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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
EPI icon
176
WisdomTree India Earnings Fund ETF
EPI
$2.05B
$462K 0.1%
21,353
-23,424
-52% -$501K
APD icon
177
Air Products & Chemicals
APD
$67.1B
$459K 0.1%
+3,298
New +$457K
AVID
178
DELISTED
Avid Technology Inc
AVID
$459K 0.1%
+57,790
New +$444K
NEE icon
179
NextEra Energy
NEE
$174B
$457K 0.1%
14,944
-400
-3% -$12.6K
OMC icon
180
Omnicom Group
OMC
$22.7B
$455K 0.1%
5,350
+90
+2% +$7.54K
FOR icon
181
Forestar Group
FOR
$1.42B
$454K 0.1%
+38,730
New +$468K
UNP icon
182
Union Pacific
UNP
$172B
$452K 0.1%
4,632
+546
+13% +$51.1K
PBA icon
183
Pembina Pipeline
PBA
$28.2B
$447K 0.1%
14,689
-153
-1% -$4.6K
RTN
184
DELISTED
Raytheon Company
RTN
$445K 0.1%
3,267
+67
+2% +$9.32K
TRGP icon
185
Targa Resources
TRGP
$62.2B
$444K 0.1%
+9,039
New +$392K
TJX icon
186
TJX Companies
TJX
$145B
$441K 0.1%
11,788
+464
+4% +$18.2K
CL icon
187
Colgate-Palmolive
CL
$70.8B
$440K 0.1%
5,928
+1,841
+45% +$136K
AVB
188
DELISTED
AvalonBay Communities
AVB
$439K 0.1%
2,471
-657
-21% -$118K
TMO icon
189
Thermo Fisher Scientific
TMO
$227B
$439K 0.1%
2,760
+353
+15% +$54.4K
BCE icon
190
BCE
BCE
$22.1B
$438K 0.1%
9,485
+39
+0.4% +$1.85K
NSC icon
191
Norfolk Southern
NSC
$74B
$436K 0.1%
4,488
+2,059
+85% +$187K
HAL icon
192
Halliburton
HAL
$30.9B
$435K 0.1%
9,685
+5,041
+109% +$220K
OC icon
193
Owens Corning
OC
$11B
$435K 0.1%
8,145
+400
+5% +$21.5K
DOC icon
194
Healthpeak Properties
DOC
$14.2B
$434K 0.1%
+12,555
New +$439K
SSP icon
195
E.W. Scripps
SSP
$306M
$429K 0.1%
+26,959
New +$448K
AFL icon
196
Aflac
AFL
$58.8B
$427K 0.1%
+11,872
New +$432K
PII icon
197
Polaris
PII
$3.56B
$425K 0.1%
5,488
+55
+1% +$4.78K
NWL icon
198
Newell Brands
NWL
$2.6B
$423K 0.1%
8,040
+562
+8% +$29.1K
DVY icon
199
iShares Select Dividend ETF
DVY
$23.9B
$421K 0.1%
4,909
– –
AVNS
200
DELISTED
Avanos Medical
AVNS
$420K 0.1%
+12,106
New +$424K
6 7
8
9 10

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DFO
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LNWTC
Laird Norton Wetherby Trust Company Seattle, Washington $5.21B AUM 31.48% 1-Year Est. Return
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
Fideuram Asset Management (Ireland) Dublin 1 $5.26B AUM

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.