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NorthRock Partners Portfolio holdings

AUM $6.89B
1-Year Est. Return 19.83%
This Fund
S&P 500
This Quarter Est. Return
-9.98%
1 Year Est. Return
+19.83%
3 Year Est. Return
+62.84%
5 Year Est. Return
+74.26%
10 Year Est. Return
+264.52%
AUM
$159M
AUM Growth
-$57.6M
Cap. Flow
+$39.4M
Cap. Flow %
24.84%
Top 10 Hldgs %
89.99%
Holding
56
New
8
Increased
18
Reduced
13
Closed
13

Top Buys

Rank Stock Value
1
MODV
ModivCare
MODV
+$42.8M
2
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$9.83M
3
IWD icon
iShares Russell 1000 Value ETF
IWD
+$7.94M
4
UNH icon
UnitedHealth
UNH
+$7.7M
5
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$7.35M

Top Sells

Rank Stock Value
1
AMP icon
Ameriprise Financial
AMP
+$29.5M
2
TGT icon
Target
TGT
+$10M
3
MSFT icon
Microsoft
MSFT
+$1.33M
4
FOR icon
Forestar Group
FOR
+$1.12M
5
AXP icon
American Express
AXP
+$911K

Sector Composition

Rank Sector Weight
1 Miscellaneous 85.79%
2 Financials 3.39%
3 Consumer Staples 2.78%
4 Healthcare 1.92%
5 Real Estate 1.73%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TBT icon
26
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$315M
$260K 0.16%
6,000
– –
WFC icon
27
Wells Fargo
WFC
$263B
$258K 0.16%
+5,029
New +$277K
VNQ icon
28
Vanguard Real Estate ETF
VNQ
$36.9B
$254K 0.16%
+3,360
New +$258K
GE icon
29
GE Aerospace
GE
$325B
$252K 0.16%
2,086
+19
+0.9% +$2.33K
TIP icon
30
iShares TIPS Bond ETF
TIP
$14.6B
$247K 0.16%
2,232
-4
-0.2% -$446
MDT icon
31
Medtronic
MDT
$118B
$245K 0.15%
3,655
-3,425
-48% -$252K
MOS icon
32
The Mosaic Company
MOS
$7.88B
$213K 0.13%
6,861
-20,345
-75% -$840K
TSLA icon
33
Tesla
TSLA
$1.41T
$212K 0.13%
12,825
+45
+0.4% +$765
GIS icon
34
General Mills
GIS
$19.7B
$211K 0.13%
3,754
– –
POT
35
DELISTED
Potash Corp Of Saskatchewan
POT
$211K 0.13%
+10,262
New +$269K
ADP icon
36
Automatic Data Processing
ADP
$109B
$210K 0.13%
+17,360
New +$1.39M
UPS icon
37
United Parcel Service
UPS
$84B
$205K 0.13%
2,079
-300
-13% -$29.6K
FSD
38
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$189K 0.12%
13,382
+273
+2% +$4.04K
QUMU
39
DELISTED
Qumu Corp.
QUMU
$155K 0.1%
40,300
– –
PALI icon
40
Palisade Bio
PALI
$295M
– –
0
– –
DAKP
41
DELISTED
DAKOTA PLAINS HOLDINGS, INC. COMMON STOCK
DAKP
$35K 0.02%
38,219
-6,381
-14% -$5.67K
CBK
42
DELISTED
Christopher & Banks Corporation
CBK
$19K 0.01%
+17,280
New +$43.1K
LINE
43
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
$13K 0.01%
+13,175
New +$58.6K
AXP icon
44
American Express
AXP
$211B
– –
-11,728
Closed -$911K
BRK.A icon
45
Berkshire Hathaway Class A
BRK.A
$1.11T
– –
-1
Closed -$205K
BSX icon
46
Boston Scientific
BSX
$63.6B
– –
-22,403
Closed -$397K
DLX icon
47
Deluxe
DLX
$1.08B
– –
-4,077
Closed -$253K
FOR icon
48
Forestar Group
FOR
$1.35B
– –
-84,978
Closed -$1.12M
IBM icon
49
IBM
IBM
$224B
– –
-3,389
Closed -$311K
KO icon
50
Coca-Cola
KO
$378B
– –
-13,205
Closed -$517K
1
2
3

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DTC
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NPT
National Philanthropic Trust Jenkintown, Pennsylvania $6.92B AUM 24.7% 1-Year Est. Return
RCWMU
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EWM
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CA
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CI
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JSSH
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NorthRock Partners's Q3 2015 Portfolio in Review

As of Q3 2015, NorthRock Partners held 56 positions worth $159M, down 27% from $216M the previous quarter. Its ten largest holdings account for 90% of the portfolio.

NorthRock Partners deployed $39.4M of net new capital in Q3 2015, opening 8 new positions and adding to 18 existing holdings. Its largest new stake was ModivCare: 933,383 shares worth $1.42M.

By sector, the portfolio is most concentrated in Miscellaneous at 86% of assets, up from 65% a quarter earlier, followed by Financials and Consumer Staples.

On the sell side, the largest reduction was Ameriprise Financial, an estimated $29.5M trimmed.

  • NorthRock Partners's largest Q3 2015 buy was ModivCare: 933,383 shares worth $1.42M.
  • NorthRock Partners added most to iShares S&P Small-Cap 600 Growth ETF in Q3 2015, an estimated $9.83M increase.
  • NorthRock Partners's biggest Q3 2015 reduction was Ameriprise Financial, cutting an estimated $29.5M.
  • NorthRock Partners fully exited Forestar Group in Q3 2015, selling an estimated $1.12M.
  • NorthRock Partners's ten largest holdings make up 90% of its $159M portfolio in Q3 2015.
  • NorthRock Partners opened 8 new positions and closed 13 in Q3 2015.
  • NorthRock Partners's portfolio value fell 27% quarter-over-quarter to $159M.

Based on NorthRock Partners's 13F filing for Q3 2015, filed 12 Nov 2015.