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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
-4.62%
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
$860M
AUM Growth
-$102M
Cap. Flow
-$215M
Cap. Flow %
-25.01%
Top 10 Hldgs %
63.26%
Holding
333
New
29
Increased
99
Reduced
150
Closed
33

Top Buys

Rank Stock Value
1
EFA icon
iShares MSCI EAFE ETF
EFA
+$4.64M
2
PFF icon
iShares Preferred and Income Securities ETF
PFF
+$2.67M
3
WMT icon
Walmart Inc
WMT
+$720K
4
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$678K
5
MDY icon
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
+$660K

Top Sells

Rank Stock Value
1
GOOGL icon
Alphabet (Google) Class A
GOOGL
+$121M
2
GOOG icon
Alphabet (Google) Class C
GOOG
+$34.9M
3
TGT icon
Target
TGT
+$32.4M
4
AAPL icon
Apple
AAPL
+$2.63M
5
MBB icon
iShares MBS ETF
MBB
+$2.47M

Sector Composition

Rank Sector Weight
1 Technology 10.06%
2 Consumer Staples 9.59%
3 Healthcare 4.12%
4 Financials 4%
5 Consumer Discretionary 2.8%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AZN icon
301
AstraZeneca
AZN
$266B
– –
-3,884
Closed -$513K
BNY
302
Bank of New York Mellon
BNY
$106B
– –
-5,871
Closed -$245K
CAG icon
303
Conagra Brands
CAG
$7.19B
– –
-5,999
Closed -$205K
CFG icon
304
Citizens Financial Group
CFG
$30.3B
– –
-6,611
Closed -$236K
CHTR icon
305
Charter Communications
CHTR
$16.9B
– –
-705
Closed -$330K
CME icon
306
CME Group
CME
$96.1B
– –
-1,575
Closed -$322K
CNC icon
307
Centene
CNC
$30.1B
– –
-2,375
Closed -$201K
COF icon
308
Capital One
COF
$129B
– –
-2,869
Closed -$299K
CRWD icon
309
CrowdStrike
CRWD
$189B
– –
-5,560
Closed -$234K
DGRO icon
310
iShares Core Dividend Growth ETF
DGRO
$42.8B
– –
-6,552
Closed -$312K
DOW icon
311
Dow Inc
DOW
$21.7B
– –
-3,925
Closed -$203K
EEM icon
312
iShares MSCI Emerging Markets ETF
EEM
$28.6B
– –
-20,298
Closed -$814K
EFX icon
313
Equifax
EFX
$20.7B
– –
-1,101
Closed -$201K
EQIX icon
314
Equinix
EQIX
$103B
– –
-348
Closed -$229K
FDX icon
315
FedEx
FDX
$73B
– –
-1,154
Closed -$262K
GOVT icon
316
iShares US Treasury Bond ETF
GOVT
$43.7B
– –
-8,386
Closed -$200K
HPQ icon
317
HP
HPQ
$24.6B
– –
-6,169
Closed -$202K
IWB icon
318
iShares Russell 1000 ETF
IWB
$47.9B
– –
-1,052
Closed -$219K
IXUS icon
319
iShares Core MSCI Total International Stock ETF
IXUS
$58.4B
– –
-4,361
Closed -$249K
DFTX
320
Definium Therapeutics
DFTX
$5.91B
– –
-713
Closed -$7K
MRNA icon
321
Moderna
MRNA
$23B
– –
-1,820
Closed -$260K
NGD
322
DELISTED
New Gold Inc
NGD
– –
-48,460
Closed -$51K
NVS icon
323
Novartis
NVS
$301B
– –
-4,904
Closed -$415K
OSK icon
324
Oshkosh
OSK
$8.82B
– –
-2,755
Closed -$226K
PARA
325
DELISTED
Paramount Global Class B
PARA
– –
-11,351
Closed -$280K
10 11 12
13
14

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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 Q3 2022 Portfolio in Review

As of Q3 2022, NorthRock Partners held 333 positions worth $860M, down 11% from $962M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

NorthRock Partners withdrew a net $215M in Q3 2022, closing 33 positions and reducing 150 holdings. Its most notable exit was Schwab 1000 Index ETF, an estimated $1.28M position sold in full.

By sector, the portfolio is most concentrated in Technology at 10% of assets, up from 9.5% a quarter earlier, followed by Consumer Staples and Healthcare.

Against the trend, NorthRock Partners opened a new position in iShares Preferred and Income Securities ETF worth $2.52M.

  • NorthRock Partners's largest Q3 2022 buy was iShares Preferred and Income Securities ETF: 79,560 shares worth $2.52M.
  • NorthRock Partners added most to iShares MSCI EAFE ETF in Q3 2022, an estimated $4.64M increase.
  • NorthRock Partners's biggest Q3 2022 reduction was Alphabet (Google) Class A, cutting an estimated $121M.
  • NorthRock Partners fully exited Schwab 1000 Index ETF in Q3 2022, selling an estimated $1.28M.
  • NorthRock Partners's ten largest holdings make up 63% of its $860M portfolio in Q3 2022.
  • NorthRock Partners opened 29 new positions and closed 33 in Q3 2022.
  • NorthRock Partners's portfolio value fell 11% quarter-over-quarter to $860M.

Based on NorthRock Partners's 13F filing for Q3 2022, filed 2 Nov 2022.