL | 46429B689 |  | 1121697 | 13344 | SH |  | SOLE |  | 0 | 0 | 13344 |
| ISHARES TR | MSCI USA MIN VOL | 46429B697 |  | 4578385 | 48774 | SH |  | SOLE |  | 0 | 0 | 48774 |
| ISHARES TR | CORE MSCI EAFE | 46432F842 |  | 390102 | 4673 | SH |  | SOLE |  | 0 | 0 | 4673 |
| ISHARES TR | 0-5YR HI YL CP | 46434V407 |  | 822723 | 19071 | SH |  | SOLE |  | 0 | 0 | 19071 |
| ISHARES TR | CORE DIV GRWTH | 46434V621 |  | 646740 | 10115 | SH |  | SOLE |  | 0 | 0 | 10115 |
| ISHARES TR | ULTRA SHORT DUR | 46434V878 |  | 801238 | 15800 | SH |  | SOLE |  | 0 | 0 | 15800 |
| ISHARES TR | IBONDS DEC25 ETF | 46434VBD1 |  | 2716418 | 107880 | SH |  | SOLE |  | 0 | 0 | 107880 |
| ISHARES TR | ESG AW MSCI EAFE | 46435G516 |  | 261325 | 2929 | SH |  | SOLE |  | 0 | 0 | 2929 |
| ISHARES TR | IBONDS DEC2026 | 46435GAA0 |  | 2658964 | 109648 | SH |  | SOLE |  | 0 | 0 | 109648 |
| ISHARES TR | ESG AWARE MSCI | 46435U663 |  | 580893 | 14055 | SH |  | SOLE |  | 0 | 0 | 14055 |
| ISHARES TR | IBONDS 27 ETF | 46435UAA9 |  | 1871533 | 77113 | SH |  | SOLE |  | 0 | 0 | 77113 |
| JPMORGAN CHASE  CO. | COM | 46625H100 |  | 1453441 | 5013 | SH |  | SOLE |  | 0 | 0 | 5013 |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 46641Q332 |  | 1998448 | 35153 | SH |  | SOLE |  | 0 | 0 | 35153 |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT ETF | 46641Q837 |  | 59949886 | 1182910 | SH |  | SOLE |  | 47598 | 0 | 1135312 |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 46654Q203 |  | 984640 | 18100 | SH |  | SOLE |  | 0 | 0 | 18100 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 1459199 | 9553 | SH |  | SOLE |  | 0 | 0 | 9553 |
| MAIN STR CAP CORP | COM | 56035L104 |  | 231968 | 3925 | SH |  | SOLE |  | 3925 | 0 | 0 |
| MARRIOTT INTL INC NEW | CL A | 571903202 |  | 696280 | 2549 | SH |  | SOLE |  | 0 | 0 | 2549 |
| MATTHEWS ASIA FDS | EMER MKTS EQUITY | 577125818 |  | 378132 | 11634 | SH |  | SOLE |  | 0 | 0 | 11634 |
| MCDONALDS CORP | COM | 580135101 |  | 609174 | 2085 | SH |  | SOLE |  | 0 | 0 | 2085 |
| MERCK  CO INC | COM | 58933Y105 |  | 761191 | 9616 | SH |  | SOLE |  | 105 | 0 | 9511 |
| MICROSOFT CORP | COM | 594918104 |  | 17907456 | 36001 | SH |  | SOLE |  | 70 | 0 | 35931 |
| MICRON TECHNOLOGY INC | COM | 595112103 |  | 592586 | 4808 | SH |  | SOLE |  | 0 | 0 | 4808 |
| NVE CORP | COM NEW | 629445206 |  | 1247616 | 16949 | SH |  | SOLE |  | 16949 | 0 | 0 |
| NETFLIX INC | COM | 64110L106 |  | 1692660 | 1264 | SH |  | SOLE |  | 0 | 0 | 1264 |
| NETWORK-1 TECHNOLOGIES INC | COM | 64121N109 |  | 410841 | 336755 | SH |  | SOLE |  | 336755 | 0 | 0 |
| NEWTEKONE INC | COM NEW | 652526203 |  | 146640 | 13000 | SH |  | SOLE |  | 0 | 0 | 13000 |
| NOVARTIS AG | SPONSORED ADR | 66987V109 |  | 635303 | 5250 | SH |  | SOLE |  | 0 | 0 | 5250 |
| NVIDIA CORPORATION | COM | 67066G104 |  | 3692525 | 23372 | SH |  | SOLE |  | 90 | 0 | 23282 |
| OAKTREE SPECIALTY LENDING CO | COM | 67401P405 |  | 1466655 | 107369 | SH |  | SOLE |  | 106291 | 0 | 1078 |
| ONEOK INC NEW | COM | 682680103 |  | 324234 | 3972 | SH |  | SOLE |  | 3970 | 0 | 2 |
| ORACLE CORP | COM | 68389X105 |  | 1411694 | 6457 | SH |  | SOLE |  | 0 | 0 | 6457 |
| BLUE OWL CAPITAL CORPORATION | COM | 69121K104 |  | 2022958 | 141071 | SH |  | SOLE |  | 140449 | 0 | 622 |
| PGIM ETF TR | PGIM ULTRA SH BD | 69344A107 |  | 563880 | 11332 | SH |  | SOLE |  | 0 | 0 | 11332 |
| PALANTIR TECHNOLOGIES INC | CL A | 69608A108 |  | 391238 | 2870 | SH |  | SOLE |  | 12 | 0 | 2858 |
| PALO ALTO NETWORKS INC | COM | 697435105 |  | 620673 | 3033 | SH |  | SOLE |  | 0 | 0 | 3033 |
| PAYPAL HLDGS INC | COM | 70450Y103 |  | 573007 | 7710 | SH |  | SOLE |  | 20 | 0 | 7690 |
| PEPSICO INC | COM | 713448108 |  | 1336730 | 10124 | SH |  | SOLE |  | 0 | 0 | 10124 |
| PFIZER INC | COM | 717081103 |  | 399666 | 16488 | SH |  | SOLE |  | 0 | 0 | 16488 |
| PIMCO ETF TR | ENHANCD SHORT | 72201R643 |  | 376690 | 3814 | SH |  | SOLE |  | 0 | 0 | 3814 |
| PIMCO ETF TR | ACTIVE BD ETF | 72201R775 |  | 204916 | 2223 | SH |  | SOLE |  | 0 | 0 | 2223 |
| POSTAL REALTY TRUST INC | CL A | 73757R102 |  | 283611 | 19254 | SH |  | SOLE |  | 19254 | 0 | 0 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 949158 | 5958 | SH |  | SOLE |  | 927 | 0 | 5031 |
| PROSHARES TR | RUSS 2000 DIVD | 74347B698 |  | 278132 | 4275 | SH |  | SOLE |  | 0 | 0 | 4275 |
| PURECYCLE TECHNOLOGIES INC | COM | 74623V103 |  | 274000 | 20000 | SH |  | SOLE |  | 0 | 0 | 20000 |
| RH | COM | 74967X103 |  | 378020 | 2000 | SH |  | SOLE |  | 0 | 0 | 2000 |
| RTX CORPORATION | COM | 75513E101 |  | 1469253 | 10062 | SH |  | SOLE |  | 0 | 0 | 10062 |
| REGENERON PHARMACEUTICALS | COM | 75886F107 |  | 399000 | 760 | SH |  | SOLE |  | 0 | 0 | 760 |
| RUNWAY GROWTH FINANCE CORP | COM | 78163D100 |  | 981280 | 91452 | SH |  | SOLE |  | 91452 | 0 | 0 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 |  | 6515956 | 10546 | SH |  | SOLE |  | 0 | 0 | 10546 |
| SPDR GOLD TR | GOLD SHS | 78463V107 |  | 201493 | 661 | SH |  | SOLE |  | 15 | 0 | 646 |
| SPDR SERIES TRUST | S DIVID ETF | 78464A763 |  | 374385 | 2758 | SH |  | SOLE |  | 0 | 0 | 2758 |
| SPDR SERIES TRUST | PORTFOLIO S | 78464A847 |  | 218918 | 4026 | SH |  | SOLE |  | 0 | 0 | 4026 |
| SPDR SERIES TRUST | S BIOTECH | 78464A870 |  | 509190 | 6140 | SH |  | SOLE |  | 3815 | 0 | 2325 |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 78467X109 |  | 1431605 | 3249 | SH |  | SOLE |  | 0 | 0 | 3249 |
| SPDR S MIDCAP 400 ETF TR | UTSER1 S | 78467Y107 |  | 702765 | 1241 | SH |  | SOLE |  | 0 | 0 | 1241 |
| SALESFORCE INC | COM | 79466L302 |  | 217607 | 798 | SH |  | SOLE |  | 0 | 0 | 798 |
| SCHWAB STRATEGIC TR | US BRD MKT ETF | 808524102 |  | 217054 | 9108 | SH |  | SOLE |  | 0 | 0 | 9108 |
| SCHWAB STRATEGIC TR | US LRG CAP ETF | 808524201 |  | 448995 | 18371 | SH |  | SOLE |  | 0 | 0 | 18371 |
| SCHWAB STRATEGIC TR | US LCAP GR ETF | 808524300 |  | 270960 | 9276 | SH |  | SOLE |  | 0 | 0 | 9276 |
| SCHWAB STRATEGIC TR | US SML CAP ETF | 808524607 |  | 296916 | 11736 | SH |  | SOLE |  | 0 | 0 | 11736 |
| SCHWAB STRATEGIC TR | FUNDAMENTAL INTL | 808524755 |  | 396358 | 9904 | SH |  | SOLE |  | 0 | 0 | 9904 |
| SCHWAB STRATEGIC TR | US DIVIDEND EQ | 808524797 |  | 824613 | 31117 | SH |  | SOLE |  | 0 | 0 | 31117 |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 |  | 12323864 | 91430 | SH |  | SOLE |  | 0 | 0 | 91430 |
| SELECT SECTOR SPDR TR | ENERGY | 81369Y506 |  | 3045034 | 35904 | SH |  | SOLE |  | 132 | 0 | 35772 |
| SELECT SECTOR SPDR TR | FINANCIAL | 81369Y605 |  | 254309 | 4856 | SH |  | SOLE |  | 0 | 0 | 4856 |
| SELECT SECTOR SPDR TR | INDL | 81369Y704 |  | 15980887 | 108330 | SH |  | SOLE |  | 0 | 0 | 108330 |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 |  | 7852121 | 31008 | SH |  | SOLE |  | 0 | 0 | 31008 |
| SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 |  | 4380817 | 53647 | SH |  | SOLE |  | 375 | 0 | 53272 |
| SHOPIFY INC | CL A SUB VTG SHS | 82509L107 |  | 447558 | 3880 | SH |  | SOLE |  | 0 | 0 | 3880 |
| SIXTH STREET SPECIALTY LENDI | COM | 83012A109 |  | 6694991 | 281184 | SH |  | SOLE |  | 281184 | 0 | 0 |
| SNOWFLAKE INC | CL A | 833445109 |  | 964896 | 4312 | SH |  | SOLE |  | 0 | 0 | 4312 |
| STARBUCKS CORP | COM | 855244109 |  | 209332 | 2285 | SH |  | SOLE |  | 0 | 0 | 2285 |
| STATE STR CORP | COM | 857477103 |  | 234161 | 2202 | SH |  | SOLE |  | 0 | 0 | 2202 |
| ARROWMARK FINANCIAL CORP | COM | 861780104 |  | 3658752 | 174809 | SH |  | SOLE |  | 174809 | 0 | 0 |
| CARLYLE SECURED LENDING INC | COM | 872280102 |  | 636968 | 46562 | SH |  | SOLE |  | 46562 | 0 | 0 |
| TEMPLETON EMERGING MKTS INCO | COM | 880192109 |  | 94068 | 15678 | SH |  | SOLE |  | 0 | 0 | 15678 |
| TESLA INC | COM | 88160R101 |  | 1769366 | 5570 | SH |  | SOLE |  | 0 | 0 | 5570 |
| 3M CO | COM | 88579Y101 |  | 963126 | 6326 | SH |  | SOLE |  | 0 | 0 | 6326 |
| TRAVEL PLUS LEISURE CO | COM | 894164102 |  | 450504 | 8729 | SH |  | SOLE |  | 0 | 0 | 8729 |
| TRINITY CAP INC | COM | 896442308 |  | 8169309 | 580619 | SH |  | SOLE |  | 580619 | 0 | 0 |
| UNION PAC CORP | COM | 907818108 |  | 366287 | 1592 | SH |  | SOLE |  | 0 | 0 | 1592 |
| UNITED AIRLS HLDGS INC | COM | 910047109 |  | 322263 | 4047 | SH |  | SOLE |  | 44 | 0 | 4003 |
| UNITEDHEALTH GROUP INC | COM | 91324P102 |  | 3151845 | 10103 | SH |  | SOLE |  | 0 | 0 | 10103 |
| VANECK ETF TRUST | GOLD MINERS ETF | 92189F106 |  | 348438 | 6693 | SH |  | SOLE |  | 0 | 0 | 6693 |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 92189F676 |  | 25058964 | 89856 | SH |  | SOLE |  | 0 | 0 | 89856 |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 921908844 |  | 1938504 | 9471 | SH |  | SOLE |  | 0 | 0 | 9471 |
| VANGUARD WORLD FD | ESG INTL STK ETF | 921910725 |  | 616028 | 9405 | SH |  | SOLE |  | 0 | 0 | 9405 |
| VANGUARD WORLD FD | ESG US STK ETF | 921910733 |  | 268070 | 2445 | SH |  | SOLE |  | 0 | 0 | 2445 |
| VANGUARD ADMIRAL FDS INC | MIDCP 400 GRTH | 921932869 |  | 731940 | 6476 | SH |  | SOLE |  | 0 | 0 | 6476 |
| VANGUARD TAX-MANAGED FDS | VAN FTSE DEV MKT | 921943858 |  | 710251 | 12458 | SH |  | SOLE |  | 0 | 0 | 12458 |
| VANGUARD WHITEHALL FDS | HIGH DIV YLD | 921946406 |  | 39564349 | 296785 | SH |  | SOLE |  | 0 | 0 | 296785 |
| VANGUARD WHITEHALL FDS | INTL DVD ETF | 921946810 |  | 931931 | 10341 | SH |  | SOLE |  | 0 | 0 | 10341 |
| VANGUARD MALVERN FDS | STRM INFPROIDX | 922020805 |  | 1032294 | 20535 | SH |  | SOLE |  | 0 | 0 | 20535 |
| VANGUARD WORLD FD | CONSUM DIS ETF | 92204A108 |  | 260870 | 720 | SH |  | SOLE |  | 0 | 0 | 720 |
| VANGUARD WORLD FD | HEALTH CAR ETF | 92204A504 |  | 388900 | 1566 | SH |  | SOLE |  | 0 | 0 | 1566 |
| VANGUARD WORLD FD | INF TECH ETF | 92204A702 |  | 1788941 | 2697 | SH |  | SOLE |  | 0 | 0 | 2697 |
| VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 |  | 1474045 | 18541 | SH |  | SOLE |  | 0 | 0 | 18541 |
| VANGUARD SCOTTSDALE FDS | INT-TERM CORP | 92206C870 |  | 848843 | 10237 | SH |  | SOLE |  | 0 | 0 | 10237 |
| VANGUARD MUN BD FDS | TAX EXEMPT BD | 922907746 |  | 315361 | 6432 | SH |  | SOLE |  | 0 | 0 | 6432 |
| VANGUARD INDEX FDS | S 500 ETF SHS | 922908363 |  | 1386711 | 2441 | SH |  | SOLE |  | 0 | 0 | 2441 |
| VANGUARD INDEX FDS | MCAP VL IDXVIP | 922908512 |  | 246361 | 1498 | SH |  | SOLE |  | 0 | 0 | 1498 |
| VANGUARD INDEX FDS | SML CP GRW ETF | 922908595 |  | 1002800 | 3621 | SH |  | SOLE |  | 0 | 0 | 3621 |
| VANGUARD INDEX FDS | SM CP VAL ETF | 922908611 |  | 455153 | 2334 | SH |  | SOLE |  | 0 | 0 | 2334 |
| VANGUARD INDEX FDS | MID CAP ETF | 922908629 |  | 24866918 | 88864 | SH |  | SOLE |  | 0 | 0 | 88864 |
| VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 |  | 1452462 | 5091 | SH |  | SOLE |  | 0 | 0 | 5091 |
| VANGUARD INDEX FDS | GROWTH ETF | 922908736 |  | 258218 | 589 | SH |  | SOLE |  | 0 | 0 | 589 |
| VANGUARD INDEX FDS | VALUE ETF | 922908744 |  | 858956 | 4860 | SH |  | SOLE |  | 0 | 0 | 4860 |
| VANGUARD INDEX FDS | SMALL CP ETF | 922908751 |  | 570411 | 2407 | SH |  | SOLE |  | 0 | 0 | 2407 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 |  | 238345 | 5508 | SH |  | SOLE |  | 0 | 0 | 5508 |
| VERSABANK NEW | COM | 92512J106 |  | 509979 | 44735 | SH |  | SOLE |  | 44735 | 0 | 0 |
| VOYA GLBL ADV  PREM OPP FD | COM | 92912R104 |  | 468378 | 47168 | SH |  | SOLE |  | 0 | 0 | 47168 |
| VOYA GLBL EQTY DIV  PREM OP | COM | 92912T100 |  | 210262 | 36252 | SH |  | SOLE |  | 0 | 0 | 36252 |
| WP CAREY INC | COM | 92936U109 |  | 459117 | 7360 | SH |  | SOLE |  | 0 | 0 | 7360 |
| WALMART INC | COM | 931142103 |  | 1061851 | 10860 | SH |  | SOLE |  | 0 | 0 | 10860 |
| WILLIAMS COS INC | COM | 969457100 |  | 2675455 | 42596 | SH |  | SOLE |  | 0 | 0 | 42596 |
| WISDOMTREE TR | US SMALLCAP DIVD | 97717W604 |  | 471191 | 14836 | SH |  | SOLE |  | 0 | 0 | 14836 |
| WYNDHAM HOTELS  RESORTS INC | COM | 98311A105 |  | 893472 | 11002 | SH |  | SOLE |  | 0 | 0 | 11002 |
| XYLEM INC | COM | 98419M100 |  | 587550 | 4542 | SH |  | SOLE |  | 0 | 0 | 4542 |
| YUM BRANDS INC | COM | 988498101 |  | 421128 | 2842 | SH |  | SOLE |  | 0 | 0 | 2842 |
| PENTAIR PLC | SHS | G7S00T104 |  | 441438 | 4300 | SH |  | SOLE |  | 0 | 0 | 4300 |
| CHUBB LIMITED | COM | H1467J104 |  | 2520854 | 8701 | SH |  | SOLE |  | 0 | 0 | 8701 |
| ASML HOLDING N V | N Y REGISTRY SHS | N07059210 |  | 201950 | 252 | SH |  | SOLE |  | 189 | 0 | 63 |
| NXP SEMICONDUCTORS N V | COM | N6596X109 |  | 1475026 | 6751 | SH |  | SOLE |  | 0 | 0 | 6751 |

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