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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
-0.84%
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
$1.22B
AUM Growth
+$26.2M
Cap. Flow
+$11.6M
Cap. Flow %
0.94%
Top 10 Hldgs %
64.43%
Holding
295
New
37
Increased
143
Reduced
77
Closed
13

Top Buys

Rank Stock Value
1
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$12.7M
2
ESTA icon
Establishment Labs
ESTA
+$2.87M
3
MSFT icon
Microsoft
MSFT
+$2.19M
4
AMZN icon
Amazon
AMZN
+$2.02M
5
AAPL icon
Apple
AAPL
+$2.02M

Top Sells

Rank Stock Value
1
TGT icon
Target
TGT
+$20.2M
2
IHI icon
iShares US Medical Devices ETF
IHI
+$3.85M
3
NVDA icon
NVIDIA
NVDA
+$3.11M
4
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$2.14M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.52M

Sector Composition

Rank Sector Weight
1 Consumer Staples 11.33%
2 Technology 8.8%
3 Financials 4.06%
4 Healthcare 3.35%
5 Consumer Discretionary 2.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PLM
276
DELISTED
PolyMet Mining Corp.
PLM
$56K ﹤0.01%
18,312
– –
WRK
277
CALL
DELISTED
WestRock Company
WRK
$50K ﹤0.01%
1,000
– –
VYNT
278
DELISTED
Vyant Bio, Inc. Common Stock
VYNT
$44K ﹤0.01%
3,766
– –
ADIL
279
Adial Pharmaceuticals
ADIL
$7.31M
$43K ﹤0.01%
+16
New +$33.5K
DFTX
280
Definium Therapeutics
DFTX
$5.78B
$25K ﹤0.01%
690
-20
-3% -$865
NGD
281
DELISTED
New Gold Inc
NGD
$24K ﹤0.01%
19,041
-6,186
-25% -$8.51K
RAD
282
CALL
DELISTED
Rite Aid Corporation
RAD
$17K ﹤0.01%
1,200
– –
EMWP
283
CALL
DELISTED
Eros Media World PLC
EMWP
$3K ﹤0.01%
150
– –
BB icon
284
CALL
BlackBerry
BB
$4.98B
– –
-2,800
Closed -$34K
CL icon
285
Colgate-Palmolive
CL
$73.1B
– –
-3,893
Closed -$317K
GSK icon
286
GSK
GSK
$104B
– –
-4,031
Closed -$201K
IDV icon
287
iShares International Select Dividend ETF
IDV
$8.45B
– –
-6,331
Closed -$205K
NIO icon
288
NIO
NIO
$12.2B
– –
-4,216
Closed -$224K
PBW icon
289
Invesco WilderHill Clean Energy ETF
PBW
$407M
– –
-2,535
Closed -$236K
PIPR icon
290
Piper Sandler
PIPR
$5.12B
– –
-11,612
Closed -$376K
RMBS icon
291
CALL
Rambus
RMBS
$9.87B
– –
-2,100
Closed -$50K
UTF icon
292
Cohen & Steers Infrastructure Fund
UTF
$3.11B
– –
-7,010
Closed -$201K
VTV icon
293
Vanguard Morningstar Value ETF
VTV
$188B
– –
-1,455
Closed -$200K
MNDT
294
DELISTED
Mandiant, Inc. Common Stock
MNDT
– –
-34,841
Closed -$704K
SRAX
295
DELISTED
SRAX, Inc. Class A Common Stock
SRAX
– –
-14,236
Closed -$77K
8 9 10 11
12

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LBA
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B
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EIP
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CA
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ACM
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AWA
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DTC
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NorthRock Partners's Q3 2021 Portfolio in Review

As of Q3 2021, NorthRock Partners held 295 positions worth $1.22B, up 2.2% from $1.2B the previous quarter. Its ten largest holdings account for 64% of the portfolio.

NorthRock Partners's Q3 2021 filing shows 37 new, 143 increased, 77 reduced and 13 closed positions. Its largest new stake was Stitch Fix: 15,784 shares worth $631K. The largest sale was Target, an estimated $20.2M.

By sector, the portfolio is most concentrated in Consumer Staples at 11% of assets, down from 14% a quarter earlier, followed by Technology and Financials.

  • NorthRock Partners's largest Q3 2021 buy was Stitch Fix: 15,784 shares worth $631K.
  • NorthRock Partners added most to JPMorgan Ultra-Short Income ETF in Q3 2021, an estimated $12.7M increase.
  • NorthRock Partners's biggest Q3 2021 reduction was Target, cutting an estimated $20.2M.
  • NorthRock Partners fully exited Mandiant, Inc. Common Stock in Q3 2021, selling an estimated $704K.
  • NorthRock Partners's ten largest holdings make up 64% of its $1.22B portfolio in Q3 2021.
  • NorthRock Partners opened 37 new positions and closed 13 in Q3 2021.
  • NorthRock Partners's portfolio value rose 2.2% quarter-over-quarter to $1.22B.

Based on NorthRock Partners's 13F filing for Q3 2021, filed 12 Nov 2021.