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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
-4.02%
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
$959M
AUM Growth
+$45.5M
Cap. Flow
+$89.5M
Cap. Flow %
9.34%
Top 10 Hldgs %
57.34%
Holding
374
New
61
Increased
210
Reduced
70
Closed
20

Top Buys

Rank Stock Value
1
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
+$22.4M
2
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$7.2M
3
MSFT icon
Microsoft
MSFT
+$2.9M
4
AAPL icon
Apple
AAPL
+$2.75M
5
SCHM icon
Schwab US Mid-Cap ETF
SCHM
+$2.29M

Top Sells

Rank Stock Value
1
SYY icon
Sysco
SYY
+$1.37M
2
SLYG icon
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
+$638K
3
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$563K
4
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$513K
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$447K

Sector Composition

Rank Sector Weight
1 Technology 10.46%
2 Consumer Staples 7.87%
3 Financials 4.6%
4 Healthcare 3.76%
5 Industrials 3.08%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DBX icon
351
CALL
Dropbox
DBX
$7.6B
$8.17K ﹤0.01%
+300
New +$8.18K
GDX icon
352
CALL
VanEck Gold Miners ETF
GDX
$22.7B
$5.38K ﹤0.01%
+200
New +$5.9K
ZOM
353
DELISTED
Zomedica Corp.
ZOM
$2.38K ﹤0.01%
+14,250
New +$2.77K
TLT icon
354
CALL
iShares 20+ Year Treasury Bond ETF
TLT
$42.1B
$831 ﹤0.01%
+9
New +$865
AZN icon
355
AstraZeneca
AZN
$263B
– –
-1,578
Closed -$226K
C icon
356
Citigroup
C
$222B
– –
-7,326
Closed -$337K
CAG icon
357
Conagra Brands
CAG
$6.94B
– –
-6,630
Closed -$224K
CL icon
358
Colgate-Palmolive
CL
$73.1B
– –
-2,714
Closed -$209K
CMG icon
359
Chipotle Mexican Grill
CMG
$47.2B
– –
-4,700
Closed -$201K
DAL icon
360
Delta Air Lines
DAL
$57.5B
– –
-4,388
Closed -$209K
DOX icon
361
CALL
Amdocs
DOX
$5.92B
– –
-4
Closed -$385
DVN icon
362
Devon Energy
DVN
$52.1B
– –
-4,296
Closed -$208K
EMR icon
363
Emerson Electric
EMR
$83.9B
– –
-3,475
Closed -$314K
EXAS
364
DELISTED
Exact Sciences
EXAS
– –
-2,415
Closed -$227K
FITB
365
Fifth Third Bancorp
FITB
$51.2B
– –
-9,242
Closed -$242K
FTNT icon
366
Fortinet
FTNT
$119B
– –
-3,078
Closed -$233K
IQLT icon
367
iShares MSCI Intl Quality Factor ETF
IQLT
$13.8B
– –
-5,679
Closed -$202K
JCI icon
368
Johnson Controls International
JCI
$88.8B
– –
-3,059
Closed -$208K
LNT icon
369
Alliant Energy
LNT
$18.3B
– –
-3,940
Closed -$207K
NVO
370
CALL
Novo Nordisk
NVO
$208B
– –
-200
Closed -$16.2K
PWR icon
371
Quanta Services
PWR
$100B
– –
-1,047
Closed -$206K
SYY icon
372
Sysco
SYY
$40.8B
– –
-18,528
Closed -$1.37M
VONG icon
373
Vanguard Russell 1000 Growth ETF
VONG
$42.8B
– –
-2,946
Closed -$208K
PLM
374
DELISTED
PolyMet Mining Corp.
PLM
– –
-19,361
Closed -$15.2K
11 12 13 14
15

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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 2023 Portfolio in Review

As of Q3 2023, NorthRock Partners held 374 positions worth $959M, up 5% from $913M the previous quarter. Its ten largest holdings account for 57% of the portfolio.

NorthRock Partners deployed $89.5M of net new capital in Q3 2023, opening 61 new positions and adding to 210 existing holdings. Its largest new stake was Schwab US Mid-Cap ETF: 96,657 shares worth $2.18M.

By sector, the portfolio is most concentrated in Technology at 10% of assets, down from 11% a quarter earlier, followed by Consumer Staples and Financials.

On the sell side, the largest reduction was State Street SPDR S&P 600 Small Cap Growth ETF, an estimated $638K trimmed.

  • NorthRock Partners's largest Q3 2023 buy was Schwab US Mid-Cap ETF: 96,657 shares worth $2.18M.
  • NorthRock Partners added most to iShares 0-3 Month Treasury Bond ETF in Q3 2023, an estimated $22.4M increase.
  • NorthRock Partners's biggest Q3 2023 reduction was State Street SPDR S&P 600 Small Cap Growth ETF, cutting an estimated $638K.
  • NorthRock Partners fully exited Sysco in Q3 2023, selling an estimated $1.37M.
  • NorthRock Partners's ten largest holdings make up 57% of its $959M portfolio in Q3 2023.
  • NorthRock Partners opened 61 new positions and closed 20 in Q3 2023.
  • NorthRock Partners's portfolio value rose 5% quarter-over-quarter to $959M.

Based on NorthRock Partners's 13F filing for Q3 2023, filed 24 Oct 2023.