Round Rock Advisors LLC

Q3 2026 13F-HR Holdings

Location
Wilton, CT
Holdings as of
9/30/2026
Date filed
11/12/2026
Form type
13F-HR
Num holdings
306
Total value ($000)
$731,913
Net value change ($000)
-44,437 (-5.7%)
New positions
20
Sold out positions
32
Turnover %
4.6%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/12/2026 Next filing: — SEC filing

Snapshot: Change Analysis

Compared to Q2 2026
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
MSFT 3,857 32.4%
XOM 2,646 NEW
AAPL 1,817 9.5%
IBIT 1,738 55.6%
SRTA 969 NEW
NEOG 924 42.4%
PFBC 834 NEW
XLV 755 4.1%
DELL 752 24.7%
ICE 686 23.4%
Top Reduces (Value $000, Stocks/ETFs)
SMH -7,260 -13.1%
HZO -4,395 -100.0%
XOM -4,344 -100.0%
IJR -2,562 -7.1%
XLI -2,451 -11.4%
QQQ -2,268 -3.7%
TDAY -2,131 -100.0%
VYM -1,534 -3.0%
CDNL -1,427 -67.5%
JNJ -1,423 -53.4%
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type