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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
+10.75%
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
$2.39B
AUM Growth
+$1.43B
Cap. Flow
+$1.27B
Cap. Flow %
53.15%
Top 10 Hldgs %
51.94%
Holding
760
New
406
Increased
311
Reduced
22
Closed
10

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$137M
2
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
+$97.7M
3
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$80.1M
4
AAPL icon
Apple
AAPL
+$74.1M
5
VOO icon
Vanguard S&P 500 ETF
VOO
+$70.6M

Top Sells

Rank Stock Value
1
SPDW icon
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
+$799K
2
VMBS icon
Vanguard Mortgage-Backed Securities ETF
VMBS
+$738K
3
FLOT icon
iShares Floating Rate Bond ETF
FLOT
+$351K
4
VNQ icon
Vanguard Real Estate ETF
VNQ
+$259K
5
NVO
Novo Nordisk
NVO
+$253K

Sector Composition

Rank Sector Weight
1 Technology 10.91%
2 Consumer Staples 6.84%
3 Financials 3.77%
4 Healthcare 3.74%
5 Consumer Discretionary 3.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AVUS icon
526
Avantis US Equity ETF
AVUS
$14B
$219K 0.01%
+2,682
New +$203K
RCL icon
527
Royal Caribbean
RCL
$85.5B
$215K 0.01%
+1,664
New +$170K
IYM icon
528
iShares US Basic Materials ETF
IYM
$1.13B
$215K 0.01%
+1,557
New +$200K
IUSB icon
529
iShares Core Universal USD Bond ETF
IUSB
$42.9B
$214K 0.01%
+4,648
New +$205K
LYB icon
530
LyondellBasell Industries
LYB
$20.1B
$214K 0.01%
+2,247
New +$210K
SCHB icon
531
Schwab US Broad Market ETF
SCHB
$43.2B
$213K 0.01%
+11,505
New +$199K
DGRO icon
532
iShares Core Dividend Growth ETF
DGRO
$42.6B
$213K 0.01%
+3,956
New +$201K
JEF icon
533
Jefferies Financial Group
JEF
$12B
$212K 0.01%
+5,245
New +$186K
CERT icon
534
Certara
CERT
$1.21B
$212K 0.01%
12,030
+462
+4% +$6.77K
BBY icon
535
Best Buy
BBY
$18.4B
$211K 0.01%
+2,672
New +$188K
XLF icon
536
State Street Financial Select Sector SPDR ETF
XLF
$56.8B
$211K 0.01%
+5,612
New +$194K
NVS icon
537
Novartis
NVS
$298B
$210K 0.01%
+2,084
New +$201K
BABA icon
538
Alibaba
BABA
$287B
$210K 0.01%
2,675
-545
-17% -$43.4K
BALL icon
539
Ball Corp
BALL
$17.3B
$210K 0.01%
+3,647
New +$188K
CTVA icon
540
Corteva
CTVA
$56.3B
$210K 0.01%
+4,374
New +$209K
ILMN icon
541
Illumina
ILMN
$30.3B
$209K 0.01%
+1,542
New +$178K
SOXX icon
542
iShares Semiconductor ETF
SOXX
$43.6B
$208K 0.01%
+1,083
New +$182K
CNP icon
543
CenterPoint Energy
CNP
$27.8B
$207K 0.01%
+7,239
New +$201K
WAB icon
544
Wabtec
WAB
$49.9B
$206K 0.01%
+1,626
New +$184K
EXR icon
545
Extra Space Storage
EXR
$31.3B
$205K 0.01%
+1,278
New +$163K
WRB icon
546
W.R. Berkley
WRB
$27B
$204K 0.01%
+4,419
New +$201K
BLDR icon
547
Builders FirstSource
BLDR
$7.1B
$201K 0.01%
+1,207
New +$160K
SYF icon
548
Synchrony
SYF
$25.2B
$201K 0.01%
+5,256
New +$166K
HYG icon
549
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$15.9B
$198K 0.01%
+2,562
New +$191K
VCIT icon
550
Vanguard Intermediate-Term Corporate Bond ETF
VCIT
$66.2B
$196K 0.01%
+2,410
New +$186K
20 21
22
23 24

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WIA
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LBA
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B
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EIP
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CA
Cambridge Associates Boston, Massachusetts $6.27B AUM 14.78% 1-Year Est. Return
ACM
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AWA
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DTC
Deep Track Capital Greenwich, Connecticut $6.12B AUM 144% 1-Year Est. Return

NorthRock Partners's Q4 2023 Portfolio in Review

As of Q4 2023, NorthRock Partners held 760 positions worth $2.39B, up 149% from $959M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

NorthRock Partners deployed $1.27B of net new capital in Q4 2023, opening 406 new positions and adding to 311 existing holdings. Its largest new stake was Keurig Dr Pepper: 407,903 shares worth $13.6M.

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

On the sell side, the largest reduction was State Street SPDR Portfolio Developed World ex-US ETF, an estimated $799K trimmed.

  • NorthRock Partners's largest Q4 2023 buy was Keurig Dr Pepper: 407,903 shares worth $13.6M.
  • NorthRock Partners added most to State Street SPDR S&P 500 ETF Trust in Q4 2023, an estimated $137M increase.
  • NorthRock Partners's biggest Q4 2023 reduction was State Street SPDR Portfolio Developed World ex-US ETF, cutting an estimated $799K.
  • NorthRock Partners fully exited Novo Nordisk in Q4 2023, selling an estimated $253K.
  • NorthRock Partners's ten largest holdings make up 52% of its $2.39B portfolio in Q4 2023.
  • NorthRock Partners opened 406 new positions and closed 10 in Q4 2023.
  • NorthRock Partners's portfolio value rose 149% quarter-over-quarter to $2.39B.

Based on NorthRock Partners's 13F filing for Q4 2023, filed 8 Feb 2024.