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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
+4.35%
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
$283M
AUM Growth
+$48.9M
Cap. Flow
+$38.5M
Cap. Flow %
13.61%
Top 10 Hldgs %
82.35%
Holding
67
New
16
Increased
23
Reduced
11
Closed
9

Top Buys

Rank Stock Value
1
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$7.58M
2
SPTM icon
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
+$5.55M
3
SCHM icon
Schwab US Mid-Cap ETF
SCHM
+$4.79M
4
IJR icon
iShares Core S&P Small-Cap ETF
IJR
+$4.63M
5
EFA icon
iShares MSCI EAFE ETF
EFA
+$3.86M

Top Sells

Rank Stock Value
1
XLE icon
State Street Energy Select Sector SPDR ETF
XLE
+$595K
2
MODV
ModivCare
MODV
+$522K
3
IBM icon
IBM
IBM
+$333K
4
BSX icon
Boston Scientific
BSX
+$323K
5
USB icon
US Bancorp
USB
+$319K

Sector Composition

Rank Sector Weight
1 Miscellaneous 80.21%
2 Financials 12.12%
3 Consumer Staples 3.3%
4 Healthcare 1.17%
5 Industrials 1.07%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LUMN icon
51
Lumen
LUMN
$6.88B
$211K 0.07%
+8,847
New +$225K
NLY icon
52
Annaly Capital Management
NLY
$16B
$208K 0.07%
+5,051
New +$205K
VTV icon
53
Vanguard Morningstar Value ETF
VTV
$189B
$204K 0.07%
+2,196
New +$197K
JNJ icon
54
Johnson & Johnson
JNJ
$644B
$203K 0.07%
1,766
– –
NVG icon
55
Nuveen AMT-Free Municipal Credit Income Fund
NVG
$2.45B
$187K 0.07%
+12,913
New +$189K
CBK
56
DELISTED
Christopher & Banks Corporation
CBK
$81K 0.03%
34,500
– –
NOG icon
57
Northern Oil and Gas
NOG
$2.7B
$59K 0.02%
2,150
+1,000
+87% +$23.8K
BSX icon
58
Boston Scientific
BSX
$63.6B
– –
-13,587
Closed -$323K
GIS icon
59
General Mills
GIS
$19.7B
– –
-3,168
Closed -$203K
IBM icon
60
IBM
IBM
$224B
– –
-3,655
Closed -$333K
PALI icon
61
Palisade Bio
PALI
$295M
– –
0
– -$12K
USB icon
62
US Bancorp
USB
$93.1B
– –
-7,431
Closed -$319K
VEA icon
63
Vanguard FTSE Developed Markets ETF
VEA
$233B
– –
-5,550
Closed -$208K
VWO icon
64
Vanguard FTSE Emerging Markets ETF
VWO
$125B
– –
-6,151
Closed -$231K
XLE icon
65
State Street Energy Select Sector SPDR ETF
XLE
$42B
– –
-16,840
Closed -$595K
NEWR
66
DELISTED
New Relic, Inc.
NEWR
– –
-6,804
Closed -$261K
QUMU
67
DELISTED
Qumu Corp.
QUMU
– –
-40,000
Closed -$91K
1 2
3

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DTC
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NPT
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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 Q4 2016 Portfolio in Review

As of Q4 2016, NorthRock Partners held 67 positions worth $283M, up 21% from $234M the previous quarter. Its ten largest holdings account for 82% of the portfolio.

NorthRock Partners deployed $38.5M of net new capital in Q4 2016, opening 16 new positions and adding to 23 existing holdings. Its largest new stake was Berkshire Hathaway Class B: 49,230 shares worth $8.02M.

By sector, the portfolio is most concentrated in Miscellaneous at 80% of assets, down from 82% a quarter earlier, followed by Financials and Consumer Staples.

On the sell side, the largest reduction was ModivCare, an estimated $522K trimmed.

  • NorthRock Partners's largest Q4 2016 buy was Berkshire Hathaway Class B: 49,230 shares worth $8.02M.
  • NorthRock Partners added most to Ameriprise Financial in Q4 2016, an estimated $3.66M increase.
  • NorthRock Partners's biggest Q4 2016 reduction was ModivCare, cutting an estimated $522K.
  • NorthRock Partners fully exited State Street Energy Select Sector SPDR ETF in Q4 2016, selling an estimated $595K.
  • NorthRock Partners's ten largest holdings make up 82% of its $283M portfolio in Q4 2016.
  • NorthRock Partners opened 16 new positions and closed 9 in Q4 2016.
  • NorthRock Partners's portfolio value rose 21% quarter-over-quarter to $283M.

Based on NorthRock Partners's 13F filing for Q4 2016, filed 10 Feb 2017.