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NP

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
FNDA icon
726
Schwab Fundamental US Small Company Index ETF
FNDA
$9.13B
$2.38K ﹤0.01%
+86
New +$2.13K
FNDE icon
727
Schwab Fundamental Emerging Markets Large Company Index ETF
FNDE
$9.66B
$2.31K ﹤0.01%
+85
New +$2.23K
FNDF icon
728
Schwab Fundamental International Large Company Index ETF
FNDF
$25.1B
$2.23K ﹤0.01%
+66
New +$2.12K
SRLN icon
729
State Street Blackstone Senior Loan ETF
SRLN
$5.3B
$2.17K ﹤0.01%
+52
New +$2.17K
SPIP icon
730
State Street SPDR Portfolio TIPS ETF
SPIP
$1.01B
$2.15K ﹤0.01%
+84
New +$2.1K
PCY icon
731
Invesco Emerging Markets Sovereign Debt ETF
PCY
$1.38B
$2.06K ﹤0.01%
+100
New +$1.89K
GDXJ icon
732
VanEck Junior Gold Miners ETF
GDXJ
$7.15B
$1.9K ﹤0.01%
+50
New +$1.76K
IXC icon
733
iShares Global Energy ETF
IXC
$2.77B
$1.8K ﹤0.01%
+46
New +$1.83K
DFAE icon
734
Dimensional Emerging Core Equity Market ETF
DFAE
$9.24B
$1.78K ﹤0.01%
+74
New +$1.69K
AGZ icon
735
iShares Agency Bond ETF
AGZ
$559M
$1.74K ﹤0.01%
+16
New +$1.7K
NUMV icon
736
Nuveen ESG Mid-Cap Value ETF
NUMV
$445M
$1.74K ﹤0.01%
+55
New +$1.59K
NUSC icon
737
Nuveen ESG Small-Cap ETF
NUSC
$1.28B
$1.72K ﹤0.01%
+44
New +$1.55K
IYE icon
738
iShares US Energy ETF
IYE
$1.73B
$1.46K ﹤0.01%
+33
New +$1.48K
SCHI icon
739
Schwab 5-10 Year Corporate Bond ETF
SCHI
$11.5B
$1.39K ﹤0.01%
+62
New +$1.33K
BUZZ icon
740
VanEck Social Sentiment ETF
BUZZ
$91M
$1.31K ﹤0.01%
+70
New +$1.14K
RSPF icon
741
Invesco S&P 500 Equal Weight Financials ETF
RSPF
$307M
$1.17K ﹤0.01%
+20
New +$1.06K
OXY.WS icon
742
Occidental Petroleum Corp Warrants
OXY.WS
$32B
$1.03K ﹤0.01%
+28
New +$1.1K
RAAX icon
743
VanEck Inflation Allocation ETF
RAAX
$1.13B
$1.02K ﹤0.01%
+40
New +$1.02K
ERTH icon
744
Invesco MSCI Sustainable Future ETF
ERTH
$134M
$992 ﹤0.01%
+21
New +$896
PBD icon
745
Invesco Global Clean Energy ETF
PBD
$183M
$783 ﹤0.01%
+49
New +$716
SCHH icon
746
Schwab US REIT ETF
SCHH
$11.5B
$651 ﹤0.01%
+31
New +$576
EBND icon
747
State Street SPDR Bloomberg Emerging Markets Local Bond ETF
EBND
$2.27B
$467 ﹤0.01%
+22
New +$445
IMCG icon
748
iShares Morningstar Mid-Cap Growth ETF
IMCG
$3.93B
$451 ﹤0.01%
+7
New +$411
JMEE icon
749
JPMorgan Small & Mid Cap Enhanced Equity ETF
JMEE
$2.85B
$430 ﹤0.01%
+8
New +$395
USHY icon
750
iShares Broad USD High Yield Corporate Bond ETF
USHY
$29.3B
$182 ﹤0.01%
+5
New +$175
27 28 29
30
31

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WIA
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LBA
Letko, Brosseau & Associates Montreal, Quebec, Canada $6.2B AUM 38.92% 1-Year Est. Return
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.