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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
+9.72%
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
$1.33B
AUM Growth
+$112M
Cap. Flow
+$21.7M
Cap. Flow %
1.62%
Top 10 Hldgs %
64.95%
Holding
366
New
85
Increased
169
Reduced
62
Closed
29

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$5.35M
2
AAPL icon
Apple
AAPL
+$2.6M
3
MSFT icon
Microsoft
MSFT
+$2.02M
4
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$1.98M
5
PEP icon
PepsiCo
PEP
+$1.29M

Top Sells

Rank Stock Value
1
QCLS
Q/C Technologies Inc
QCLS
+$9.75M
2
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$7.77M
3
TGT icon
Target
TGT
+$6.7M
4
AMP icon
Ameriprise Financial
AMP
+$4.14M
5
IBM icon
IBM
IBM
+$1.51M

Sector Composition

Rank Sector Weight
1 Consumer Staples 10.79%
2 Technology 9.43%
3 Financials 3.71%
4 Healthcare 3.68%
5 Consumer Discretionary 2.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HIMS icon
326
Hims & Hers Health
HIMS
$6.26B
$67K 0.01%
+10,275
New +$74.3K
WKHS icon
327
Workhorse Group
WKHS
$34.5M
$65K ﹤0.01%
+5
New +$90.9K
PARAA
328
CALL
DELISTED
Paramount Global Class A
PARAA
$60K ﹤0.01%
2,000
– –
WRK
329
CALL
DELISTED
WestRock Company
WRK
$44K ﹤0.01%
1,000
– –
CYPH
330
Cypherpunk Technologies Inc
CYPH
$66.6M
$39K ﹤0.01%
+1,192
New +$33.1K
NGD
331
DELISTED
New Gold Inc
NGD
$34K ﹤0.01%
22,556
+3,515
+18% +$5.07K
CSLT
332
DELISTED
CASTLIGHT HEALTH, INC.
CSLT
$28K ﹤0.01%
+18,390
New +$30.3K
VYNT
333
DELISTED
Vyant Bio, Inc. Common Stock
VYNT
$25K ﹤0.01%
3,766
– –
CBUS icon
334
Cibus
CBUS
$147M
$21K ﹤0.01%
+200
New +$29K
RAD
335
CALL
DELISTED
Rite Aid Corporation
RAD
$18K ﹤0.01%
1,200
– –
DFTX
336
Definium Therapeutics
DFTX
$5.91B
$15K ﹤0.01%
719
+29
+4% +$926
EMWP
337
CALL
DELISTED
Eros Media World PLC
EMWP
$1K ﹤0.01%
150
– –
ADIL
338
Adial Pharmaceuticals
ADIL
$7.2M
– –
-16
Closed -$43K
AEO icon
339
American Eagle Outfitters
AEO
$2.9B
– –
-10,000
Closed -$258K
APO icon
340
Apollo Global Management
APO
$69.3B
– –
-10,000
Closed -$616K
BNTX icon
341
BioNTech
BNTX
$23.5B
– –
-1,000
Closed -$273K
C icon
342
Citigroup
C
$222B
– –
-4,578
Closed -$321K
CRWD icon
343
CrowdStrike
CRWD
$189B
– –
-2,748
Closed -$207K
FANG icon
344
Diamondback Energy
FANG
$56.2B
– –
-5,509
Closed -$522K
FE icon
345
FirstEnergy
FE
$28.2B
– –
-11,870
Closed -$423K
FSK icon
346
FS KKR Capital
FSK
$2.96B
– –
-12,447
Closed -$274K
GLD icon
347
CALL
SPDR Gold Trust
GLD
$133B
– –
-10,000
Closed -$1.64M
B
348
CALL
Barrick Mining
B
$63.2B
– –
-60,000
Closed -$1.08M
HAL icon
349
Halliburton
HAL
$26.4B
– –
-12,464
Closed -$269K
IJJ icon
350
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.85B
– –
-2,058
Closed -$212K
11 12 13
14
15

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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 Q4 2021 Portfolio in Review

As of Q4 2021, NorthRock Partners held 366 positions worth $1.33B, up 9.1% from $1.22B the previous quarter. Its ten largest holdings account for 65% of the portfolio.

NorthRock Partners's Q4 2021 filing shows 85 new, 169 increased, 62 reduced and 29 closed positions. Its largest new stake was State Street SPDR Portfolio Developed World ex-US ETF: 23,966 shares worth $874K. The largest sale was Q/C Technologies Inc, an estimated $9.75M.

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

  • NorthRock Partners's largest Q4 2021 buy was State Street SPDR Portfolio Developed World ex-US ETF: 23,966 shares worth $874K.
  • NorthRock Partners added most to State Street SPDR S&P 500 ETF Trust in Q4 2021, an estimated $5.35M increase.
  • NorthRock Partners's biggest Q4 2021 reduction was JPMorgan Ultra-Short Income ETF, cutting an estimated $7.77M.
  • NorthRock Partners fully exited Q/C Technologies Inc in Q4 2021, selling an estimated $9.75M.
  • NorthRock Partners's ten largest holdings make up 65% of its $1.33B portfolio in Q4 2021.
  • NorthRock Partners opened 85 new positions and closed 29 in Q4 2021.
  • NorthRock Partners's portfolio value rose 9.1% quarter-over-quarter to $1.33B.

Based on NorthRock Partners's 13F filing for Q4 2021, filed 7 Feb 2022.