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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
+8.58%
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
$947M
AUM Growth
+$213M
Cap. Flow
+$113M
Cap. Flow %
11.93%
Top 10 Hldgs %
46.15%
Holding
297
New
90
Increased
116
Reduced
73
Closed
17

Top Buys

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$34.6M
2
MDLZ icon
Mondelez International
MDLZ
+$32.5M
3
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$19.3M
4
SPYD icon
State Street SPDR Portfolio S&P 500 High Dividend ETF
SPYD
+$19.3M
5
AAPL icon
Apple
AAPL
+$15.7M

Top Sells

Rank Stock Value
1
VYM icon
Vanguard High Dividend Yield ETF
VYM
+$25M
2
IVV icon
iShares Core S&P 500 ETF
IVV
+$16.9M
3
HDV
iShares Core High Dividend ETF
HDV
+$16.1M
4
ACWV icon
iShares MSCI Global Min Vol Factor ETF
ACWV
+$14.2M
5
VEU icon
Vanguard FTSE All-World ex-US ETF
VEU
+$11.5M

Sector Composition

Rank Sector Weight
1 Consumer Staples 15.63%
2 Technology 5.84%
3 Financials 3.37%
4 Healthcare 2.72%
5 Communication Services 2.34%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BMO icon
76
Bank of Montreal
BMO
$123B
$1.59M 0.17%
15,779
+10,409
+194% +$784K
VGIT icon
77
Vanguard Intermediate-Term Treasury ETF
VGIT
$41.7B
$1.54M 0.16%
23,445
-47,796
-67% -$3.17M
SHY icon
78
iShares 1-3 Year Treasury Bond ETF
SHY
$25.4B
$1.52M 0.16%
18,020
-28,826
-62% -$2.44M
DVY icon
79
iShares Select Dividend ETF
DVY
$23.8B
$1.49M 0.16%
14,121
+940
+7% +$96.8K
EW icon
80
Edwards Lifesciences
EW
$49.4B
$1.48M 0.16%
19,005
+2,328
+14% +$182K
VNQ icon
81
Vanguard Real Estate ETF
VNQ
$39.9B
$1.42M 0.15%
15,314
-1,044
-6% -$96.7K
GOOG icon
82
Alphabet (Google) Class C
GOOG
$4.11T
$1.42M 0.15%
21,220
+9,700
+84% +$626K
IYY icon
83
iShares Dow Jones US ETF
IYY
$2.89B
$1.42M 0.15%
17,752
+640
+4% +$48.9K
MMM icon
84
3M
MMM
$91.8B
$1.4M 0.15%
9,484
-184
-2% -$25.8K
BAX icon
85
Baxter International
BAX
$12.8B
$1.39M 0.15%
16,575
+1,076
+7% +$89K
BNDX icon
86
Vanguard Total International Bond ETF
BNDX
$82B
$1.38M 0.15%
24,337
-41,377
-63% -$2.4M
SBH icon
87
Sally Beauty Holdings
SBH
$1.47B
$1.35M 0.14%
+74,192
New +$1.29M
PFE icon
88
Pfizer
PFE
$143B
$1.34M 0.14%
36,183
+6,819
+23% +$243K
VWO icon
89
Vanguard FTSE Emerging Markets ETF
VWO
$117B
$1.33M 0.14%
29,998
+4,076
+16% +$173K
NFLX icon
90
Netflix
NFLX
$307B
$1.32M 0.14%
40,830
+27,330
+202% +$810K
CWB icon
91
State Street SPDR Bloomberg Convertible Securities ETF
CWB
$5.41B
$1.31M 0.14%
23,640
-46,544
-66% -$2.51M
EMB icon
92
iShares JPMorgan USD Emerging Markets Bond ETF
EMB
$14.9B
$1.23M 0.13%
564
-31,745
-98% -$3.59M
K
93
DELISTED
Kellanova
K
$1.19M 0.13%
+18,279
New +$1.11M
IWM icon
94
iShares Russell 2000 ETF
IWM
$79.1B
$1.17M 0.12%
7,050
+2,774
+65% +$438K
VOO icon
95
Vanguard S&P 500 ETF
VOO
$956B
$1.16M 0.12%
3,918
-921
-19% -$261K
ATI icon
96
ATI
ATI
$24.3B
$1.16M 0.12%
56,050
+3
+0% +$65
SBUX icon
97
Starbucks
SBUX
$119B
$1.13M 0.12%
12,841
+3,150
+33% +$269K
PNC icon
98
PNC Financial Services
PNC
$99.1B
$1.06M 0.11%
6,647
+2,024
+44% +$304K
NVDA icon
99
NVIDIA
NVDA
$4.6T
$1.06M 0.11%
+179,680
New +$935K
CMCSA icon
100
Comcast
CMCSA
$87.3B
$1.02M 0.11%
22,748
+6,849
+43% +$305K
2 3
4
5 6

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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
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ACM
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AWA
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DTC
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NorthRock Partners's Q4 2019 Portfolio in Review

As of Q4 2019, NorthRock Partners held 297 positions worth $947M, up 29% from $734M the previous quarter. Its ten largest holdings account for 46% of the portfolio.

NorthRock Partners deployed $113M of net new capital in Q4 2019, opening 90 new positions and adding to 116 existing holdings. Its largest new stake was State Street SPDR Portfolio S&P 500 High Dividend ETF: 499,518 shares worth $19.7M.

By sector, the portfolio is most concentrated in Consumer Staples at 16% of assets, up from 11% a quarter earlier, followed by Technology and Financials.

On the sell side, the largest reduction was Vanguard High Dividend Yield ETF, an estimated $25M trimmed.

  • NorthRock Partners's largest Q4 2019 buy was State Street SPDR Portfolio S&P 500 High Dividend ETF: 499,518 shares worth $19.7M.
  • NorthRock Partners added most to State Street SPDR S&P 500 ETF Trust in Q4 2019, an estimated $34.6M increase.
  • NorthRock Partners's biggest Q4 2019 reduction was Vanguard High Dividend Yield ETF, cutting an estimated $25M.
  • NorthRock Partners fully exited FS KKR Capital in Q4 2019, selling an estimated $6.75M.
  • NorthRock Partners's ten largest holdings make up 46% of its $947M portfolio in Q4 2019.
  • NorthRock Partners opened 90 new positions and closed 17 in Q4 2019.
  • NorthRock Partners's portfolio value rose 29% quarter-over-quarter to $947M.

Based on NorthRock Partners's 13F filing for Q4 2019, filed 12 Feb 2020.