Round Rock Advisors LLC
In its 13F for Q3 2025 (holdings as of September 30, 2025, filed November 14, 2025), Round Rock Advisors LLC reported 327 stock positions worth $631.2 million. Its top holding was Invesco QQQ Trust Series 1 (QQQ) at 7.7% of the portfolio, followed by JPMorgan Ultra-Short Income (JPST, 7.1%) and Vanguard High DVD Yield ETF (VYM, 6.8%). Compared with Q2 2025, it opened 149 new positions, sold out of 37, added to 66 and reduced 67. The biggest buy was a new position in Amer Cent SH Dur Strat (SDSI) and the biggest sale JPMorgan Ultra-Short Income (JPST, shares −26%).
- Most Recent 13F
- Q2 2026
- Location
- WILTON, CT
- CIK
- 0001846991
- Portfolio Value
- $631.2M (Q3 2025)
- SEC Filing
- 0001951757-25-001443 ↗ filed Nov 14, 2025
Holdings Value
Holdings 327 stocks · $631.2M
| QQQ Invesco QQQ Trust Series 1 | 7.67% | 80,588 | $48.4M | Add +3.3% |
| JPST JPMorgan Ultra-Short Income | 7.07% | 879,756 | $44.6M | Reduce -25.6% |
| VYM Vanguard High DVD Yield ETF | 6.77% | 303,037 | $42.7M | Add +2.1% |
| SMH Vaneck Semiconductor ETF | 4.65% | 89,946 | $29.4M | Add +0.1% |
| IJR iShares Core S&P Small-Cap E | 4.48% | 238,195 | $28.3M | Add +5.8% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 4.36% | 93,639 | $27.5M | Add +5.4% |
| AAPL Apple Inc. | 2.83% | 70,116 | $17.9M | Reduce -16.2% |
| MSFT Microsoft Corp. | 2.78% | 33,903 | $17.6M | Reduce -5.8% |
| XLI SS Industrial Select Sector | 2.68% | 109,708 | $16.9M | Add +1.3% |
| DVY iShares Select Dividend ETF | 2.43% | 108,036 | $15.4M | Add +3.2% |
| BRK.A Berkshire Hathaway Inc. Class A | 2.39% | 20 | $15.1M | No change |
| XLV SS Health Care Select Sector | 2.20% | 99,958 | $13.9M | Add +9.3% |
| RSP Invesco S&P 500 Equal Weight | 2.16% | 71,961 | $13.7M | Reduce -3.9% |
| GOOG Alphabet Inc. Class C | 1.55% | 40,186 | $9.8M | Reduce -0.3% |
| SDSI Amer Cent SH Dur Strat Inc. | 1.37% | 167,279 | $8.6M | New |
| XLK SS Technology Select Sector | 1.36% | 30,547 | $8.6M | Reduce -1.5% |
| SPY SS SPDR S&P 500 ETF Trust-US | 1.36% | 12,918 | $8.6M | Add +22.5% |
| NBSD Neuberger Short Duration Inc. | 1.36% | 167,892 | $8.6M | New |
| AMZN Amazon.com Inc. | 1.31% | 37,646 | $8.3M | Add +0.1% |
| XLU St Sr Utl SL SE SPDR ETF-Usd | 0.78% | 56,803 | $5.0M | Add +5.9% |
| USMV iShares MSCI USA Min Vol Fac | 0.72% | 48,013 | $4.6M | Reduce -1.6% |
| ABBV Abbvie Inc. | 0.72% | 19,579 | $4.5M | Reduce -4.5% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.71% | 15,798 | $4.5M | Add +2.5% |
| NVDA Nvidia Corp. | 0.70% | 23,533 | $4.4M | Add +0.7% |
| ICE Intercontinental Exchange Inc. | 0.69% | 26,028 | $4.4M | Reduce -0.4% |
| IVW iShares S&P 500 Growth ETF | 0.60% | 31,178 | $3.8M | Add +0.1% |
| ITT Itt Inc. | 0.58% | 20,417 | $3.6M | No change |
| XOM Exxon Mobil Corp. | 0.57% | 31,880 | $3.6M | Reduce -4.9% |
| UNH Unitedhealth Group Inc. | 0.55% | 10,113 | $3.5M | Add +0.1% |
| QQQM Invesco Nasdaq 100 ETF | 0.54% | 13,859 | $3.4M | Reduce -0.8% |
| COF Capital One Financial Corp. | 0.49% | 14,483 | $3.1M | Reduce -0.0% |
| APD Air Products & Chemicals Inc. | 0.47% | 10,972 | $3.0M | Reduce -0.0% |
| XLE SS Energy Select Sector | 0.44% | 31,252 | $2.8M | Reduce -13.0% |
| TSLA Tesla Inc. | 0.43% | 6,131 | $2.7M | Add +10.1% |
| WMB Williams Cos Inc. | 0.43% | 42,761 | $2.7M | Add +0.4% |
| IBDR iShares Ibonds Dec 2026 Term | 0.42% | 109,735 | $2.7M | Add +0.1% |
| IBDQ iShares Ibonds Dec 2025 Term | 0.42% | 104,780 | $2.6M | Reduce -2.9% |
| CB Chubb Ltd. | 0.39% | 8,731 | $2.5M | Add +0.3% |
| GOOGL Alphabet Inc. Class A | 0.38% | 9,936 | $2.4M | Add +12.2% |
| CVX Chevron Corp. | 0.36% | 14,628 | $2.3M | No change |
| HON Honeywell International Inc. | 0.33% | 9,876 | $2.1M | Reduce -20.4% |
| ELV Elevance Health Inc. | 0.33% | 6,431 | $2.1M | Reduce -5.5% |
| APH Amphenol Corp. Class A | 0.33% | 16,657 | $2.1M | Reduce -1.2% |
| VIG Vanguard Dividend Apprec ETF | 0.32% | 9,370 | $2.0M | Reduce -1.1% |
| VGT Vanguard Info Tech ETF | 0.32% | 2,678 | $2.0M | Reduce -0.7% |
| JEPI JPMorgan Equity Premium Inco | 0.31% | 34,593 | $2.0M | Reduce -1.6% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.31% | 3,844 | $1.9M | Reduce -15.7% |
| IBDS Ishrs Ibnds Dec 27 Corp. ETF | 0.30% | 77,203 | $1.9M | Add +0.1% |
| ORCL Oracle Corp. | 0.29% | 6,485 | $1.8M | Add +0.4% |
| JNJ Johnson & Johnson | 0.28% | 9,589 | $1.8M | Add +0.4% |
| AEM Agnico Eagle Mines Ltd. | 0.28% | 10,500 | $1.8M | Reduce -0.6% |
| SWIM Latham Group Inc. | 0.28% | 228,696 | $1.8M | New |
| IVV iShares Core S&P 500 ETF | 0.27% | 2,598 | $1.7M | Add +1.8% |
| C Citigroup Inc. | 0.27% | 17,085 | $1.7M | Add +0.6% |
| NFLX Netflix Inc. | 0.26% | 1,357 | $1.6M | Add +7.4% |
| JPM JPMorgan Chase & Co. | 0.25% | 5,030 | $1.6M | Add +0.3% |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | 0.25% | 5,052 | $1.6M | Reduce -0.8% |
| NXPI NXP Semiconductors NV | 0.25% | 6,802 | $1.5M | Add +0.8% |
| META Meta Platforms Inc. Class A | 0.24% | 2,094 | $1.5M | Reduce -2.1% |
| VOO Vanguard S&P 500 ETF | 0.24% | 2,498 | $1.5M | Add +2.3% |
| ANET Arista Networks Inc. | 0.24% | 10,491 | $1.5M | Add +0.0% |
| DIA SS SPDR Dow Jones Indus Avg filed as SPDR DOW JONES INDL AVERAGE | 0.24% | 3,249 | $1.5M | No change |
| VCSH Vanguard S/T Corp. Bond ETF | 0.24% | 18,641 | $1.5M | Add +0.5% |
| PEP Pepsico Inc. | 0.23% | 10,131 | $1.4M | Add +0.1% |
| TDOC Teladoc Health Inc. | 0.22% | 170,313 | $1.4M | New |
| BN Brookfield Corp. | 0.22% | 20,475 | $1.4M | No change |
| WMT Walmart Inc. | 0.19% | 11,702 | $1.2M | Add +7.8% |
| EPD Enterprise Products Partners | 0.19% | 38,435 | $1.2M | Reduce -1.3% |
| SUSA iShares ESG Optimized MSCI U | 0.19% | 8,616 | $1.2M | No change |
| CVS CVS Health Corp. | 0.18% | 15,041 | $1.1M | Reduce -0.5% |
| GS Goldman Sachs Group Inc. | 0.18% | 1,412 | $1.1M | Add +4.9% |
| EFAV iShares MSCI Eafe Min Vol Fa | 0.18% | 13,184 | $1.1M | Reduce -1.2% |
| PLUS Eplus Inc. | 0.18% | 15,302 | $1.1M | New |
| IWY iShares Russell Top 200 Grow | 0.18% | 4,047 | $1.1M | Add +0.4% |
| PLPC Preformed Line Products Co. | 0.17% | 4,703 | $1.1M | New |
| IJH iShares Core S&P Midcap ETF | 0.17% | 16,831 | $1.1M | Reduce -1.4% |
| RTX RTX Corp. | 0.17% | 6,526 | $1.1M | Reduce -35.1% |
| JEPQ JPM Nasdaq Equity Premium filed as J P MORGAN EXCHANGE TRADED F | 0.17% | 18,945 | $1.1M | Add +4.7% |
| AAMI Acadian Asset Management Inc. | 0.17% | 22,778 | $1.1M | New |
| VBK Van Morst SML-Cap Gro-Usd Inc. | 0.17% | 3,621 | $1.1M | No change |
| MMM 3M Co. | 0.17% | 6,866 | $1.1M | Add +8.5% |
| AEE Ameren Corporation | 0.17% | 10,166 | $1.1M | No change |
| VTIP Vanguard Short-Term Tips | 0.17% | 20,829 | $1.1M | Add +1.4% |
| IDR Idaho Strategic Resources Inc. | 0.17% | 30,230 | $1.0M | New |
| BNY Bank of New York Mellon Corp. filed as BANK NEW YORK MELLON CORP | 0.16% | 9,398 | $1.0M | Reduce -3.2% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.16% | 5,486 | $1.0M | Add +12.9% |
| LZ Legalzoomcom Inc. | 0.16% | 98,132 | $1.0M | New |
| SONO Sonos Inc. | 0.16% | 58,397 | $1.0M | New |
| HZO Marinemax Inc. | 0.16% | 38,468 | $1.0M | New |
| DELL Dell Technologies -C | 0.16% | 7,051 | $1000K | No change |
| ICSH iShares Ultra Short Duration | 0.16% | 19,629 | $996K | Add +24.2% |
| AMP Ameriprise Financial Inc. | 0.16% | 2,020 | $992K | No change |
| CMCSA Comcast Corp. Class A | 0.15% | 31,054 | $976K | Reduce -21.7% |
| SNOW Snowflake Inc. | 0.15% | 4,312 | $973K | No change |
| CIFR Cipher Digital Inc. | 0.15% | 74,951 | $944K | New |
| SPLV Invesco S&P 500 Low Volatili | 0.15% | 12,674 | $931K | Add +0.0% |
| VIGI Vanguard Int Div App Indx FD | 0.15% | 10,307 | $923K | Reduce -0.3% |
| IWP iShares Russell Mid-Cap Grow | 0.14% | 6,429 | $916K | Reduce -1.0% |
| HD Home Depot Inc. | 0.14% | 2,191 | $888K | Add +9.1% |
| WH Wyndham Hotels & Resorts Inc. | 0.14% | 11,002 | $879K | No change |
Portfolio Sells Q2 2025 → Q3 2025
| JPST JPMorgan Ultra-Short Income | Reduce -25.6% | 7.07% | −3.27 |
| DMLP Dorchester Minerals LP | Sold out | 0.00% | −1.49 |
| TRIN Trinity Capital Inc. | Sold out | 0.00% | −1.41 |
| TSLX Sixth Street Specialty Lendi | Sold out | 0.00% | −1.15 |
| MPV Barings Participation Invest | Sold out | 0.00% | −0.71 |
| ARCC Ares Capital Corp. | Sold out | 0.00% | −0.68 |
| BANX Arrowmark Financial Corp. | Sold out | 0.00% | −0.63 |
| GSBD Goldman Sachs BDC Inc. | Sold out | 0.00% | −0.40 |
| OBDC Blue Owl Capital Corp. | Sold out | 0.00% | −0.35 |
| MSFT Microsoft Corp. | Reduce -5.8% | 2.78% | −0.31 |
| OCSL Oaktree Specialty Lending Co. | Sold out | 0.00% | −0.25 |
| NVEC Nve Corp. | Sold out | 0.00% | −0.22 |
| RSP Invesco S&P 500 Equal Weight | Reduce -3.9% | 2.16% | −0.18 |
| RWAY Runway Growth Finance Corp. | Sold out | 0.00% | −0.17 |
| HON Honeywell International Inc. | Reduce -20.4% | 0.33% | −0.17 |
| FSK FS KKR Capital Corp. | Sold out | 0.00% | −0.17 |
| BGC BGC Group Inc. Class A | Sold out | 0.00% | −0.17 |
| MCI Barings Corporate Investors | Sold out | 0.00% | −0.16 |
| AAPL Apple Inc. | Reduce -16.2% | 2.83% | −0.13 |
| ICE Intercontinental Exchange Inc. | Reduce -0.4% | 0.69% | −0.13 |
| ELV Elevance Health Inc. | Reduce -5.5% | 0.33% | −0.13 |
| CGBD Carlyle Secured Lending Inc. | Sold out | 0.00% | −0.11 |
| KNTK Kinetik Holdings Inc. | Sold out | 0.00% | −0.11 |
| STZ Constellation Brands Inc. Class A | Reduce -34.3% | 0.10% | −0.10 |
| PYPL PayPal Holdings Inc. | Sold out | 0.00% | −0.10 |
| PULS Pgim Ultra Short Bond ETF | Sold out | 0.00% | −0.10 |
| CMCSA Comcast Corp. Class A | Reduce -21.7% | 0.15% | −0.09 |
| VBNK Versabank | Sold out | 0.00% | −0.09 |
| BLW BlackRock Ltd. Durat Inc. TR | Sold out | 0.00% | −0.09 |
| XLE SS Energy Select Sector | Reduce -13.0% | 0.44% | −0.08 |
| RTX RTX Corp. | Reduce -35.1% | 0.17% | −0.08 |
| BRK.B Berkshire Hathaway Inc. Class B | Reduce -15.7% | 0.31% | −0.08 |
| NVS Novartis AG-Sponsored ADR | Reduce -66.7% | 0.04% | −0.07 |
| ACT Enact Holdings Inc. | Sold out | 0.00% | −0.07 |
| NTIP Network-1 Technologies Inc. | Sold out | 0.00% | −0.07 |
| USMV iShares MSCI USA Min Vol Fac | Reduce -1.6% | 0.72% | −0.07 |
| APD Air Products & Chemicals Inc. | Reduce -0.0% | 0.47% | −0.06 |
| CFG Citizens Financial Group | Sold out | 0.00% | −0.06 |
| ARES Ares Management Corp. Class A | Sold out | 0.00% | −0.06 |
| GILD Gilead Sciences Inc. | Sold out | 0.00% | −0.06 |
| OKE Oneok Inc. | Sold out | 0.00% | −0.06 |
| XOM Exxon Mobil Corp. | Reduce -4.9% | 0.57% | −0.05 |
| BX Blackstone Inc. | Sold out | 0.00% | −0.05 |
| XBI SS SPDR S&P Biotech ETF | Reduce -62.1% | 0.04% | −0.05 |
| IBDQ iShares Ibonds Dec 2025 Term | Reduce -2.9% | 0.42% | −0.05 |
| PSTL Postal Realty Trust Inc. Class A | Sold out | 0.00% | −0.05 |
| CINF Cincinnati Financial Corp. | Sold out | 0.00% | −0.05 |
| COF Capital One Financial Corp. | Reduce -0.0% | 0.49% | −0.04 |
| PG The Procter & Gamble Co. | Reduce -15.6% | 0.12% | −0.04 |
| MAIN Main Street Capital Corp. | Sold out | 0.00% | −0.04 |
Portfolio Buys Q2 2025 → Q3 2025
| SDSI Amer Cent SH Dur Strat Inc. | New | 1.37% | +1.37 |
| NBSD Neuberger Short Duration Inc. | New | 1.36% | +1.36 |
| SMH Vaneck Semiconductor ETF | Add +0.1% | 4.65% | +0.33 |
| SWIM Latham Group Inc. | New | 0.28% | +0.28 |
| SPY SS SPDR S&P 500 ETF Trust-US | Add +22.5% | 1.36% | +0.24 |
| QQQ Invesco QQQ Trust Series 1 | Add +3.3% | 7.67% | +0.24 |
| IJR iShares Core S&P Small-Cap E | Add +5.8% | 4.48% | +0.24 |
| TDOC Teladoc Health Inc. | New | 0.22% | +0.22 |
| PLUS Eplus Inc. | New | 0.18% | +0.18 |
| PLPC Preformed Line Products Co. | New | 0.17% | +0.17 |
| AAMI Acadian Asset Management Inc. | New | 0.17% | +0.17 |
| IDR Idaho Strategic Resources Inc. | New | 0.17% | +0.17 |
| LZ Legalzoomcom Inc. | New | 0.16% | +0.16 |
| SONO Sonos Inc. | New | 0.16% | +0.16 |
| HZO Marinemax Inc. | New | 0.16% | +0.16 |
| CIFR Cipher Digital Inc. | New | 0.15% | +0.15 |
| USLM United States Lime & Mineral | New | 0.14% | +0.14 |
| HAPN Happen Inc. | New | 0.13% | +0.13 |
| ALNT Allient Inc. | New | 0.13% | +0.13 |
| PKE Park Aerospace Corp. | New | 0.13% | +0.13 |
| TSLA Tesla Inc. | Add +10.1% | 0.43% | +0.13 |
| LBRT Liberty Energy Inc. | New | 0.12% | +0.12 |
| ARRY Array Technologies Inc. | New | 0.12% | +0.12 |
| FEIM Frequency Electronics Inc. | New | 0.12% | +0.12 |
| ODC Oil-Dri Corp. of America | New | 0.12% | +0.12 |
| GENI Genius Sports Ltd. | New | 0.12% | +0.12 |
| GOOGL Alphabet Inc. Class A | Add +12.2% | 0.38% | +0.11 |
| TE T1 Energy Inc. | New | 0.11% | +0.11 |
| SXI Standex International Corp. | New | 0.11% | +0.11 |
| REX Rex American Resources Corp. | New | 0.11% | +0.11 |
| MYRG MYR Group Inc./Delaware | New | 0.10% | +0.10 |
| TCBI Texas Capital Bancshares Inc. | New | 0.10% | +0.10 |
| HCI Hci Group Inc. | New | 0.10% | +0.10 |
| NPKI NPK International Inc. | New | 0.10% | +0.10 |
| NBBK NB Bancorp Inc. | New | 0.10% | +0.10 |
| LMAT Lemaitre Vascular Inc. | New | 0.10% | +0.10 |
| OPY Oppenheimer Holdings Class A | New | 0.10% | +0.10 |
| ATMU Atmus Filtration Technologie | New | 0.10% | +0.10 |
| BLBD Blue Bird Corp. | New | 0.10% | +0.10 |
| SSRM SSR Mining Inc. | New | 0.10% | +0.10 |
| TILE Interface Inc. | New | 0.09% | +0.09 |
| TRNS Transcat Inc. | New | 0.09% | +0.09 |
| THRM Gentherm Inc. | New | 0.09% | +0.09 |
| PRCH Porch Group Inc. | New | 0.09% | +0.09 |
| NWPX NWPX Infrastructure Inc. | New | 0.09% | +0.09 |
| XERS Xeris Biopharma Holdings Inc. | New | 0.09% | +0.09 |
| AEIS Advanced Energy Industries | New | 0.09% | +0.09 |
| PSMT Pricesmart Inc. | New | 0.09% | +0.09 |
| GRBK Green Brick Partners Inc. | New | 0.09% | +0.09 |
| ESE Esco Technologies Inc. | New | 0.09% | +0.09 |
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 318 | $776.4M | QQQ, SMH, VYM, JPST, IJR |
| Q1 2026 | 318 | $653.5M | VYM, QQQ, JPST, SMH, IJR |
| Q4 2025Amended | 326 | $664.8M | QQQ, JPST, VYM, SMH, IJR |
| Q3 2025 | 327 | $631.2M | QQQ, JPST, VYM, SMH, IJR |
| Q2 2025 | 215 | $579.7M | JPST, QQQ, VYM, SMH, VO |
| Q1 2025 | 216 | $539.2M | JPST, VYM, QQQ, VO, IJR |
| Q4 2024 | 217 | $487.5M | JPST, QQQ, VYM, AAPL, IJR |
| Q3 2024 | 183 | $427.8M | VYM, QQQ, IJR, VO, AAPL |
| Q2 2024 | 180 | $410.7M | QQQ, VYM, IJR, SMH, VO |
| Q1 2024 | 190 | $417.4M | VYM, QQQ, VO, IJR, SMH |