NP

NorthRock Partners Portfolio holdings

AUM $3.86B
1-Year Return 13.95%
This Quarter Return
+9.72%
1 Year Return
+13.95%
3 Year Return
+63.93%
5 Year Return
+112.1%
10 Year Return
+187.97%
AUM
$1.33B
AUM Growth
+$114M
Cap. Flow
+$26.7M
Cap. Flow %
2%
Top 10 Hldgs %
64.96%
Holding
365
New
85
Increased
169
Reduced
62
Closed
27

Top Buys

1
SPY icon
SPDR S&P 500 ETF Trust
SPY
$5.54M
2
AAPL icon
Apple
AAPL
$2.93M
3
MSFT icon
Microsoft
MSFT
$2.1M
4
SPYV icon
SPDR Portfolio S&P 500 Value ETF
SPYV
$2.03M
5
PEP icon
PepsiCo
PEP
$1.37M

Top Sells

1
TNFA
TNF Pharmaceuticals, Inc. Common Stock
TNFA
$9.75M
2
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
$7.75M
3
TGT icon
Target
TGT
$6.37M
4
AMP icon
Ameriprise Financial
AMP
$4.22M
5
IBM icon
IBM
IBM
$1.61M

Sector Composition

1 Consumer Staples 10.8%
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 Shares
Change % 		Capital Flow
PTPI
351
DELISTED
Petros Pharmaceuticals
PTPI
– –
-461
Closed -$431K
REGN icon
352
Regeneron Pharmaceuticals
REGN
$60.4B
– –
-589
Closed -$356K
SLB icon
353
Schlumberger
SLB
$53.4B
– –
-13,283
Closed -$394K
SMSI icon
354
Smith Micro Software
SMSI
$15.3M
– –
-17,325
Closed -$671K
SNOW icon
355
Snowflake
SNOW
$74.4B
– –
-3,569
Closed -$1.08M
TTWO icon
356
Take-Two Interactive
TTWO
$44.3B
– –
-2,113
Closed -$326K
U icon
357
Unity
U
$17B
– –
-3,050
Closed -$385K
TWTR
358
DELISTED
Twitter, Inc.
TWTR
– –
-3,569
Closed -$216K
EMWP
359
DELISTED
Eros Media World PLC
EMWP
– –
0
– –
HMHC
360
DELISTED
Houghton Mifflin Harcourt Company
HMHC
– –
-20,651
Closed -$277K
XLRN
361
DELISTED
Acceleron Pharma Inc.
XLRN
– –
-2,200
Closed -$379K
PLM
362
DELISTED
PolyMet Mining Corp.
PLM
– –
-18,312
Closed -$56K
TNFA
363
TNF Pharmaceuticals, Inc. Common Stock
TNFA
$6.84M
– –
-451
Closed -$9.75M
RAD
364
DELISTED
Rite Aid Corporation
RAD
– –
0
– –
QUMU
365
DELISTED
Qumu Corp.
QUMU
– –
-230,100
Closed -$776K
11 12 13 14
15