CIK: 0001846991
Total reported value
$653.5M
Reporting period: 2026-03-31 · Number of holdings: 318
Round Rock Advisors LLC disclosed 318 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $653.5M and a quarterly turnover rate of 17.0%.
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Round Rock Advisors LLC's disclosed holdings carry a Herfindahl concentration index of 0.028 — mathematically equivalent to about 36 equally-sized positions, well below its 318 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 2.79), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 25% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Trim MSFT
-0.2% -$3.6M
Add VYM
+1.7% $2.2M
Trim QQQ
-1.3% -$3.6M
Add SDSI
+20.9% $2.5M
Trim SPY
-27.5% -$2.5M
Trim XLE
-92.3% -$2.2M
Showing top 200 holdings (of 318 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | VYM | Vanguard High Dvd Yield ETF | ETF-Other | 7.09% | +0.45% | +1.71% | |
| 2 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 7.07% | -0.42% | -1.28% | |
| 3 | JPST | Jpmorgan Ultra-short Income | ETF-Other | 7.02% | — | +0.57% | |
| 4 | SMH | Vaneck Semiconductor ETF | ETF-Other | 5.09% | +0.31% | -1.67% | |
| 5 | IJR | Ishares Core S&p Small-cap E | ETF-Small Cap | 4.55% | +0.18% | -1.10% | |
| 6 | VO | Vanguard Mid-cap ETF | ETF-Other | 4.22% | — | +1.28% | |
| 7 | XLI | Ss Industrial Select Sector | ETF-Other | 2.79% | +0.20% | +1.48% | |
| 8 | DVY | Ishares Select Dividend ETF | ETF-Other | 2.66% | +0.31% | +3.37% | |
| 9 | AAPL | Apple INC | Stock-Tech | 2.60% | -0.14% | -0.26% | |
| 10 | XLV | Ss Health Care Select Sector | ETF-Other | 2.42% | — | +4.54% | |
| 11 | SDSI | Amer Cent Sh Dur Strat INC | ETF-Other | 2.26% | +0.41% | +20.86% | |
| 12 | BRK-A | Berkshire Hathaway Inc-cl A | Stock-Other | 2.09% | -0.07% | — | |
| 13 | NBSD | Neuberger Short Duration INC | ETF-Other | 1.93% | +0.18% | +9.41% | |
| 14 | MSFT | Microsoft CORP | Stock-Tech | 1.80% | -0.52% | -0.19% | |
| 15 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 1.63% | -0.13% | -0.08% | |
| 16 | RSP | Invesco S&p 500 Equal Weight | ETF-Large Cap & Growth | 1.32% | — | +0.26% | |
| 17 | XLK | Ss Technology Select Sector | ETF-Tech | 1.17% | -0.12% | -2.87% | |
| 18 | AMZN | Amazon.com INC | Stock-Consumer Disc | 1.09% | -0.25% | -11.53% | |
| 19 | XLU | St Sr Utl Sl Se Spdr Etf-usd | ETF-Other | 0.89% | +0.11% | +4.10% | |
| 20 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 0.87% | -0.37% | -27.54% | |
| 21 | XOM | Exxon Mobil CORP | Stock-Energy | 0.82% | +0.24% | -1.15% | |
| 22 | USMV | Ishares Msci USA Min Vol Fac | ETF-Other | 0.65% | — | -0.87% | |
| 23 | NVDA | Nvidia CORP | Stock-Tech | 0.63% | — | -0.01% | |
| 24 | ABBV | Abbvie INC | Stock-Healthcare | 0.60% | — | -7.81% | |
| 25 | ICE | Intercontinental Exchange In | Stock-Financials | 0.57% | — | -8.38% | |
| 26 | IVW | Ishares S&p 500 Growth ETF | ETF-Large Cap & Growth | 0.54% | — | +0.03% | |
| 27 | QQQM | Invesco Nasdaq 100 ETF | ETF-Tech | 0.51% | — | +1.77% | |
| 28 | WMB | Williams Cos INC | Stock-Energy | 0.48% | — | — | |
| 29 | APD | Air Products & Chemicals INC | Stock-Materials | 0.45% | — | -7.73% | |
| 30 | CVX | Chevron CORP | Stock-Energy | 0.42% | — | -7.24% | |
| 31 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.42% | — | -5.73% | |
| 32 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.42% | +0.13% | +47.73% | |
| 33 | IBM | Intl Business Machines CORP | Stock-Tech | 0.42% | -0.18% | -16.51% | |
| 34 | IBDR | Ishares Ibonds Dec 2026 Term | ETF-Other | 0.41% | — | +0.08% | |
| 35 | CB | Chubb Limited | Stock-Financials | 0.40% | — | -9.38% | |
| 36 | JNJ | Johnson & Johnson | Stock-Healthcare | 0.39% | — | +8.64% | |
| 37 | UNH | Unitedhealth Group INC | Stock-Healthcare | 0.39% | -0.11% | -7.27% | |
| 38 | COF | Capital One Financial CORP | Stock-Financials | 0.37% | -0.16% | -9.66% | |
| 39 | NEOG | Neogen CORP | Stock-Healthcare | 0.34% | +0.18% | +54.25% | |
| 40 | LBRT | Liberty Energy INC | Stock-Energy | 0.33% | — | -28.18% | |
| 41 | EZBC | Franklin Bitcoin ETF | ETF-Crypto | 0.33% | — | +32.63% | |
| 42 | APH | Amphenol Corp-cl A | Stock-Tech | 0.32% | — | +0.61% | |
| 43 | IBDS | Ishrs Ibnds Dec 27 CORP ETF | ETF-Other | 0.32% | — | +0.10% | |
| 44 | FEIM | Frequency Electronics INC | Stock-Other | 0.31% | -0.08% | -5.15% | |
| 45 | C | Citigroup INC | Stock-Financials | 0.31% | — | +5.13% | |
| 46 | HON | Honeywell International INC | Stock-Industrials | 0.31% | — | -9.21% | |
| 47 | VIG | Vanguard Dividend Apprec ETF | ETF-Other | 0.30% | — | -1.80% | |
| 48 | JEPI | Jpmorgan Equity Premium Inco | ETF-Other | 0.29% | — | -4.38% | |
| 49 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.29% | -0.08% | -20.29% | |
| 50 | VTOL | Bristow Group INC | Stock-Other | 0.29% | +0.11% | +25.81% |
Performance for Q3 2026
+4.6%
Performance Last 4 Quarters
+25.9%
Based on 72% of reported portfolio value with available pricing
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2026-03-31 | 318 | $653.5M | 17 | |
| 2025-12-31 | 326 | $664.8M | 18 | |
| 2025-09-30 | 327 | $631.2M | 41 | |
| 2025-06-30 | 215 | $579.7M | 0 | |
| 2025-03-31 | 216 | $539.2M | 100 | |
| 2024-12-31 | 217 | $487.5M | 0 | |
| 2024-09-30 | 183 | $427.8M | 0 | |
| 2024-06-30 | 180 | $410.7M | 0 | |
| 2024-03-31 | 190 | $417.4M | 0 | |
| 2023-12-31 | 184 | $397.2M | 0 | |
| 2023-09-30 | 141 | $263.6M | 0 | |
| 2023-06-30 | 145 | $276.7M | 0 | |
| 2023-03-31 | 142 | $260.8M | 0 | |
| 2022-12-31 | 153 | $244.2M | 0 | |
| 2022-09-30 | 142 | $220.8M | 0 | |
| 2022-06-30 | 141 | $222.0M | 0 | |
| 2022-03-31 | 142 | $246.6M | 0 | |
| 2021-12-31 | 120 | $225.7M | 0 | |
| 2021-09-30 | 60 | $135.2M | 0 | |
| 2021-06-30 | 68 | $137.2M | 96 | |
| 2021-03-31 | 67 | $125.8M | 40 | |
| 2020-12-31 | 55 | $109.2M | 0 |
Round Rock Advisors LLC's most significant position changes for 2026-03-31: New buy: Stratasys Ltd. (SSYS); Sold out: Legalzoomcom INC (LZ); New buy: Live Oak Acquisition CORP V; Sold out: T1 Energy INC (TE); Sold out: Oil-dri CORP Of America (ODC).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | VYM | Vanguard High Dvd Yield ETF | +0.5% | +1.71% | Add |
| 2 | SDSI | Amer Cent Sh Dur Strat INC | +0.4% | +20.86% | Add |
| 3 | DVY | Ishares Select Dividend ETF | +0.3% | +3.37% | Add |
| 4 | SMH | Vaneck Semiconductor ETF | +0.3% | -1.67% | Trim |
| 5 | XOM | Exxon Mobil CORP | +0.2% | -1.15% | Trim |
| 6 | XLI | Ss Industrial Select Sector | +0.2% | +1.48% | Add |
| 7 | NEOG | Neogen CORP | +0.2% | +54.25% | Add |
| 8 | NBSD | Neuberger Short Duration INC | +0.2% | +9.41% | Add |
| 9 | IJR | Ishares Core S&p Small-cap E | +0.2% | -1.10% | Trim |
| 10 | CPSH | Cps Technologies CORP | +0.2% | +127.63% | Add |
| 11 | PSC | Principal US Small-cap ETF | +0.2% | +353.51% | Add |
| 12 | CODA | Coda Octopus Group INC | +0.1% | +134.56% | Add |
| 13 | IVV | Ishares Core S&p 500 ETF | +0.1% | +47.73% | Add |
| 14 | VTOL | Bristow Group INC | +0.1% | +25.81% | Add |
| 15 | BKSY | Blacksky Technology INC | +0.1% | +49.94% | Add |
| 16 | XLU | St Sr Utl Sl Se Spdr Etf-usd | +0.1% | +4.10% | Add |
| 17 | LASR | Nlight INC | +0.1% | +144.08% | Add |
| 18 | BRK-A | Berkshire Hathaway Inc-cl A | -0.1% | — | Unchanged |
| 19 | BRK-B | Berkshire Hathaway Inc-cl B | -0.1% | -20.29% | Trim |
| 20 | FEIM | Frequency Electronics INC | -0.1% | -5.15% | Trim |
| 21 | UNH | Unitedhealth Group INC | -0.1% | -7.27% | Trim |
| 22 | XLK | Ss Technology Select Sector | -0.1% | -2.87% | Trim |
| 23 | GOOG | Alphabet Inc-cl C | -0.1% | -0.08% | Trim |
| 24 | AAPL | Apple INC | -0.1% | -0.26% | Trim |
| 25 | COF | Capital One Financial CORP | -0.2% | -9.66% | Trim |
| 26 | IBM | Intl Business Machines CORP | -0.2% | -16.51% | Trim |
| 27 | AMZN | Amazon.com INC | -0.3% | -11.53% | Trim |
| 28 | XLE | Ss Energy Select Sector | -0.3% | -92.31% | Trim |
| 29 | SPY | Ss Spdr S&p 500 ETF Trust-us | -0.4% | -27.54% | Trim |
| 30 | QQQ | Invesco Qqq Trust Series 1 | -0.4% | -1.28% | Trim |
| 31 | MSFT | Microsoft CORP | -0.5% | -0.19% | Trim |
| 32 | SSYS | Stratasys Ltd. | — | NEW | New buy |
| 33 | LZ | Legalzoomcom INC | — | EXIT | Sold out |
| 34 | ✓ | Live Oak Acquisition CORP V | — | NEW | New buy |
| 35 | TE | T1 Energy INC | — | EXIT | Sold out |
| 36 | ODC | Oil-dri CORP Of America | — | EXIT | Sold out |
| 37 | GENI | Genius Sports Limited | — | EXIT | Sold out |
| 38 | HCI | Hci Group INC | — | EXIT | Sold out |
| 39 | DCO | Ducommun INC | — | NEW | New buy |
| 40 | MYE | Myers Industries INC | — | EXIT | Sold out |
| 41 | LSTR | Landstar System INC | — | NEW | New buy |
| 42 | CDNL | Cardinal Infrastructure Gr-a | — | NEW | New buy |
| 43 | CRAI | Cra International INC | — | EXIT | Sold out |
| 44 | CLMB | Climb Global Solutions INC | — | EXIT | Sold out |
| 45 | EXTR | Extreme Networks INC | — | EXIT | Sold out |
| 46 | LRCX | Lam Research CORP | — | NEW | New buy |
| 47 | VPG | Vishay Precision Group | — | EXIT | Sold out |
| 48 | GLUE | Monte Rosa Therapeutics INC | — | NEW | New buy |
| 49 | DGII | Digi International INC | — | EXIT | Sold out |
| 50 | THRM | Gentherm INC | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2026-03-31 | 2026-05-15 | 13F-HR | View on EDGAR |
| 2025-12-31 | 2026-04-07 | Amendment | View on EDGAR |
| 2025-12-31 | 2026-01-27 | 13F-HR | View on EDGAR |
| 2025-09-30 | 2025-11-14 | 13F-HR | View on EDGAR |
| 2025-06-30 | 2025-08-06 | 13F-HR | View on EDGAR |
| 2025-03-31 | 2025-04-30 | 13F-HR | View on EDGAR |
| 2024-12-31 | 2025-01-24 | 13F-HR | View on EDGAR |
| 2024-09-30 | 2024-11-04 | 13F-HR | View on EDGAR |
| 2024-06-30 | 2024-08-02 | 13F-HR | View on EDGAR |
| 2024-03-31 | 2024-04-24 | 13F-HR | View on EDGAR |
| 2023-12-31 | 2024-01-29 | 13F-HR | View on EDGAR |
| 2023-09-30 | 2023-10-16 | 13F-HR | View on EDGAR |
| 2023-06-30 | 2023-07-20 | 13F-HR | View on EDGAR |
| 2023-03-31 | 2023-05-02 | 13F-HR | View on EDGAR |
| 2022-12-31 | 2023-01-19 | 13F-HR | View on EDGAR |
| 2022-09-30 | 2022-10-20 | 13F-HR | View on EDGAR |
| 2022-06-30 | 2022-07-22 | 13F-HR | View on EDGAR |
| 2022-03-31 | 2022-04-28 | 13F-HR | View on EDGAR |
| 2021-12-31 | 2022-01-20 | 13F-HR | View on EDGAR |
| 2021-09-30 | 2021-10-25 | 13F-HR | View on EDGAR |
| 2021-06-30 | 2021-08-05 | 13F-HR | View on EDGAR |
| 2021-03-31 | 2021-04-26 | 13F-HR | View on EDGAR |
| 2020-12-31 | 2021-02-19 | 13F-HR | View on EDGAR |
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