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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
+1.51%
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
$171M
AUM Growth
+$12M
Cap. Flow
-$52.6M
Cap. Flow %
-30.8%
Top 10 Hldgs %
90.85%
Holding
49
New
6
Increased
12
Reduced
17
Closed
9

Top Buys

Rank Stock Value
1
GPT
Gramercy Property Trust
GPT
+$9.25M
2
VUG icon
Vanguard Morningstar Growth ETF
VUG
+$4.2M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.83M
4
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$948K
5
IJS icon
iShares S&P Small-Cap 600 Value ETF
IJS
+$919K

Top Sells

Rank Stock Value
1
MODV
ModivCare
MODV
+$43.9M
2
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$7.59M
3
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$6.81M
4
IWD icon
iShares Russell 1000 Value ETF
IWD
+$6.08M
5
CSG
CHAMBERS STR PPTYS COM
CSG
+$2.74M

Sector Composition

Rank Sector Weight
1 Financials 3.49%
2 Consumer Staples 2.5%
3 Real Estate 2.02%
4 Healthcare 1.43%
5 Industrials 1.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
MDT icon
26
Medtronic
MDT
$109B
$274K 0.16%
3,549
-106
-3% -$7.98K
WFC icon
27
Wells Fargo
WFC
$261B
$272K 0.16%
5,029
– –
TBT icon
28
ProShares Trust UltraShort Lehman 20+ Year Treasury
TBT
$304M
$264K 0.15%
6,000
– –
MSFT icon
29
Microsoft
MSFT
$3.45T
$258K 0.15%
4,699
-7,884
-63% -$415K
VNQ icon
30
Vanguard Real Estate ETF
VNQ
$39.2B
$248K 0.15%
3,117
-243
-7% -$19.2K
GIS icon
31
General Mills
GIS
$19.1B
$210K 0.12%
3,654
-100
-3% -$5.75K
ADP icon
32
Automatic Data Processing
ADP
$106B
$207K 0.12%
2,432
-14,928
-86% -$1.29M
MRK icon
33
Merck
MRK
$322B
$204K 0.12%
+4,000
New +$202K
BBY icon
34
Best Buy
BBY
$18.2B
$203K 0.12%
6,675
-54,379
-89% -$1.8M
VWO icon
35
Vanguard FTSE Emerging Markets ETF
VWO
$121B
$201K 0.12%
+6,151
New +$212K
FSD
36
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$192K 0.11%
13,666
+284
+2% +$4.06K
DAKP
37
DELISTED
DAKOTA PLAINS HOLDINGS, INC. COMMON STOCK
DAKP
$111K 0.07%
444,600
+406,381
+1,063% +$172K
QUMU
38
DELISTED
Qumu Corp.
QUMU
$109K 0.06%
40,300
– –
CBK
39
DELISTED
Christopher & Banks Corporation
CBK
$53K 0.03%
32,000
+14,720
+85% +$19.9K
PALI icon
40
Palisade Bio
PALI
$330M
– –
0
– –
DBC icon
41
Invesco DB Commodity Index Tracking Fund
DBC
$1.69B
– –
-34,920
Closed -$512K
MOS icon
42
The Mosaic Company
MOS
$7.03B
– –
-6,861
Closed -$213K
TIP icon
43
iShares TIPS Bond ETF
TIP
$14.5B
– –
-2,232
Closed -$247K
TSLA icon
44
Tesla
TSLA
$1.23T
– –
-12,825
Closed -$212K
UNH icon
45
UnitedHealth
UNH
$376B
– –
-69,770
Closed -$271K
UPS icon
46
United Parcel Service
UPS
$88.6B
– –
-2,079
Closed -$205K
POT
47
DELISTED
Potash Corp Of Saskatchewan
POT
– –
-10,262
Closed -$211K
LINE
48
DELISTED
LINN ENERGY LLC COM UTS REP LTD LIABILITY CO INTS
LINE
– –
-13,175
Closed -$13K
CSG
49
DELISTED
CHAMBERS STR PPTYS COM
CSG
– –
-422,378
Closed -$2.74M
1
2

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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 2015 Portfolio in Review

As of Q4 2015, NorthRock Partners held 49 positions worth $171M, up 7.6% from $159M the previous quarter. Its ten largest holdings account for 91% of the portfolio.

NorthRock Partners withdrew a net $52.6M in Q4 2015, closing 9 positions and reducing 17 holdings. Its most notable exit was CHAMBERS STR PPTYS COM, an estimated $2.74M position sold in full.

By sector, the portfolio is most concentrated in Financials at 3.5% of assets, up from 3.4% a quarter earlier, followed by Consumer Staples and Real Estate.

Against the trend, NorthRock Partners opened a new position in Gramercy Property Trust worth $3.45M.

  • NorthRock Partners's largest Q4 2015 buy was Gramercy Property Trust: 148,411 shares worth $3.45M.
  • NorthRock Partners added most to State Street SPDR S&P 500 ETF Trust in Q4 2015, an estimated $1.83M increase.
  • NorthRock Partners's biggest Q4 2015 reduction was ModivCare, cutting an estimated $43.9M.
  • NorthRock Partners fully exited CHAMBERS STR PPTYS COM in Q4 2015, selling an estimated $2.74M.
  • NorthRock Partners's ten largest holdings make up 91% of its $171M portfolio in Q4 2015.
  • NorthRock Partners opened 6 new positions and closed 9 in Q4 2015.
  • NorthRock Partners's portfolio value rose 7.6% quarter-over-quarter to $171M.

Based on NorthRock Partners's 13F filing for Q4 2015, filed 11 Feb 2016.