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CG

Caprock Group Portfolio holdings

AUM $5.22B
1-Year Est. Return 42.47%
This Fund
S&P 500
This Quarter Est. Return
+4.79%
1 Year Est. Return
+42.47%
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$441M
AUM Growth
+$30.6M
Cap. Flow
+$12.3M
Cap. Flow %
2.8%
Top 10 Hldgs %
28.05%
Holding
393
New
116
Increased
147
Reduced
81
Closed
29

Top Buys

Rank Stock Value
1
AMJ
JP Morgan Alerian MLP Index ETN 5/24/24
AMJ
+$2.34M
2
PGF icon
Invesco Financial Preferred ETF
PGF
+$2.12M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.56M
4
PAGP icon
Plains GP Holdings
PAGP
+$1.2M
5
WDC icon
Western Digital
WDC
+$1.02M

Top Sells

Rank Stock Value
1
VOOG icon
Vanguard S&P 500 Growth ETF
VOOG
+$4.76M
2
IWB icon
iShares Russell 1000 ETF
IWB
+$3.56M
3
IEV icon
iShares Europe ETF
IEV
+$3.13M
4
FEZ icon
State Street SPDR EURO STOXX 50 ETF
FEZ
+$2.86M
5
VGK icon
Vanguard FTSE Europe ETF
VGK
+$2.74M

Sector Composition

Rank Sector Weight
1 Miscellaneous 36.6%
2 Healthcare 9.66%
3 Technology 8.94%
4 Financials 8.44%
5 Energy 6.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ACN icon
101
Accenture
ACN
$114B
$1.03M 0.23%
8,453
+137
+2% +$15.6K
VTR icon
102
Ventas
VTR
$46.3B
$1.02M 0.23%
14,471
-28
-0.2% -$2.03K
ETN icon
103
Eaton
ETN
$160B
$1.02M 0.23%
15,477
+43
+0.3% +$2.78K
GILD icon
104
Gilead Sciences
GILD
$187B
$996K 0.23%
12,585
+6,409
+104% +$521K
SVC
105
Service Properties Trust
SVC
$986M
$972K 0.22%
6,540
-46
-0.7% -$7.01K
LAMR icon
106
Lamar Advertising Co
LAMR
$15.3B
$967K 0.22%
14,803
-184
-1% -$11.9K
AM
107
DELISTED
ANTERO MIDSTREAM PARTNERS LP
AM
$967K 0.22%
+36,224
New +$961K
TXN icon
108
Texas Instruments
TXN
$236B
$966K 0.22%
13,764
+98
+0.7% +$6.68K
SYY icon
109
Sysco
SYY
$38.4B
$947K 0.21%
19,327
+6,789
+54% +$349K
CAT icon
110
Caterpillar
CAT
$374B
$934K 0.21%
10,516
+2,075
+25% +$170K
CME icon
111
CME Group
CME
$101B
$923K 0.21%
8,829
+32
+0.4% +$3.34K
BMO icon
112
Bank of Montreal
BMO
$122B
$888K 0.2%
13,539
-150
-1% -$9.75K
AXP icon
113
American Express
AXP
$220B
$886K 0.2%
13,833
+1,091
+9% +$70.1K
ADP icon
114
Automatic Data Processing
ADP
$110B
$883K 0.2%
10,008
-303
-3% -$27.5K
UFS
115
DELISTED
DOMTAR CORPORATION (New)
UFS
$883K 0.2%
23,772
-316
-1% -$11.6K
BMY icon
116
Bristol-Myers Squibb
BMY
$136B
$874K 0.2%
16,216
-157
-1% -$10.1K
BBWI icon
117
Bath & Body Works
BBWI
$3.93B
$853K 0.19%
14,908
+236
+2% +$13.9K
CELG
118
DELISTED
Celgene Corp
CELG
$845K 0.19%
8,086
+197
+2% +$21.3K
AWK icon
119
American Water Works
AWK
$28B
$829K 0.19%
11,081
+1,344
+14% +$105K
ECC
120
Eagle Point Credit Company
ECC
$521M
$820K 0.19%
47,767
-65,196
-58% -$1.12M
DXJ icon
121
WisdomTree Japan Hedged Equity Fund
DXJ
$7.32B
$796K 0.18%
18,562
-2,500
-12% -$104K
WELL icon
122
Welltower
WELL
$170B
$796K 0.18%
10,651
+473
+5% +$36.2K
TWX
123
DELISTED
Time Warner Inc
TWX
$788K 0.18%
9,903
+1
+0% +$78
IWM icon
124
iShares Russell 2000 ETF
IWM
$81.2B
$774K 0.18%
6,233
+17
+0.3% +$2.07K
TYG
125
Tortoise Energy Infrastructure Corp
TYG
$897M
$767K 0.17%
6,240
+46
+0.7% +$5.69K
3 4
5
6 7

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DFO
Duquesne Family Office New York $5.21B AUM 87.01% 1-Year Est. Return
LNWTC
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CFC
Cincinnati Financial Corp Fairfield, Ohio $5.23B AUM 22.72% 1-Year Est. Return
SFG
SNS Financial Group Minneapolis, Minnesota $5.2B AUM 22.05% 1-Year Est. Return
DWM
Dakota Wealth Management Palm Beach Gardens, Florida $5.24B AUM 38.12% 1-Year Est. Return
EIC
Equity Investment Corp Atlanta, Georgia $5.24B AUM 11.32% 1-Year Est. Return
AA
Ancora Advisors Cleveland, Ohio $5.19B AUM 23.19% 1-Year Est. Return
FAMI
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Caprock Group's Q3 2016 Portfolio in Review

As of Q3 2016, Caprock Group held 393 positions worth $441M, up 7.5% from $410M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Caprock Group's Q3 2016 filing shows 116 new, 147 increased, 81 reduced and 29 closed positions. Its largest new stake was Invesco Financial Preferred ETF: 110,161 shares worth $2.1M. The largest sale was Vanguard S&P 500 Growth ETF, an estimated $4.76M.

By sector, the portfolio is most concentrated in Miscellaneous at 37% of assets, down from 42% a quarter earlier, followed by Healthcare and Technology.

  • Caprock Group's largest Q3 2016 buy was Invesco Financial Preferred ETF: 110,161 shares worth $2.1M.
  • Caprock Group added most to JP Morgan Alerian MLP Index ETN 5/24/24 in Q3 2016, an estimated $2.34M increase.
  • Caprock Group's biggest Q3 2016 reduction was iShares Russell 1000 ETF, cutting an estimated $3.56M.
  • Caprock Group fully exited Vanguard S&P 500 Growth ETF in Q3 2016, selling an estimated $4.76M.
  • Caprock Group's ten largest holdings make up 28% of its $441M portfolio in Q3 2016.
  • Caprock Group opened 116 new positions and closed 29 in Q3 2016.
  • Caprock Group's portfolio value rose 7.5% quarter-over-quarter to $441M.

Based on Caprock Group's 13F filing for Q3 2016, filed 15 Nov 2016.