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Round Rock Advisors LLC — 13F Holdings & Portfolio

CIK 1846991 · latest 13F-HR filed 2026-08-12

Backtest portfolio

Round Rock Advisors LLC manages $776.4M in 13F-reported U.S. long-equity assets across 318 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are QQQ (7.86%), SMH (7.11%), VYM (6.61%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 30 new positions and exited 30; 190 existing positions rose in reported value and 43 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

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AUM
$776.4M

Long-equity book

Holdings
318

Distinct positions

Period
2026-06-30

Filed 2026-08-12

Q/Q Activity
+30 / −30 / ↑190 / ↓43

vs 2026-03-31

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q2 26
QQQ7.9% · +4%SMH7.1% · -3%VYM6.6% · +4%JPST6.2% · +5%IJR4.7% · +2%VO4.1% · +313%XLI2.8% · +3%AAPL2.5% · -1%DVY2.4% · +5%XLV2.4% · +7%SDSI2.1% · +13%BRK.A1.7% · -5%GOOG1.7% · -0%NBSD1.7% · +4%MSFT1.5% · +0%RSP1.5% · +18%XLK1.4% · -2%AMZN1.0% · -0%SPY1.0% · +16%XLU0.8% · +4%NVDA0.6% · -1%ABBV0.6% · -0%HZO0.6% · +92%XOM0.6% · +0%QQQM0.6% · +0%USMV0.6% · -3%IVW0.5% · -2%UNH0.5% · -3%GOOGL0.4% · -0%MU0.4% · -16%IBM0.4% · +3%IVV0.4% · +4%WMB0.4% · 0%IBIT0.4% · newFEIM0.4% · 0%DELL0.4% · 0%APD0.4% · 0%APH0.4% · 0%ICE0.4% · 0%CB0.3% · 0%JNJ0.3% · +0%IBDR0.3% · -1%COF0.3% · +0%PKE0.3% · 0%C0.3% · 0%ALNT0.3% · +8%BRK.B0.3% · +24%VGT0.3% · +698%TMS0.3% · newCVX0.3% · 0%NWPX0.3% · -11%NEOG0.3% · 0%VIG0.3% · -1%TDAY0.3% · newCDNL0.3% · +19%IBDS0.3% · -1%ELV0.3% · -9%SSYS0.2% · 0%FTK0.2% · +203%PSC0.2% · +25%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q1 26 → Q2 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

3 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 46.6%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Jun 22, 2026.

Assets Under Management
$906.7M
Discretionary
$906.7M
Employees
22
Accounts
1,935
Address
187 DANBURY ROAD
SUITE 201
WILTON, CT 06897
Phone
(203) 920-4774
Website
Name Title / Status Ownership Type
BOWLER, BERT, THOMAS ControlMEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR
since Apr 2017
50–75%Individual
JENSEN, CRAIG, DAN ControlMEMBER, CCO AND PRIVATE WEALTH ADVISOR
since Nov 2023
50–75%Individual
Ownership & leadership changes · 10 filings with changes since Jan 13, 2017

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

Mar 30, 2026 filing
  • ChangedBOWLER, BERT, THOMAS · title MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR → MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR
Sep 18, 2025 filing
  • No longer listedMorro, Erika, B · CHIEF OPERATIONS OFFICER · Less than 5% · control person · listed since Apr 2017
Mar 28, 2025 filing
  • AddedMorro, Erika, B · CHIEF OPERATIONS OFFICER · Less than 5% · control person
Mar 21, 2024 filing
  • ChangedJENSEN, CRAIG, DAN · title MEMBER AND CCO → MEMBER, CCO AND PRIVATE WEALTH ADVISOR
Nov 7, 2023 filing
  • No longer listedMORRO, ERIKA, BERRIO · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Nov 2022
  • AddedJENSEN, CRAIG, DAN · MEMBER AND CCO · 50–75% · control person
  • ChangedBOWLER, BERT, THOMAS · ownership 75% or more → 50–75%
Nov 28, 2022 filing
  • No longer listedMORRO, ERIKA B · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Nov 2022
  • AddedMORRO, ERIKA, BERRIO · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Nov 11, 2022 filing
  • AddedMORRO, ERIKA B · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
  • ChangedBOWLER, BERT, THOMAS · title MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR → MANAGING MEMBER, PRINCIPAL, AND PRIVATE WEALTH ADVISOR
Apr 12, 2018 filing
  • No longer listedDOWNEY, DIXON, PLACE · CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR · Less than 5% · listed since Apr 2017
  • ChangedBOWLER, BERT, THOMAS · title MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR → MANAGING MEMBER, PRINCIPAL, CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR
Apr 21, 2017 filing
  • No longer listedWINN, CHRISTOPHER, EDWARD · MANAGING MEMBER AND INTERIM CCO · 75% or more · control person · listed since Jan 2017
  • AddedBOWLER, BERT, THOMAS · MANAGING MEMBER, PRINCIPAL AND PRIVATE WEALTH ADVISOR · 75% or more · control person
  • AddedDOWNEY, DIXON, PLACE · CHIEF COMPLIANCE OFFICER AND PRIVATE WEALTH ADVISOR · Less than 5%
Jan 19, 2017 filing
  • ChangedWINN, CHRISTOPHER, EDWARD · title INTERIM CCO → MANAGING MEMBER AND INTERIM CCO
Older changes (1 more filing)
Jan 13, 2017 filing (earliest on record)
  • ListedWINN, CHRISTOPHER, EDWARD · INTERIM CCO · 75% or more · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Round Rock Advisors LLC Holdings (2026-06-30)

Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).

# Issuer Symbol CUSIP Value Weight Shares Type
1 INVESCO QQQ TR QQQ 46090E103 $61.0M 7.86% 82,898 SH
2 VANECK ETF TRUST SMH 92189F676 $55.2M 7.11% 84,209 SH
3 VANGUARD WHITEHALL FDS VYM 921946406 $51.3M 6.61% 324,884 SH
4 J P MORGAN EXCHANGE TRADED F JPST 46641Q837 $48.2M 6.21% 953,692 SH
5 ISHARES TR IJR 464287804 $36.3M 4.68% 244,807 SH
6 VANGUARD INDEX FDS VO 922908629 $31.9M 4.11% 396,501 SH
7 SELECT SECTOR SPDR TR XLI 81369Y704 $21.6M 2.78% 116,373 SH
8 APPLE INC AAPL 037833100 $19.2M 2.48% 66,412 SH
9 ISHARES TR DVY 464287168 $18.8M 2.42% 120,146 SH
10 SELECT SECTOR SPDR TR XLV 81369Y209 $18.2M 2.35% 114,998 SH
11 AMERICAN CENTY ETF TR SDSI 025072257 $16.6M 2.14% 324,038 SH
12 BERKSHIRE HATHAWAY INC DEL BRK.A 084670108 $13.5M 1.74% 18 SH
13 ALPHABET INC GOOG 02079K107 $13.1M 1.69% 37,106 SH
14 NEUBERGER BERMAN ETF TRUST NBSD 64135A887 $13.0M 1.68% 257,509 SH
15 MICROSOFT CORP MSFT 594918104 $11.9M 1.53% 31,894 SH
16 INVESCO EXCHANGE TRADED FD T RSP 46137V357 $11.3M 1.46% 53,115 SH
17 SELECT SECTOR SPDR TR XLK 81369Y803 $10.8M 1.39% 56,686 SH
18 AMAZON COM INC AMZN 023135106 $8.1M 1.04% 33,963 SH
19 STATE STR SPDR S&P 500 ETF T SPY 78462F103 $7.6M 0.98% 10,145 SH
20 SELECT SECTOR SPDR TR XLU 81369Y886 $6.0M 0.77% 131,792 SH
21 NVIDIA CORPORATION NVDA 67066G104 $4.7M 0.61% 23,521 SH
22 ABBVIE INC ABBV 00287Y109 $4.5M 0.58% 18,032 SH
23 MARINEMAX INC HZO 567908108 $4.4M 0.57% 120,030 SH
24 EXXON MOBIL CORP XOM 30231G102 $4.3M 0.56% 31,771 SH
25 INVESCO EXCH TRADED FD TR II QQQM 46138G649 $4.3M 0.55% 14,212 SH
26 ISHARES TR USMV 46429B697 $4.3M 0.55% 44,307 SH
27 ISHARES TR IVW 464287309 $4.2M 0.55% 30,832 SH
28 UNITEDHEALTH GROUP INC UNH 91324P102 $3.8M 0.49% 9,062 SH
29 ALPHABET INC GOOGL 02079K305 $3.4M 0.44% 9,510 SH
30 MICRON TECHNOLOGY INC MU 595112103 $3.4M 0.43% 2,909 SH
31 INTERNATIONAL BUSINESS MACHS IBM 459200101 $3.3M 0.42% 11,577 SH
32 ISHARES TR IVV 464287200 $3.3M 0.42% 4,343 SH
33 WILLIAMS COS INC WMB 969457100 $3.2M 0.41% 42,776 SH
34 ISHARES BITCOIN TRUST ETF IBIT 46438F101 $3.1M 0.40% 93,841 SH
35 FREQUENCY ELECTRS INC FEIM 358010106 $3.1M 0.39% 46,092 SH
36 DELL TECHNOLOGIES INC DELL 24703L202 $3.0M 0.39% 7,056 SH
37 AIR PRODUCTS AND CHEMICALS I APD 009158106 $3.0M 0.38% 10,133 SH
38 AMPHENOL CORP APH 032095101 $3.0M 0.38% 16,789 SH
39 INTERCONTINENTAL EXCHANGE IN ICE 45866F104 $2.9M 0.38% 23,854 SH
40 CHUBB LIMITED CB H1467J104 $2.7M 0.35% 7,921 SH
41 JOHNSON & JOHNSON JNJ 478160104 $2.7M 0.34% 10,503 SH
42 ISHARES TR IBDR 46435GAA0 $2.6M 0.34% 109,212 SH
43 CAPITAL ONE FINL CORP COF 14040H105 $2.6M 0.34% 13,117 SH
44 PARK AEROSPACE CORP PKE 70014A104 $2.6M 0.33% 67,808 SH
45 CITIGROUP INC C 172967424 $2.5M 0.32% 17,988 SH
46 ALLIENT INC ALNT 019330109 $2.5M 0.32% 24,086 SH
47 BERKSHIRE HATHAWAY INC DEL BRK.B 084670702 $2.4M 0.31% 4,871 SH
48 VANGUARD WORLD FD VGT 92204A702 $2.3M 0.30% 19,470 SH
49 TEAMSHARES INC TMS 87821B109 $2.3M 0.29% 277,236 SH
50 CHEVRON CORPORATION CVX 166764100 $2.2M 0.29% 13,353 SH
Filing History
Period Filed AUM Holdings Accession
2026-06-30 2026-08-12 $776.4M 318 0001951757-26-001257
2026-03-31 2026-05-15 $653.5M 318 0001951757-26-000878
2025-12-31 2026-04-07 $664.8M 326 0001951757-26-000520
2025-12-31 2026-01-27 $665.1M 324 0001951757-26-000317
Filer Information
Address
187 DANBURY ROAD
SUITE 201
WILTON, CT 06897
Phone
(203) 920-4774
Filing Manager
Round Rock Advisors LLC
WILTON, CT
Signatory
Craig Jensen
Chief Compliance Officer