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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
MODV
351
DELISTED
ModivCare
MODV
– –
-1,179
Closed -$214K
PARA
352
DELISTED
Paramount Global Class B
PARA
– –
-5,432
Closed -$215K
PMCB icon
353
PharmaCyte Biotech
PMCB
$6.18M
– –
-37,164
Closed -$118K
PTPI
354
DELISTED
Petros Pharmaceuticals
PTPI
– –
-461
Closed -$431K
REGN icon
355
Regeneron Pharmaceuticals
REGN
$78.5B
– –
-589
Closed -$356K
SLB icon
356
SLB Ltd
SLB
$73.6B
– –
-13,283
Closed -$394K
SMSI icon
357
Smith Micro Software
SMSI
$14.5M
– –
-3,465
Closed -$671K
SNOW icon
358
Snowflake
SNOW
$102B
– –
-3,569
Closed -$1.08M
TTWO icon
359
Take-Two Interactive
TTWO
$45.4B
– –
-2,113
Closed -$326K
U icon
360
Unity
U
$13.8B
– –
-3,050
Closed -$385K
QCLS
361
Q/C Technologies Inc
QCLS
$20.5M
– –
-451
Closed -$9.75M
QUMU
362
DELISTED
Qumu Corp.
QUMU
– –
-230,100
Closed -$776K
TWTR
363
DELISTED
Twitter, Inc.
TWTR
– –
-3,569
Closed -$216K
HMHC
364
DELISTED
Houghton Mifflin Harcourt Company
HMHC
– –
-20,651
Closed -$277K
XLRN
365
DELISTED
Acceleron Pharma
XLRN
– –
-2,200
Closed -$379K
PLM
366
DELISTED
PolyMet Mining Corp.
PLM
– –
-18,312
Closed -$56K
11 12 13 14
15

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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.