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CRWM

Castle Rock Wealth Management Portfolio holdings

AUM $509M
1-Year Est. Return 36.93%
This Fund
S&P 500
This Quarter Est. Return
+6.63%
1 Year Est. Return
+36.93%
3 Year Est. Return
+105.32%
5 Year Est. Return
+127.3%
10 Year Est. Return
–
AUM
$111M
AUM Growth
+$14.7M
Cap. Flow
+$6.93M
Cap. Flow %
6.25%
Top 10 Hldgs %
21.18%
Holding
176
New
18
Increased
90
Reduced
37
Closed
9

Top Buys

Rank Stock Value
1
TMO icon
Thermo Fisher Scientific
TMO
+$1.25M
2
UDEC
Innovator US Equity Ultra Buffer ETF December
UDEC
+$890K
3
SRET icon
Global X SuperDividend REIT ETF
SRET
+$711K
4
QYLD icon
Global X NASDAQ-100 Covered Call ETF
QYLD
+$705K
5
PG icon
Procter & Gamble
PG
+$703K

Top Sells

Rank Stock Value
1
GLOP
GASLOG PARTNERS LP
GLOP
+$1.71M
2
IEF icon
iShares 7-10 Year Treasury Bond ETF
IEF
+$751K
3
JSMD icon
Janus Henderson Small/Mid Cap Growth Alpha ETF
JSMD
+$722K
4
GBIL icon
Goldman Sachs Access Treasury 0-1 Year ETF
GBIL
+$692K
5
CVS icon
CVS Health
CVS
+$624K

Sector Composition

Rank Sector Weight
1 Technology 11.49%
2 Healthcare 8.76%
3 Financials 6.78%
4 Consumer Discretionary 6.35%
5 Communication Services 5.59%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PPL
151
PPL Corp
PPL
$26.5B
$222K 0.2%
6,135
-87
-1% -$2.92K
UPLD icon
152
Upland Software
UPLD
$12.8M
$222K 0.2%
+519
New +$194K
GDV icon
153
Gabelli Dividend & Income Trust
GDV
$2.6B
$221K 0.2%
9,974
+352
+4% +$7.38K
ICSH icon
154
iShares Ultra Short Duration Bond Active ETF
ICSH
$8.07B
$219K 0.2%
4,347
– –
VHT icon
155
Vanguard Health Care ETF
VHT
$18.1B
$219K 0.2%
+1,112
New +$199K
VGK icon
156
Vanguard FTSE Europe ETF
VGK
$30.7B
$217K 0.2%
+3,712
New +$208K
NFJ
157
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.41B
$214K 0.19%
15,800
– –
SO icon
158
Southern Company
SO
$109B
$209K 0.19%
+3,050
New +$189K
VNQ icon
159
Vanguard Real Estate ETF
VNQ
$39.2B
$208K 0.19%
+2,138
New +$198K
ITOT icon
160
iShares Core S&P Total US Stock Market ETF
ITOT
$94.3B
$205K 0.18%
+2,715
New +$189K
GAIN icon
161
Gladstone Investment Corp
GAIN
$643M
$186K 0.17%
13,710
– –
CCIF
162
Carlyle Credit Income Fund
CCIF
$59.4M
$175K 0.16%
16,179
-1,172
-7% -$11.9K
ETW
163
Eaton Vance Tax-Managed Global Buy-Write Opportunities Fund
ETW
$1.03B
$161K 0.15%
15,250
– –
NCA icon
164
Nuveen California Municipal Value Fund
NCA
$297M
$131K 0.12%
+12,172
New +$128K
SABA
165
Saba Capital Income & Opportunities Fund II
SABA
$220M
$83K 0.07%
6,781
– –
GPRO icon
166
GoPro
GPRO
$130M
$47K 0.04%
11,500
– –
PTN
167
Palatin Technologies
PTN
$13.7M
$12K 0.01%
16
– –
CRON
168
Cronos Group
CRON
$1.06B
– –
-13,167
Closed -$106K
EEMV icon
169
iShares MSCI Emerging Markets Min Vol Factor ETF
EEMV
$3.44B
– –
-4,900
Closed -$289K
EW icon
170
Edwards Lifesciences
EW
$49.6B
– –
-2,592
Closed -$203K
GOVI icon
171
Invesco Equal Weight 0-30 Year Treasury ETF
GOVI
$1.22B
– –
-5,500
Closed -$215K
ITA icon
172
iShares US Aerospace & Defense ETF
ITA
$14.2B
– –
-2,394
Closed -$274K
JSMD icon
173
Janus Henderson Small/Mid Cap Growth Alpha ETF
JSMD
$1.05B
– –
-15,922
Closed -$722K
SAGE
174
DELISTED
Sage Therapeutics
SAGE
– –
-2,316
Closed -$334K
STZ icon
175
Constellation Brands
STZ
$22.2B
– –
-2,562
Closed -$473K
4 5 6
7
8

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PWMG
Prestige Wealth Management Group Flemington, New Jersey $509M AUM 15.69% 1-Year Est. Return
PP
Paloma Partners Greenwich, Connecticut $510M AUM 286.05% 1-Year Est. Return
MCA
Magnolia Capital Advisors Jackson, Mississippi $509M AUM 18.99% 1-Year Est. Return
NIEF
Nalanda India Equity Fund Mauritius $510M AUM 23.61% 1-Year Est. Return
MC
Machina Capital Paris, France $508M AUM 9.91% 1-Year Est. Return
HIM
HughesLittle Investment Management Vancouver $511M AUM 24.72% 1-Year Est. Return
MCM
Maltese Capital Management New York $508M AUM 21.31% 1-Year Est. Return
CTAF
Call To Action Foundation Salt Lake City, Utah $511M AUM 16.28% 1-Year Est. Return

Castle Rock Wealth Management's Q4 2019 Portfolio in Review

As of Q4 2019, Castle Rock Wealth Management held 176 positions worth $111M, up 15% from $96.3M the previous quarter. Its ten largest holdings account for 21% of the portfolio.

Castle Rock Wealth Management deployed $6.93M of net new capital in Q4 2019, opening 18 new positions and adding to 90 existing holdings. Its largest new stake was Thermo Fisher Scientific: 4,130 shares worth $1.4M.

By sector, the portfolio is most concentrated in Technology at 11% of assets, up from 10% a quarter earlier, followed by Healthcare and Financials.

On the sell side, the largest reduction was iShares 7-10 Year Treasury Bond ETF, an estimated $751K trimmed.

  • Castle Rock Wealth Management's largest Q4 2019 buy was Thermo Fisher Scientific: 4,130 shares worth $1.4M.
  • Castle Rock Wealth Management added most to Procter & Gamble in Q4 2019, an estimated $703K increase.
  • Castle Rock Wealth Management's biggest Q4 2019 reduction was iShares 7-10 Year Treasury Bond ETF, cutting an estimated $751K.
  • Castle Rock Wealth Management fully exited GASLOG PARTNERS LP in Q4 2019, selling an estimated $1.71M.
  • Castle Rock Wealth Management's ten largest holdings make up 21% of its $111M portfolio in Q4 2019.
  • Castle Rock Wealth Management opened 18 new positions and closed 9 in Q4 2019.
  • Castle Rock Wealth Management's portfolio value rose 15% quarter-over-quarter to $111M.

Based on Castle Rock Wealth Management's 13F filing for Q4 2019, filed 13 Feb 2020.