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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
+15%
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
$1.01B
AUM Growth
+$113M
Cap. Flow
-$20.2M
Cap. Flow %
-1.99%
Top 10 Hldgs %
63.39%
Holding
257
New
35
Increased
48
Reduced
132
Closed
24

Top Buys

Rank Stock Value
1
JPST icon
JPMorgan Ultra-Short Income ETF
JPST
+$9.5M
2
SPYV icon
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
+$3.65M
3
SPYG icon
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
+$3.59M
4
PTPI
Petros Pharmaceuticals
PTPI
+$1.45M
5
SLYV icon
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
+$1.31M

Top Sells

Rank Stock Value
1
AMP icon
Ameriprise Financial
AMP
+$5.28M
2
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$4.62M
3
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$4.3M
4
AAPL icon
Apple
AAPL
+$2.41M
5
IWP icon
iShares Russell Mid-Cap Growth ETF
IWP
+$2.22M

Sector Composition

Rank Sector Weight
1 Consumer Staples 13.74%
2 Technology 7.39%
3 Financials 3.8%
4 Healthcare 2.64%
5 Consumer Discretionary 1.68%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IJH icon
201
iShares Core S&P Mid-Cap ETF
IJH
$121B
$226K 0.02%
4,920
-1,405
-22% -$59.2K
CI icon
202
Cigna
CI
$78.4B
$219K 0.02%
+1,051
New +$206K
DAL icon
203
Delta Air Lines
DAL
$56.7B
$213K 0.02%
+5,299
New +$193K
STZ icon
204
Constellation Brands
STZ
$22.5B
$211K 0.02%
962
-996
-51% -$196K
VTEB icon
205
Vanguard Tax-Exempt Bond Index Fund
VTEB
$45.2B
$210K 0.02%
3,813
-27
-0.7% -$1.47K
SCHG icon
206
Schwab US Large-Cap Growth ETF
SCHG
$58.2B
$209K 0.02%
+12,992
New +$197K
EEM icon
207
iShares MSCI Emerging Markets ETF
EEM
$27.5B
$207K 0.02%
+3,997
New +$192K
DHR icon
208
Danaher
DHR
$138B
$206K 0.02%
1,045
-429
-29% -$86K
MGEE icon
209
MGE Energy Inc
MGEE
$3.03B
$206K 0.02%
+2,947
New +$203K
TXN icon
210
Texas Instruments
TXN
$248B
$206K 0.02%
+1,253
New +$195K
WEC icon
211
WEC Energy
WEC
$36.3B
$205K 0.02%
2,229
-111
-5% -$10.8K
IYM icon
212
iShares US Basic Materials ETF
IYM
$1.13B
$204K 0.02%
+1,797
New +$191K
SCHO icon
213
Schwab Short-Term US Treasury ETF
SCHO
$12.8B
$204K 0.02%
7,954
-898
-10% -$23.1K
ITOT icon
214
iShares Core S&P Total US Stock Market ETF
ITOT
$92.3B
$201K 0.02%
2,331
-755
-24% -$61.2K
STL
215
DELISTED
Sterling Bancorp
STL
$199K 0.02%
11,095
– –
BB icon
216
BlackBerry
BB
$4.58B
$167K 0.02%
+25,163
New +$149K
LAC
217
DELISTED
Lithium Americas Corp. Common Shares
LAC
$151K 0.01%
12,007
-51
-0.4% -$573
QUMU
218
DELISTED
Qumu Corp.
QUMU
$133K 0.01%
+16,600
New +$87.4K
KGC icon
219
CALL
Kinross Gold
KGC
$27.7B
$110K 0.01%
+15,000
New +$120K
F icon
220
Ford
F
$60.9B
$102K 0.01%
11,642
-3,060
-21% -$25.6K
RMBS icon
221
CALL
Rambus
RMBS
$8.98B
$87K 0.01%
+5,000
New +$78.4K
REFR icon
222
Research Frontiers
REFR
$13.6M
$84K 0.01%
+30,000
New +$84.7K
QCOM icon
223
CALL
Qualcomm
QCOM
$164B
$76K 0.01%
+500
New +$69.6K
PARAA
224
CALL
DELISTED
Paramount Global Class A
PARAA
$75K 0.01%
+2,000
New +$66.8K
GNSS icon
225
Genasys
GNSS
$76.5M
$65K 0.01%
10,000
– –
7 8
9
10 11

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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 2020 Portfolio in Review

As of Q4 2020, NorthRock Partners held 257 positions worth $1.01B, up 13% from $902M the previous quarter. Its ten largest holdings account for 63% of the portfolio.

NorthRock Partners's Q4 2020 filing shows 35 new, 48 increased, 132 reduced and 24 closed positions. Its largest new stake was Petros Pharmaceuticals: 1,540 shares worth $1.69M. The largest sale was Ameriprise Financial, an estimated $5.28M.

By sector, the portfolio is most concentrated in Consumer Staples at 14% of assets, down from 15% a quarter earlier, followed by Technology and Financials.

  • NorthRock Partners's largest Q4 2020 buy was Petros Pharmaceuticals: 1,540 shares worth $1.69M.
  • NorthRock Partners added most to JPMorgan Ultra-Short Income ETF in Q4 2020, an estimated $9.5M increase.
  • NorthRock Partners's biggest Q4 2020 reduction was Ameriprise Financial, cutting an estimated $5.28M.
  • NorthRock Partners fully exited Pinterest in Q4 2020, selling an estimated $459K.
  • NorthRock Partners's ten largest holdings make up 63% of its $1.01B portfolio in Q4 2020.
  • NorthRock Partners opened 35 new positions and closed 24 in Q4 2020.
  • NorthRock Partners's portfolio value rose 13% quarter-over-quarter to $1.01B.

Based on NorthRock Partners's 13F filing for Q4 2020, filed 8 Feb 2021.