Tortoise Investment Management, LLC Q3 2021 Filing

Filed November 4, 2021

Portfolio Value

$495.0M

Holdings

619

Report Date

Q3 2021

Filing Type

13F-HR

All Holdings (619 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	IVVISHARES TR	160,632	$69.2M	13.98%
2	BABINVESCO EXCH TRADED FD TR II	798,740	$26.3M	5.31%
3	MBBISHARES TR	170,166	$18.4M	3.72%
4	IEMGISHARES INC	287,863	$17.8M	3.59%
5	CMBSISHARES TR	309,249	$16.7M	3.38%
6	SPYSPDR S&P 500 ETF TR	48,679	$16.5M	3.33%	Put
7	ITOTISHARES TR	155,583	$15.3M	3.09%
8	JSCPJ P MORGAN EXCHANGE-TRADED F	259,160	$13.0M	2.63%
9	IWBISHARES TR	53,021	$12.8M	2.59%
10	AQLTISHARES TR	141,725	$10.5M	2.13%
11	IUSVISHARES TR	124,939	$8.9M	1.79%
12	AAPLAPPLE INC	60,638	$8.3M	1.67%	Put
13	VWOVANGUARD INTL EQUITY INDEX F	155,981	$7.8M	1.58%
14	JMSTJ P MORGAN EXCHANGE-TRADED F	142,283	$7.3M	1.47%
15	VTIVANGUARD INDEX FDS	32,100	$7.1M	1.44%
16	IJRISHARES TR	63,957	$7.0M	1.41%
17	MUBISHARES TR	58,881	$6.8M	1.38%
18	SHYDVANECK ETF TRUST	271,888	$6.8M	1.38%
19	DFAUDIMENSIONAL ETF TRUST	219,883	$6.6M	1.34%
20	VSSVANGUARD INTL EQUITY INDEX F	48,894	$6.5M	1.32%
21	SCHXSCHWAB STRATEGIC TR	61,528	$6.4M	1.29%
22	SCHCSCHWAB STRATEGIC TR	148,423	$6.2M	1.25%
23	VBRVANGUARD INDEX FDS	36,070	$6.1M	1.23%
24	VEAVANGUARD TAX-MANAGED INTL FD	120,112	$6.1M	1.23%
25	DGSWISDOMTREE TR	112,945	$6.0M	1.22%
26	VTVVANGUARD INDEX FDS	43,902	$5.9M	1.20%
27	VCSHVANGUARD SCOTTSDALE FDS	70,315	$5.8M	1.17%
28	IXUSISHARES TR	77,432	$5.5M	1.11%
29	SPEMSPDR INDEX SHS FDS	126,745	$5.4M	1.09%
30	BRK/BBERKSHIRE HATHAWAY INC DEL	17,774	$4.9M	0.98%
31	IVEISHARES TR	30,880	$4.5M	0.91%
32	DONSPDR DOW JONES INDL AVERAGE	13,217	$4.5M	0.90%
33	LEMBISHARES INC	96,268	$4.1M	0.82%
34	VMBSVANGUARD SCOTTSDALE FDS	67,707	$3.6M	0.73%
35	IJSISHARES TR	31,532	$3.2M	0.64%
36	VEUVANGUARD INTL EQUITY INDEX F	51,268	$3.1M	0.63%
37	VTNINVESCO TR INVT GRADE NEW YO	218,398	$2.9M	0.60%
38	NRKNUVEEN NEW YORK AMT QLT MUNI	198,533	$2.7M	0.55%
39	SCHFSCHWAB STRATEGIC TR	69,646	$2.7M	0.54%
40	JPSTJ P MORGAN EXCHANGE-TRADED F	50,689	$2.6M	0.52%
41	VTVANGUARD INTL EQUITY INDEX F	25,072	$2.6M	0.52%
42	MSFTMICROSOFT CORP	10,937	$2.5M	0.50%	Put
43	SLYVSPDR SER TR	29,617	$2.4M	0.49%
44	NNYNUVEEN N Y MUN VALUE FD	240,196	$2.4M	0.49%
45	PZAINVESCO EXCH TRADED FD TR II	88,837	$2.4M	0.48%
46	EWXSPDR INDEX SHS FDS	37,946	$2.2M	0.45%
47	HYDVANECK ETF TRUST	35,597	$2.2M	0.45%
48	SCHESCHWAB STRATEGIC TR	70,764	$2.2M	0.44%
49	XNXNXNUVEEN N Y SELECT TAX FREE I	155,095	$2.2M	0.43%
50	VBVANGUARD INDEX FDS	9,486	$2.1M	0.42%
51	SCHASCHWAB STRATEGIC TR	20,333	$2.0M	0.41%
52	EBNDSPDR SER TR	76,349	$1.9M	0.39%
53	SCHVSCHWAB STRATEGIC TR	28,088	$1.9M	0.38%
54	HDHOME DEPOT INC	6,288	$1.7M	0.35%	Put
55	NANNUVEEN NEW YORK QLT MUN INC	113,792	$1.7M	0.34%
56	PZTINVESCO EXCH TRADED FD TR II	60,466	$1.6M	0.32%
57	EFAISHARES TR	20,143	$1.6M	0.32%
58	SCZISHARES TR	19,728	$1.5M	0.30%
59	OEFISHARES TR	7,389	$1.5M	0.29%
60	EEMVISHARES INC	22,626	$1.4M	0.29%
61	NCANUVEEN CALIFORNIA MUNI VLU F	132,233	$1.4M	0.28%
62	EDDMORGAN STANLEY EMERGING MKTS	238,142	$1.4M	0.28%
63	EEMISHARES TR	26,890	$1.4M	0.27%
64	DLSWISDOMTREE TR	17,679	$1.3M	0.27%
65	DFAIDIMENSIONAL ETF TRUST	44,162	$1.3M	0.26%
66	SPDWSPDR INDEX SHS FDS	35,169	$1.3M	0.26%
67	SCHRSCHWAB STRATEGIC TR	21,880	$1.2M	0.25%
68	IWMISHARES TR	5,623	$1.2M	0.25%
69	DFACDIMENSIONAL ETF TRUST	44,227	$1.2M	0.24%
70	VTEBVANGUARD MUN BD FDS	20,977	$1.1M	0.23%
71	DFAXDIMENSIONAL ETF TRUST	43,798	$1.1M	0.23%
72	VCITVANGUARD SCOTTSDALE FDS	11,889	$1.1M	0.23%
73	HYMBSPDR SER TR	18,317	$1.1M	0.22%
74	SHVISHARES TR	9,555	$1.1M	0.21%
75	SCHBSCHWAB STRATEGIC TR	10,148	$1.1M	0.21%
76	NUWNUVEEN AMT-FREE MUN VALUE FD	60,139	$1.0M	0.21%
77	VXUSVANGUARD STAR FDS	16,175	$1.0M	0.21%
78	VRIGINVESCO ACTIVELY MANAGED ETF	39,832	$1.0M	0.20%
79	STIPISHARES TR	9,415	$995K	0.20%
80	SLQDISHARES TR	18,680	$965K	0.19%
81	COSTCOSTCO WHSL CORP NEW	2,314	$908K	0.18%	Put
82	VVVANGUARD INDEX FDS	4,234	$851K	0.17%
83	VOOVANGUARD INDEX FDS	2,069	$816K	0.16%
84	TSLATESLA INC	1,007	$781K	0.16%
85	AVDVAMERICAN CENTY ETF TR	11,233	$726K	0.15%
86	MLNVANECK ETF TRUST	32,583	$701K	0.14%
87	AMZNAMAZON COM INC	212	$696K	0.14%
88	SCHPSCHWAB STRATEGIC TR	10,718	$671K	0.14%
89	JPMJPMORGAN CHASE & CO	4,085	$669K	0.14%
90	WOODISHARES TR	7,774	$661K	0.13%
91	IWCISHARES TR	4,554	$657K	0.13%
92	TOTLSSGA ACTIVE ETF TR	13,491	$652K	0.13%
93	IJHISHARES TR	2,412	$635K	0.13%
94	BBWIBATH & BODY WORKS INC	9,944	$627K	0.13%
95	ESGVVANGUARD WORLD FD	7,726	$619K	0.13%
96	—NUVEEN INTER DURATION MUN TE	41,798	$615K	0.12%
97	IWFISHARES TR	2,203	$604K	0.12%
98	NDQINVESCO QQQ TR	1,673	$599K	0.12%
99	IEIISHARES TR	4,450	$579K	0.12%
100	TFISPDR SER TR	11,192	$577K	0.12%

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