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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
+9.06%
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
$879M
AUM Growth
+$18.1M
Cap. Flow
-$49.6M
Cap. Flow %
-5.64%
Top 10 Hldgs %
59.43%
Holding
356
New
56
Increased
137
Reduced
131
Closed
14

Top Buys

Rank Stock Value
1
EFA icon
iShares MSCI EAFE ETF
EFA
+$14M
2
IWB icon
iShares Russell 1000 ETF
IWB
+$3.03M
3
SYY icon
Sysco
SYY
+$1.99M
4
MA icon
Mastercard
MA
+$942K
5
TSN icon
Tyson Foods
TSN
+$863K

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$19M
2
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$8.67M
3
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$8.04M
4
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$7.79M
5
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$6.15M

Sector Composition

Rank Sector Weight
1 Technology 9.88%
2 Consumer Staples 9.86%
3 Financials 4.67%
4 Healthcare 4.57%
5 Industrials 2.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AVY icon
326
Avery Dennison
AVY
$13.4B
$203K 0.02%
+1,123
New +$200K
BDX icon
327
Becton Dickinson
BDX
$45.6B
$203K 0.02%
797
-260
-25% -$61.4K
NVS icon
328
Novartis
NVS
$301B
$202K 0.02%
+2,230
New +$188K
PWB icon
329
Invesco Large Cap Growth ETF
PWB
$2.27B
$202K 0.02%
+3,380
New +$205K
CEG icon
330
Constellation Energy
CEG
$94.1B
$201K 0.02%
+2,335
New +$210K
SHW icon
331
Sherwin-Williams
SHW
$83.7B
$200K 0.02%
+843
New +$195K
GAB icon
332
Gabelli Equity Trust
GAB
$1.76B
$197K 0.02%
36,000
– –
TQQQ icon
333
ProShares UltraPro QQQ
TQQQ
$31.4B
$176K 0.02%
20,336
-30
-0.1% -$304
CNH
334
CNH Industrial
CNH
$12.8B
$173K 0.02%
10,775
– –
WBD icon
335
Warner Bros
WBD
$63.9B
$101K 0.01%
10,659
+315
+3% +$3.56K
LUMN icon
336
Lumen
LUMN
$6.76B
$71.3K 0.01%
13,662
-5,520
-29% -$33.9K
WRAP icon
337
Wrap Technologies
WRAP
$98.1M
$62.7K 0.01%
37,092
– –
PLM
338
DELISTED
PolyMet Mining Corp.
PLM
$51K 0.01%
19,106
+97
+0.5% +$279
WKHS icon
339
Workhorse Group
WKHS
$34.5M
$41.9K ﹤0.01%
9
– –
UP icon
340
Wheels Up
UP
$217M
$27.1K ﹤0.01%
132
– –
SRNE
341
DELISTED
Sorrento Therapeutics, Inc.
SRNE
$16.9K ﹤0.01%
19,055
– –
CBUS icon
342
Cibus
CBUS
$147M
$7.74K ﹤0.01%
1,049
-21
-2% -$163
ADSK icon
343
Autodesk
ADSK
$49.6B
– –
-1,182
Closed -$221K
D icon
344
Dominion Energy
D
$61.3B
– –
-3,577
Closed -$247K
DWX icon
345
State Street SPDR S&P International Dividend ETF
DWX
$536M
– –
-16,503
Closed -$475K
GNRC icon
346
Generac Holdings
GNRC
$11.3B
– –
-1,197
Closed -$213K
IEFA icon
347
iShares Core MSCI EAFE ETF
IEFA
$192B
– –
-13,449
Closed -$708K
JPST icon
348
JPMorgan Ultra-Short Income ETF
JPST
$40.1B
– –
-122,534
Closed -$6.15M
PANW icon
349
Palo Alto Networks
PANW
$265B
– –
-3,264
Closed -$267K
PAYX icon
350
Paychex
PAYX
$41.4B
– –
-2,791
Closed -$313K
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 2022 Portfolio in Review

As of Q4 2022, NorthRock Partners held 356 positions worth $879M, up 2.1% from $860M the previous quarter. Its ten largest holdings account for 59% of the portfolio.

NorthRock Partners withdrew a net $49.6M in Q4 2022, closing 14 positions and reducing 131 holdings. Its most notable exit was JPMorgan Ultra-Short Income ETF, an estimated $6.15M position sold in full.

By sector, the portfolio is most concentrated in Technology at 9.9% of assets, down from 10% a quarter earlier, followed by Consumer Staples and Financials.

Against the trend, NorthRock Partners opened a new position in iShares Russell 1000 ETF worth $3.01M.

  • NorthRock Partners's largest Q4 2022 buy was iShares Russell 1000 ETF: 14,303 shares worth $3.01M.
  • NorthRock Partners added most to iShares MSCI EAFE ETF in Q4 2022, an estimated $14M increase.
  • NorthRock Partners's biggest Q4 2022 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $19M.
  • NorthRock Partners fully exited JPMorgan Ultra-Short Income ETF in Q4 2022, selling an estimated $6.15M.
  • NorthRock Partners's ten largest holdings make up 59% of its $879M portfolio in Q4 2022.
  • NorthRock Partners opened 56 new positions and closed 14 in Q4 2022.
  • NorthRock Partners's portfolio value rose 2.1% quarter-over-quarter to $879M.

Based on NorthRock Partners's 13F filing for Q4 2022, filed 1 Feb 2023.