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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
+8.75%
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
$902M
AUM Growth
+$57.5M
Cap. Flow
+$18.7M
Cap. Flow %
2.08%
Top 10 Hldgs %
61.45%
Holding
239
New
27
Increased
85
Reduced
108
Closed
17

Top Buys

Rank Stock Value
1
MDLZ icon
Mondelez International
MDLZ
+$14.1M
2
DEM icon
WisdomTree Emerging Markets High Dividend Fund
DEM
+$8.99M
3
OBDC icon
Blue Owl Capital
OBDC
+$4.89M
4
FSK icon
FS KKR Capital
FSK
+$4.62M
5
MBB icon
iShares MBS ETF
MBB
+$4.39M

Top Sells

Rank Stock Value
1
VGT icon
Vanguard Information Technology ETF
VGT
+$9.69M
2
EFV icon
iShares MSCI EAFE Value ETF
EFV
+$4.6M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$4.17M
4
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$2.23M
5
AAPL icon
Apple
AAPL
+$1.93M

Sector Composition

Rank Sector Weight
1 Consumer Staples 15.2%
2 Technology 7.73%
3 Financials 4.32%
4 Healthcare 2.69%
5 Consumer Discretionary 1.83%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CARR icon
201
Carrier Global
CARR
$49.4B
$215K 0.02%
+7,035
New +$199K
OTIS icon
202
Otis Worldwide
OTIS
$27.9B
$214K 0.02%
3,420
-256
-7% -$15.7K
VMBS icon
203
Vanguard Mortgage-Backed Securities ETF
VMBS
$15.4B
$213K 0.02%
3,928
+10
+0.3% +$543
BALL icon
204
Ball Corp
BALL
$17.5B
$212K 0.02%
+2,552
New +$196K
IDHQ icon
205
Invesco S&P International Developed Quality ETF
IDHQ
$917M
$210K 0.02%
+7,985
New +$207K
OPRX icon
206
OptimizeRx
OPRX
$120M
$209K 0.02%
10,000
-10,031
-50% -$172K
PWB icon
207
Invesco Large Cap Growth ETF
PWB
$2.17B
$209K 0.02%
+3,380
New +$201K
VTEB icon
208
Vanguard Tax-Exempt Bond Index Fund
VTEB
$45.2B
$209K 0.02%
3,840
-131
-3% -$7.15K
WPC icon
209
W.P. Carey
WPC
$17B
$209K 0.02%
3,281
-371
-10% -$25K
CVS icon
210
CVS Health
CVS
$135B
$208K 0.02%
3,562
+37
+1% +$2.3K
ORCL icon
211
Oracle
ORCL
$339B
$207K 0.02%
+3,461
New +$197K
PDT
212
John Hancock Premium Dividend Fund
PDT
$635M
$205K 0.02%
16,493
+478
+3% +$6.29K
XSOE icon
213
WisdomTree Emerging Markets ex-State-Owned Enterprises Fund
XSOE
$1.93B
$204K 0.02%
+6,062
New +$201K
GAB icon
214
Gabelli Equity Trust
GAB
$1.73B
$183K 0.02%
36,828
+16
+0% +$82
GE icon
215
GE Aerospace
GE
$364B
$178K 0.02%
5,724
+642
+13% +$20.9K
LAC
216
DELISTED
Lithium Americas Corp. Common Shares
LAC
$137K 0.02%
+12,058
New +$85.9K
STL
217
DELISTED
Sterling Bancorp
STL
$117K 0.01%
11,095
+3
+0% +$34
F icon
218
Ford
F
$60.9B
$98K 0.01%
14,702
-2,732
-16% -$18.5K
JFR icon
219
Nuveen Floating Rate Income Fund
JFR
$1.23B
$88K 0.01%
10,536
+156
+2% +$1.27K
GNSS icon
220
Genasys
GNSS
$76.5M
$62K 0.01%
10,000
-10,576
-51% -$50.4K
SMSI icon
221
Smith Micro Software
SMSI
$13.6M
$37K ﹤0.01%
250
-2
-0.8% -$315
RMTI icon
222
Rockwell Medical
RMTI
$27.2M
$20K ﹤0.01%
+170
New +$29.4K
ADP icon
223
Automatic Data Processing
ADP
$109B
– –
-1,357
Closed -$202K
BLV icon
224
Vanguard Long-Term Bond ETF
BLV
$5.74B
– –
-2,884
Closed -$322K
CI icon
225
Cigna
CI
$78.4B
– –
-1,092
Closed -$205K
6 7 8
9
10

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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 Q3 2020 Portfolio in Review

As of Q3 2020, NorthRock Partners held 239 positions worth $902M, up 6.8% from $844M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

NorthRock Partners's Q3 2020 filing shows 27 new, 85 increased, 108 reduced and 17 closed positions. Its largest new stake was FS KKR Capital: 296,062 shares worth $4.7M. The largest sale was Vanguard Information Technology ETF, an estimated $9.69M.

By sector, the portfolio is most concentrated in Consumer Staples at 15% of assets, up from 13% a quarter earlier, followed by Technology and Financials.

  • NorthRock Partners's largest Q3 2020 buy was FS KKR Capital: 296,062 shares worth $4.7M.
  • NorthRock Partners added most to Mondelez International in Q3 2020, an estimated $14.1M increase.
  • NorthRock Partners's biggest Q3 2020 reduction was Vanguard Information Technology ETF, cutting an estimated $9.69M.
  • NorthRock Partners fully exited iShares MSCI EAFE Min Vol Factor ETF in Q3 2020, selling an estimated $536K.
  • NorthRock Partners's ten largest holdings make up 61% of its $902M portfolio in Q3 2020.
  • NorthRock Partners opened 27 new positions and closed 17 in Q3 2020.
  • NorthRock Partners's portfolio value rose 6.8% quarter-over-quarter to $902M.

Based on NorthRock Partners's 13F filing for Q3 2020, filed 12 Nov 2020.