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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
IGIB icon
551
iShares 5-10 Year Investment Grade Corporate Bond ETF
IGIB
$18.5B
$195K 0.01%
+3,757
New +$186K
JPST icon
552
JPMorgan Ultra-Short Income ETF
JPST
$40.1B
$195K 0.01%
+3,861
New +$194K
PGX icon
553
Invesco Preferred ETF
PGX
$3.81B
$195K 0.01%
+16,972
New +$185K
BIV icon
554
Vanguard Intermediate-Term Bond ETF
BIV
$28.8B
$192K 0.01%
+2,510
New +$184K
IJJ icon
555
iShares S&P Mid-Cap 400 Value ETF
IJJ
$8.87B
$191K 0.01%
+1,675
New +$172K
FHN icon
556
First Horizon
FHN
$12.1B
$190K 0.01%
+13,261
New +$160K
PDEC icon
557
Innovator US Equity Power Buffer ETF December
PDEC
$980M
$187K 0.01%
+5,333
New +$178K
SPXL icon
558
Direxion Daily S&P 500 Bull 3x ETF
SPXL
$6.67B
$177K 0.01%
+1,700
New +$148K
VPL icon
559
Vanguard FTSE Pacific ETF
VPL
$8.17B
$177K 0.01%
+2,451
New +$166K
CFO icon
560
VictoryShares US 500 Enhanced Volatility Wtd ETF
CFO
$417M
$173K 0.01%
+2,845
New +$166K
IJK icon
561
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.8B
$171K 0.01%
+2,157
New +$158K
BSV icon
562
Vanguard Short-Term Bond ETF
BSV
$44.6B
$168K 0.01%
+2,185
New +$165K
XLB icon
563
State Street Materials Select Sector SPDR ETF
XLB
$8.57B
$166K 0.01%
+3,880
New +$155K
QDEF icon
564
FlexShares Quality Dividend Defensive Index Fund
QDEF
$547M
$164K 0.01%
+2,779
New +$156K
SPDW icon
565
State Street SPDR Portfolio Developed World ex-US ETF
SPDW
$40.4B
$163K 0.01%
4,784
-25,171
-84% -$799K
BAUG icon
566
Innovator US Equity Buffer ETF August
BAUG
$199M
$153K 0.01%
+4,252
New +$145K
VCSH icon
567
Vanguard Short-Term Corporate Bond ETF
VCSH
$44.7B
$150K 0.01%
+1,935
New +$147K
ISTB icon
568
iShares Core 1-5 Year USD Bond ETF
ISTB
$5.11B
$142K 0.01%
+2,990
New +$140K
VSS icon
569
Vanguard FTSE All-World ex-US Small-Cap Index Fund
VSS
$11.3B
$140K 0.01%
+1,217
New +$131K
SCHV
570
Schwab US Large-Cap Value ETF
SCHV
$15.8B
$138K 0.01%
+5,898
New +$129K
CSCO icon
571
PUT
Cisco
CSCO
$455B
$136K 0.01%
2,700
– –
ITOT icon
572
iShares Core S&P Total US Stock Market ETF
ITOT
$94.2B
$136K 0.01%
+1,296
New +$127K
CNH
573
CNH Industrial
CNH
$12.8B
$131K 0.01%
10,775
– –
IEF icon
574
iShares 7-10 Year Treasury Bond ETF
IEF
$47.1B
$128K 0.01%
+1,330
New +$123K
GSLC icon
575
Goldman Sachs ActiveBeta US Large Cap Equity ETF
GSLC
$15B
$128K 0.01%
+1,360
New +$119K
21 22
23
24 25

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LBA
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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 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.