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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
CLOI icon
176
VanEck CLO ETF
CLOI
$1.49B
$440K 0.05%
+8,444
New +$438K
DCRE icon
177
DoubleLine Commercial Real Estate Debt ETF
DCRE
$459M
$440K 0.05%
+8,719
New +$439K
ELV icon
178
Elevance Health
ELV
$81.5B
$438K 0.05%
1,006
+196
+24% +$88.9K
CRWD icon
179
CrowdStrike
CRWD
$183B
$436K 0.05%
10,412
+1,200
+13% +$46.6K
AIZ icon
180
Assurant
AIZ
$13.9B
$436K 0.05%
3,034
+895
+42% +$123K
LRCX icon
181
Lam Research
LRCX
$316B
$435K 0.05%
6,940
+1,510
+28% +$99.2K
DUK icon
182
Duke Energy
DUK
$101B
$434K 0.05%
4,912
-293
-6% -$26.9K
PYPL icon
183
PayPal
PYPL
$49.9B
$431K 0.04%
7,370
+442
+6% +$28.8K
RSP icon
184
Invesco S&P 500 Equal Weight ETF
RSP
$97.3B
$430K 0.04%
+3,034
New +$453K
RLY icon
185
State Street Multi-Asset Real Return ETF
RLY
$1.26B
$429K 0.04%
+15,928
New +$435K
ETN icon
186
Eaton
ETN
$141B
$409K 0.04%
1,917
+305
+19% +$65.8K
NOW icon
187
ServiceNow
NOW
$120B
$405K 0.04%
3,625
+55
+2% +$6.28K
IEFA icon
188
iShares Core MSCI EAFE ETF
IEFA
$186B
$404K 0.04%
+6,272
New +$420K
VHT icon
189
Vanguard Health Care ETF
VHT
$18.5B
$403K 0.04%
1,715
-58
-3% -$14.1K
VOT icon
190
Vanguard Morningstar Mid-Cap Growth ETF
VOT
$18.9B
$402K 0.04%
2,063
+32
+2% +$6.53K
BSX icon
191
Boston Scientific
BSX
$68.4B
$397K 0.04%
7,522
+1,391
+23% +$73K
TMUS icon
192
T-Mobile US
TMUS
$195B
$397K 0.04%
2,832
+1,015
+56% +$141K
CARR icon
193
Carrier Global
CARR
$49.4B
$395K 0.04%
7,158
-96
-1% -$5.28K
OEF icon
194
iShares S&P 100 ETF
OEF
$19.5B
$394K 0.04%
1,963
-43
-2% -$8.96K
MAR icon
195
Marriott International
MAR
$100B
$393K 0.04%
1,997
-168
-8% -$33.4K
VEA icon
196
Vanguard FTSE Developed Markets ETF
VEA
$223B
$391K 0.04%
8,939
+4,066
+83% +$186K
NKE icon
197
Nike
NKE
$64.1B
$388K 0.04%
4,061
-39
-1% -$4.01K
ADP icon
198
Automatic Data Processing
ADP
$109B
$377K 0.04%
1,567
+336
+27% +$81.9K
KVUE icon
199
Kenvue
KVUE
$38B
$376K 0.04%
+18,745
New +$434K
GPK icon
200
Graphic Packaging
GPK
$3.35B
$376K 0.04%
16,886
-74
-0.4% -$1.7K
6 7
8
9 10

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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.