Tortoise Investment Management, LLC Q4 2019 Filing

Filed February 6, 2020

Portfolio Value

$424.3M

Holdings

606

Report Date

Q4 2019

Filing Type

13F-HR

All Holdings (606 positions)

#	Stock	Shares	Value	% Portfolio	Type
1	IVVISHARES TR	214,591	$69.4M	16.35%
2	VRIGINVESCO ACTIVELY MANAGD ETF	996,119	$24.9M	5.86%
3	MBBISHARES TR	181,893	$19.7M	4.63%
4	IEMGISHARES INC	313,392	$16.8M	3.97%
5	SPYSPDR S&P 500 ETF TR	60,738	$15.3M	3.61%	Put
6	ITOTISHARES TR	178,793	$13.0M	3.06%
7	JPSTJP MORGAN EXCHANGE TRADED FD	256,873	$13.0M	3.05%
8	IWBISHARES TR	69,643	$12.4M	2.93%
9	SLQDISHARES TR	157,269	$8.0M	1.89%
10	AQLTISHARES TR	112,662	$7.3M	1.73%
11	IJRISHARES TR	84,121	$7.1M	1.66%
12	IXUSISHARES TR	111,603	$6.9M	1.63%
13	IVEISHARES TR	52,517	$6.8M	1.61%
14	IUSVISHARES TR	106,266	$6.7M	1.58%
15	VWOVANGUARD INTL EQUITY INDEX F	149,563	$6.7M	1.57%
16	NANNUVEEN NEW YORK QLT MUN INC	408,102	$5.8M	1.37%
17	VSSVANGUARD INTL EQUITY INDEX F	51,560	$5.7M	1.35%
18	SHYDVANECK VECTORS ETF TRUST	226,361	$5.7M	1.34%
19	VCSHVANGUARD SCOTTSDALE FDS	68,981	$5.6M	1.32%
20	DONSPDR DOW JONES INDL AVRG ETF	20,703	$5.3M	1.26%	Put
21	VTIVANGUARD INDEX FDS	32,237	$5.3M	1.24%
22	STIPISHARES TR	49,665	$5.0M	1.18%
23	SRLNSSGA ACTIVE ETF TR	103,469	$4.8M	1.14%
24	IJSISHARES TR	27,657	$4.4M	1.05%
25	BRK/BBERKSHIRE HATHAWAY INC DEL	19,465	$4.4M	1.04%
26	—NUVEEN SELECT TAX FREE INCM	282,919	$4.3M	1.02%
27	AAPLAPPLE INC	14,174	$4.2M	0.98%
28	VTVVANGUARD INDEX FDS	34,610	$4.1M	0.98%
29	NUVNUVEEN MUN VALUE FD INC	383,834	$4.1M	0.97%
30	NRKNUVEEN NEW YORK AMT QLT MUNI	300,796	$4.1M	0.96%
31	VBRVANGUARD INDEX FDS	26,966	$3.7M	0.87%
32	DGSWISDOMTREE TR	73,336	$3.5M	0.83%
33	SCHXSCHWAB STRATEGIC TR	45,579	$3.5M	0.83%
34	SCZISHARES TR	53,875	$3.4M	0.79%
35	VEAVANGUARD TAX MANAGED INTL FD	71,280	$3.1M	0.74%
36	VTVANGUARD INTL EQUITY INDEX F	37,045	$3.0M	0.71%
37	BABINVESCO EXCHNG TRADED FD TR	93,507	$3.0M	0.70%
38	SCHCSCHWAB STRATEGIC TR	84,063	$2.9M	0.69%
39	EFAISHARES TR	40,119	$2.8M	0.66%
40	—NUVEEN SELECT TAX FREE INCM	164,420	$2.7M	0.63%
41	XNXNXNUVEEN NY SELECT TAX FREE PR	176,345	$2.5M	0.59%
42	—NUVEEN MARYLAND QLT MUN INC	161,521	$2.2M	0.51%
43	EEMVISHARES INC	36,208	$2.1M	0.50%
44	VEUVANGUARD INTL EQUITY INDEX F	36,393	$2.0M	0.46%
45	SCHPSCHWAB STRATEGIC TR	33,788	$1.9M	0.45%
46	HYDVANECK VECTORS ETF TR	27,463	$1.8M	0.41%
47	SPEMSPDR INDEX SHS FDS	44,442	$1.7M	0.39%
48	—NUVEEN INTER DURATION MN TMF	118,287	$1.6M	0.39%
49	—NUVEEN INT DUR QUAL MUN TRM	113,574	$1.6M	0.37%
50	NCANUVEEN CALIF MUN VALUE FD	142,215	$1.5M	0.36%
51	SCHOSCHWAB STRATEGIC TR	29,188	$1.5M	0.35%
52	DLSWISDOMTREE TR	20,044	$1.4M	0.34%
53	MSFTMICROSOFT CORP	8,479	$1.3M	0.32%
54	IWDISHARES TR	9,718	$1.3M	0.31%
55	EEMISHARES TR	28,755	$1.3M	0.30%
56	—ABERDEEN ASIA PACIFIC INCOM	300,865	$1.3M	0.30%
57	UNHUNITEDHEALTH GROUP INC	4,176	$1.2M	0.29%
58	MYNBLACKROCK MUNIYIELD NY QLTY	92,500	$1.2M	0.29%
59	IWMISHARES TR	7,310	$1.2M	0.29%
60	IEIISHARES TR	9,276	$1.2M	0.27%
61	MUBISHARES TR	9,685	$1.1M	0.26%
62	PZAINVESCO EXCHNG TRADED FD TR	40,880	$1.1M	0.26%
63	PZTINVESCO EXCHNG TRADED FD TR	42,171	$1.1M	0.25%
64	HDHOME DEPOT INC	5,311	$1.0M	0.24%	Put
65	EWXSPDR INDEX SHS FDS	21,676	$998K	0.24%
66	OEFISHARES TR	6,825	$983K	0.23%
67	SCHESCHWAB STRATEGIC TR	35,666	$976K	0.23%
68	NXJNUVEEN NEW JERSEY QULT MUN F	64,577	$947K	0.22%
69	SCHFSCHWAB STRATEGIC TR	27,837	$936K	0.22%
70	SPDWSPDR INDEX SHS FDS	28,820	$904K	0.21%
71	NXPNUVEEN SELECT TAX FREE INCM	52,341	$859K	0.20%
72	IWCISHARES TR	8,371	$833K	0.20%
73	WOODISHARES TR	11,091	$743K	0.18%
74	VXUSVANGUARD STAR FD	13,267	$739K	0.17%
75	NYFISHARES TR	12,777	$729K	0.17%
76	JPMJPMORGAN CHASE & CO	5,219	$728K	0.17%
77	VVVANGUARD INDEX FDS	4,892	$723K	0.17%
78	SCHVSCHWAB STRATEGIC TR	11,670	$702K	0.17%
79	SHVISHARES TR	6,132	$677K	0.16%
80	—BLACKROCK MUNI N Y INTER DUR	43,064	$660K	0.16%
81	TFISPDR SERIES TRUST	12,995	$657K	0.15%
82	COSTCOSTCO WHSL CORP NEW	2,071	$609K	0.14%
83	MMM3M CO	3,384	$597K	0.14%
84	IBMINTERNATIONAL BUSINESS MACHS	4,186	$561K	0.13%
85	VBVANGUARD INDEX FDS	3,370	$558K	0.13%
86	SPSBSPDR SERIES TRUST	18,040	$556K	0.13%
87	IJHISHARES TR	2,620	$539K	0.13%
88	NZFNUVEEN MUNICIPAL CREDIT INC	31,923	$523K	0.12%
89	SCHRSCHWAB STRATEGIC TR	9,348	$513K	0.12%
90	VOOVANGUARD INDEX FDS	1,709	$505K	0.12%
91	PEPPEPSICO INC	3,695	$505K	0.12%
92	VIGVANGUARD GROUP	4,035	$503K	0.12%
93	JNJJOHNSON & JOHNSON	3,307	$482K	0.11%
94	IWFISHARES TR	2,703	$476K	0.11%
95	SCHASCHWAB STRATEGIC TR	6,166	$466K	0.11%
96	UNPUNION PACIFIC CORP	2,512	$454K	0.11%
97	ZTSZOETIS INC	3,360	$445K	0.10%
98	KMIKINDER MORGAN INC DEL	20,708	$438K	0.10%
99	DALDELTA AIR LINES INC DEL	10,733	$427K	0.10%	Put
100	VVISA INC	3,690	$413K	0.10%	Put

Page 1 of 7Next