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NorthRock Partners Portfolio holdings

AUM $6.2B
1-Year Est. Return 15.8%
This Fund
S&P 500
This Quarter Est. Return
+8.58%
1 Year Est. Return
+15.8%
3 Year Est. Return
+55.39%
5 Year Est. Return
+66.95%
10 Year Est. Return
+234.56%
AUM
$947M
AUM Growth
+$213M
Cap. Flow
+$113M
Cap. Flow %
11.93%
Top 10 Hldgs %
46.15%
Holding
297
New
90
Increased
116
Reduced
73
Closed
17

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$34.6M
2
MDLZ icon
Mondelez International
MDLZ
+$32.5M
3
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$19.3M
4
SPYD icon
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
+$19.3M
5
AAPL icon
Apple
AAPL
+$15.7M

Top Sells

Rank Stock Value
1
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$25M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$16.9M
3
HDV
iShares Core High Dividend ETF
HDV
+$16.1M
4
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$14.2M
5
VEU icon
Vanguard FTSE All-World ex-US ETF
VEU
+$11.5M

Sector Composition

Rank Sector Weight
1 Consumer Staples 15.63%
2 Technology 5.84%
3 Financials 3.37%
4 Healthcare 2.72%
5 Communication Services 2.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVE icon
276
iShares S&P 500 Value ETF
IVE
$49.1B
$27K ﹤0.01%
208
-2,018
-91% -$251K
GGG icon
277
Graco
GGG
$13.2B
$26K ﹤0.01%
+500
New +$23.9K
HSII
278
DELISTED
Heidrick & Struggles
HSII
$24K ﹤0.01%
+738
New +$21.7K
ATO icon
279
Atmos Energy
ATO
$29.7B
$18K ﹤0.01%
+161
New +$17.7K
EPP icon
280
iShares MSCI Pacific ex Japan ETF
EPP
$2.21B
$16K ﹤0.01%
+346
New +$15.8K
ACB
281
Aurora Cannabis
ACB
$169M
– –
-116
Closed -$61K
AMLP icon
282
Alerian MLP ETF
AMLP
$12.9B
– –
-4,220
Closed -$193K
ARCC icon
283
Ares Capital
ARCC
$13.4B
– –
-126,327
Closed -$2.35M
CCEP icon
284
Coca-Cola Europacific Partners
CCEP
$49.1B
– –
-6,359
Closed -$353K
CELC icon
285
Celcuity
CELC
$4.06B
– –
-12,930
Closed -$220K
CME icon
286
CME Group
CME
$95.4B
– –
-1,109
Closed -$234K
DON icon
287
WisdomTree US MidCap Dividend Fund
DON
$4.05B
– –
-5,988
Closed -$217K
DSI icon
288
iShares MSCI KLD 400 Social ETF
DSI
$5.1B
– –
-5,984
Closed -$332K
FSK icon
289
FS KKR Capital
FSK
$3.01B
– –
-280,555
Closed -$6.75M
GNSS icon
290
Genasys
GNSS
$76.5M
– –
-219,257
Closed -$735K
LUMN icon
291
Lumen
LUMN
$6.43B
– –
-10,719
Closed -$134K
ORI icon
292
Old Republic International
ORI
$10.9B
– –
-14,976
Closed -$353K
SABR icon
293
Sabre
SABR
$716M
– –
-18,916
Closed -$424K
SCHX icon
294
Schwab US Large- Cap ETF
SCHX
$70.3B
– –
-17,058
Closed -$202K
TTSH
295
DELISTED
Tile Shop Holdings
TTSH
– –
-62,055
Closed -$198K
VERBW
296
DELISTED
Verb Technology Company, Inc. Warrant
VERBW
– –
-52,500
Closed -$19K
CELG
297
DELISTED
Celgene Corp
CELG
– –
-3,135
Closed -$311K
8 9 10 11
12

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WIA
World Investment Advisors Santa Barbara, California $6.2B AUM 19.68% 1-Year Est. Return
LBA
Letko, Brosseau & Associates Montreal, Quebec, Canada $6.2B AUM 38.92% 1-Year Est. Return
B
Barings Charlotte, North Carolina $6.19B AUM 16.5% 1-Year Est. Return
EIP
Energy Income Partners Westport, Connecticut $6.22B AUM 18.97% 1-Year Est. Return
CA
Cambridge Associates Boston, Massachusetts $6.27B AUM 14.78% 1-Year Est. Return
ACM
AKRE Capital Management Middleburg, Virginia $6.13B AUM 15.27% 1-Year Est. Return
AWA
Arkadios Wealth Advisors Atlanta, Georgia $6.13B AUM 23.41% 1-Year Est. Return
DTC
Deep Track Capital Greenwich, Connecticut $6.12B AUM 144% 1-Year Est. Return

NorthRock Partners's Q4 2019 Portfolio in Review

As of Q4 2019, NorthRock Partners held 297 positions worth $947M, up 29% from $734M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

NorthRock Partners deployed $113M of net new capital in Q4 2019, opening 90 new positions and adding to 116 existing holdings. Its largest new stake was State Street SPDR Portfolio S&P 500 High Dividend ETF: 499,518 shares worth $19.7M.

By sector, the portfolio is most concentrated in Consumer Staples at 16% of assets, up from 11% a quarter earlier, followed by Technology and Financials.

On the sell side, the largest reduction was Vanguard High Dividend Yield ETF, an estimated $25M trimmed.

  • NorthRock Partners's largest Q4 2019 buy was State Street SPDR Portfolio S&P 500 High Dividend ETF: 499,518 shares worth $19.7M.
  • NorthRock Partners added most to State Street SPDR S&P 500 ETF Trust in Q4 2019, an estimated $34.6M increase.
  • NorthRock Partners's biggest Q4 2019 reduction was Vanguard High Dividend Yield ETF, cutting an estimated $25M.
  • NorthRock Partners fully exited FS KKR Capital in Q4 2019, selling an estimated $6.75M.
  • NorthRock Partners's ten largest holdings make up 46% of its $947M portfolio in Q4 2019.
  • NorthRock Partners opened 90 new positions and closed 17 in Q4 2019.
  • NorthRock Partners's portfolio value rose 29% quarter-over-quarter to $947M.

Based on NorthRock Partners's 13F filing for Q4 2019, filed 12 Feb 2020.