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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
-4.02%
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
$959M
AUM Growth
+$45.5M
Cap. Flow
+$89.5M
Cap. Flow %
9.34%
Top 10 Hldgs %
57.34%
Holding
374
New
61
Increased
210
Reduced
70
Closed
20

Top Buys

Rank Stock Value
1
SGOV icon
iShares 0-3 Month Treasury Bond ETF
SGOV
+$22.4M
2
SCHX icon
Schwab US Large- Cap ETF
SCHX
+$7.2M
3
MSFT icon
Microsoft
MSFT
+$2.9M
4
AAPL icon
Apple
AAPL
+$2.75M
5
SCHM icon
Schwab US Mid-Cap ETF
SCHM
+$2.29M

Top Sells

Rank Stock Value
1
SYY icon
Sysco
SYY
+$1.37M
2
SLYG icon
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
+$638K
3
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$563K
4
VIG icon
Vanguard Dividend Appreciation ETF
VIG
+$513K
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$447K

Sector Composition

Rank Sector Weight
1 Technology 10.46%
2 Consumer Staples 7.87%
3 Financials 4.6%
4 Healthcare 3.76%
5 Industrials 3.08%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AAPL icon
51
PUT
Apple
AAPL
$4.97T
$2.11M 0.22%
+12,300
New +$2.26M
PGR icon
52
Progressive
PGR
$128B
$2.08M 0.22%
14,949
+5,627
+60% +$740K
CVX icon
53
Chevron
CVX
$382B
$2.04M 0.21%
12,082
+750
+7% +$121K
CRM icon
54
Salesforce
CRM
$154B
$1.94M 0.2%
9,585
+4,023
+72% +$869K
WMT icon
55
Walmart Inc
WMT
$909B
$1.91M 0.2%
35,739
+5,808
+19% +$309K
HD icon
56
Home Depot
HD
$337B
$1.9M 0.2%
6,273
+824
+15% +$265K
AVGO icon
57
Broadcom
AVGO
$1.76T
$1.88M 0.2%
22,610
+7,300
+48% +$633K
NFLX icon
58
Netflix
NFLX
$307B
$1.87M 0.2%
49,640
+3,590
+8% +$152K
PEP icon
59
PepsiCo
PEP
$196B
$1.83M 0.19%
10,808
+237
+2% +$43K
HON icon
60
Honeywell
HON
$76.4B
$1.79M 0.19%
10,282
+386
+4% +$70.6K
SHY icon
61
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$1.72M 0.18%
+21,195
New +$1.72M
UPS icon
62
United Parcel Service
UPS
$88.9B
$1.68M 0.18%
10,767
+899
+9% +$155K
IJT icon
63
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.13B
$1.61M 0.17%
14,687
-440
-3% -$50.8K
KO icon
64
Coca-Cola
KO
$383B
$1.6M 0.17%
28,556
+12,216
+75% +$733K
IWM icon
65
iShares Russell 2000 ETF
IWM
$79.1B
$1.58M 0.17%
8,954
+1,336
+18% +$251K
VUG icon
66
Vanguard Growth ETF
VUG
$212B
$1.57M 0.16%
34,584
+1,416
+4% +$66.9K
VXF icon
67
Vanguard Extended Market ETF
VXF
$30B
$1.56M 0.16%
10,858
-153
-1% -$22.9K
BAC icon
68
Bank of America
BAC
$429B
$1.52M 0.16%
55,672
+18,519
+50% +$548K
ABT icon
69
Abbott
ABT
$188B
$1.52M 0.16%
15,684
+532
+4% +$55.9K
CSCO icon
70
Cisco
CSCO
$443B
$1.49M 0.16%
27,747
+7,124
+35% +$384K
EFG icon
71
iShares MSCI EAFE Growth ETF
EFG
$16.2B
$1.49M 0.15%
17,208
-3,398
-16% -$313K
HWKN icon
72
Hawkins
HWKN
$2.9B
$1.42M 0.15%
24,178
-2,991
-11% -$162K
BMO icon
73
Bank of Montreal
BMO
$123B
$1.41M 0.15%
16,685
-146
-0.9% -$12.8K
CAT icon
74
Caterpillar
CAT
$361B
$1.41M 0.15%
5,178
+891
+21% +$242K
TMO icon
75
Thermo Fisher Scientific
TMO
$214B
$1.39M 0.15%
2,745
+131
+5% +$69.8K
1 2
3
4 5

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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 Q3 2023 Portfolio in Review

As of Q3 2023, NorthRock Partners held 374 positions worth $959M, up 5% from $913M the previous quarter. Its ten largest holdings account for 57% of the portfolio.

NorthRock Partners deployed $89.5M of net new capital in Q3 2023, opening 61 new positions and adding to 210 existing holdings. Its largest new stake was Schwab US Mid-Cap ETF: 96,657 shares worth $2.18M.

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

On the sell side, the largest reduction was State Street SPDR S&P 600 Small Cap Growth ETF, an estimated $638K trimmed.

  • NorthRock Partners's largest Q3 2023 buy was Schwab US Mid-Cap ETF: 96,657 shares worth $2.18M.
  • NorthRock Partners added most to iShares 0-3 Month Treasury Bond ETF in Q3 2023, an estimated $22.4M increase.
  • NorthRock Partners's biggest Q3 2023 reduction was State Street SPDR S&P 600 Small Cap Growth ETF, cutting an estimated $638K.
  • NorthRock Partners fully exited Sysco in Q3 2023, selling an estimated $1.37M.
  • NorthRock Partners's ten largest holdings make up 57% of its $959M portfolio in Q3 2023.
  • NorthRock Partners opened 61 new positions and closed 20 in Q3 2023.
  • NorthRock Partners's portfolio value rose 5% quarter-over-quarter to $959M.

Based on NorthRock Partners's 13F filing for Q3 2023, filed 24 Oct 2023.