Tortoise Investment Management, LLC Q1 2021 Filing

Filed May 5, 2021

Portfolio Value

$455.2M

Holdings

587

Report Date

Q1 2021

Filing Type

13F-HR

All Holdings (587 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	IVVISHARES TR	164,133	$65.3M	14.34%
2	MBBISHARES TR	289,286	$31.4M	6.89%
3	BABINVESCO EXCH TRADED FD TR II	745,037	$23.9M	5.24%
4	IEMGISHARES INC	289,137	$18.6M	4.09%
5	SPYSPDR S&P 500 ETF TR	50,691	$15.6M	3.44%	Put
6	ITOTISHARES TR	152,791	$14.0M	3.07%
7	IWBISHARES TR	53,770	$12.0M	2.64%
8	AQLTISHARES TR	139,124	$10.0M	2.20%
9	CMBSISHARES TR	176,253	$9.5M	2.09%
10	IUSVISHARES TR	119,648	$8.2M	1.81%
11	VWOVANGUARD INTL EQUITY INDEX F	155,510	$8.1M	1.78%
12	AAPLAPPLE INC	58,997	$7.0M	1.54%	Put
13	IJRISHARES TR	63,492	$6.9M	1.51%
14	MUBISHARES TR	58,743	$6.8M	1.50%
15	VTIVANGUARD INDEX FDS	32,488	$6.7M	1.48%
16	VSSVANGUARD INTL EQUITY INDEX F	50,482	$6.5M	1.42%
17	SCHXSCHWAB STRATEGIC TR	66,162	$6.4M	1.40%
18	VTVVANGUARD INDEX FDS	44,545	$5.9M	1.29%
19	VBRVANGUARD INDEX FDS	35,248	$5.8M	1.28%
20	VRIGINVESCO ACTIVELY MANAGED ETF	229,686	$5.8M	1.26%
21	VEAVANGUARD TAX-MANAGED INTL FD	116,678	$5.7M	1.26%
22	SCHCSCHWAB STRATEGIC TR	144,413	$5.7M	1.25%
23	IXUSISHARES TR	78,933	$5.5M	1.22%
24	NANNUVEEN NEW YORK QLT MUN INC	346,763	$4.9M	1.09%
25	SPEMSPDR INDEX SHS FDS	108,048	$4.7M	1.04%
26	BRK/BBERKSHIRE HATHAWAY INC DEL	18,213	$4.7M	1.02%
27	IVEISHARES TR	32,000	$4.5M	0.99%
28	DGSWISDOMTREE TR	87,574	$4.5M	0.99%
29	DONSPDR DOW JONES INDL AVERAGE	13,255	$4.4M	0.96%
30	VMBSVANGUARD SCOTTSDALE FDS	72,105	$3.8M	0.85%
31	JMSTJ P MORGAN EXCHANGE-TRADED F	68,735	$3.5M	0.77%
32	VTNINVESCO TR INVT GRADE NEW YO	267,054	$3.5M	0.77%
33	NRKNUVEEN NEW YORK AMT QLT MUNI	237,273	$3.2M	0.71%
34	DFAUDIMENSIONAL ETF TRUST	113,855	$3.2M	0.70%
35	IJSISHARES TR	31,297	$3.2M	0.69%
36	VEUVANGUARD INTL EQUITY INDEX F	51,472	$3.1M	0.69%
37	VTVANGUARD INTL EQUITY INDEX F	26,665	$2.6M	0.57%
38	JPSTJ P MORGAN EXCHANGE-TRADED F	50,769	$2.6M	0.57%
39	SCHFSCHWAB STRATEGIC TR	66,399	$2.5M	0.55%
40	XNXNXNUVEEN N Y SELECT TAX FREE I	167,117	$2.4M	0.53%
41	PZAINVESCO EXCH TRADED FD TR II	89,255	$2.4M	0.52%
42	SLYVSPDR SER TR	28,462	$2.3M	0.51%
43	HYDVANECK VECTORS ETF TR	33,997	$2.1M	0.46%
44	MSFTMICROSOFT CORP	10,089	$2.0M	0.45%	Put
45	VCSHVANGUARD SCOTTSDALE FDS	24,033	$2.0M	0.44%
46	EWXSPDR INDEX SHS FDS	35,294	$2.0M	0.43%
47	VBVANGUARD INDEX FDS	8,940	$1.9M	0.42%
48	SCHASCHWAB STRATEGIC TR	18,863	$1.9M	0.41%
49	SHYDVANECK VECTORS ETF TR	74,602	$1.9M	0.41%
50	SCHESCHWAB STRATEGIC TR	57,399	$1.8M	0.40%
51	NCANUVEEN CALIFORNIA MUNI VLU F	159,361	$1.6M	0.36%
52	HDHOME DEPOT INC	6,255	$1.6M	0.35%	Put
53	SCHPSCHWAB STRATEGIC TR	26,059	$1.6M	0.35%
54	EFAISHARES TR	20,593	$1.6M	0.34%
55	EEMISHARES TR	27,855	$1.5M	0.33%
56	SCZISHARES TR	20,052	$1.4M	0.32%
57	EEMVISHARES INC	22,756	$1.4M	0.32%
58	OEFISHARES TR	7,923	$1.4M	0.31%
59	PZTINVESCO EXCH TRADED FD TR II	53,716	$1.4M	0.30%
60	STIPISHARES TR	12,510	$1.3M	0.29%
61	SCHVSCHWAB STRATEGIC TR	20,206	$1.3M	0.29%
62	—NUVEEN NEW YORK MUN VALUE FD	87,438	$1.3M	0.28%
63	DLSWISDOMTREE TR	17,744	$1.3M	0.28%
64	LEMBISHARES INC	29,853	$1.3M	0.28%
65	IWMISHARES TR	5,740	$1.3M	0.28%
66	—NUVEEN MARYLAND QLT MUN INC	87,801	$1.2M	0.27%
67	—NUVEEN INTER DURATION MUN TE	85,273	$1.2M	0.27%
68	VTEBVANGUARD MUN BD FDS	20,977	$1.1M	0.25%
69	XJQCXNUVEEN CR STRATEGIES INCOME	173,160	$1.1M	0.25%
70	—ABERDEEN ASIA-PACIFIC INCOME	274,197	$1.1M	0.25%
71	—NUVEEN SELECT TAX FREE INCOM	63,405	$1.1M	0.23%
72	SHVISHARES TR	9,555	$1.1M	0.23%
73	VXUSVANGUARD STAR FDS	16,772	$1.1M	0.23%
74	SLQDISHARES TR	18,992	$983K	0.22%
75	—NUVEEN INT DUR QUAL MUN TRM	65,351	$958K	0.21%
76	SCHBSCHWAB STRATEGIC TR	9,901	$958K	0.21%
77	SPDWSPDR INDEX SHS FDS	27,025	$956K	0.21%
78	MYNBLACKROCK MUNIYIELD N Y QUAL	70,350	$946K	0.21%
79	HYMBSPDR SER TR	12,925	$767K	0.17%
80	JPMJPMORGAN CHASE & CO	4,902	$746K	0.16%
81	LBEURL BRANDS INC	12,000	$742K	0.16%
82	COSTCOSTCO WHSL CORP NEW	2,003	$706K	0.16%
83	NXJNUVEEN NEW JERSEY QULT MUN F	48,767	$706K	0.16%
84	IWCISHARES TR	4,701	$691K	0.15%
85	TSLATESLA INC	1,030	$688K	0.15%
86	WOODISHARES TR	7,999	$682K	0.15%
87	IJHISHARES TR	2,412	$628K	0.14%
88	DFAIDIMENSIONAL ETF TRUST	22,498	$627K	0.14%
89	ESGVVANGUARD WORLD FD	8,426	$621K	0.14%
90	MLNVANECK VECTORS ETF TR	28,583	$611K	0.13%
91	—NUVEEN SELECT TAX FREE INCOM	36,961	$594K	0.13%
92	MMM3M CO	3,085	$594K	0.13%
93	TFISPDR SER TR	11,372	$587K	0.13%
94	IEIISHARES TR	4,490	$583K	0.13%
95	SCHRSCHWAB STRATEGIC TR	10,242	$578K	0.13%
96	VVVANGUARD INDEX FDS	3,104	$575K	0.13%
97	AMZNAMAZON COM INC	184	$569K	0.13%
98	SRLNSSGA ACTIVE ETF TR	12,231	$559K	0.12%
99	UNPUNION PAC CORP	2,512	$554K	0.12%
100	HIOWESTERN ASSET HIGH INCOME OP	106,142	$539K	0.12%

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