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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
+3.98%
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
$234M
AUM Growth
+$10.4M
Cap. Flow
+$2.34M
Cap. Flow %
1%
Top 10 Hldgs %
92.03%
Holding
55
New
8
Increased
10
Reduced
23
Closed
4

Top Buys

Rank Stock Value
1
AMP icon
Ameriprise Financial
AMP
+$16.7M
2
CELG
Celgene Corp
CELG
+$787K
3
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$701K
4
USB icon
US Bancorp
USB
+$316K
5
DIS icon
Walt Disney
DIS
+$300K

Top Sells

Rank Stock Value
1
TGT icon
Target
TGT
+$10.1M
2
GPT
Gramercy Property Trust
GPT
+$3.82M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$789K
4
VBK icon
Vanguard Small-Cap Growth ETF
VBK
+$400K
5
MOS icon
The Mosaic Company
MOS
+$356K

Sector Composition

Rank Sector Weight
1 Financials 8.55%
2 Consumer Staples 3.65%
3 Healthcare 1.88%
4 Industrials 1.35%
5 Technology 0.82%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$771B
$58.4M 24.97%
268,549
-3,649
-1% -$789K
IWD icon
2
iShares Russell 1000 Value ETF
IWD
$81.4B
$28.2M 12.05%
266,717
-1,916
-0.7% -$202K
IWF icon
3
iShares Russell 1000 Growth ETF
IWF
$117B
$28.1M 12.03%
1,079,772
-4,820
-0.4% -$125K
CEM
4
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$27.1M 11.6%
333,163
+8,771
+3% +$701K
AMP icon
5
Ameriprise Financial
AMP
$47.8B
$19.4M 8.32%
194,761
+172,222
+764% +$16.7M
IWS icon
6
iShares Russell Mid-Cap Value ETF
IWS
$15.7B
$12.6M 5.38%
163,860
-2,944
-2% -$225K
IWP icon
7
iShares Russell Mid-Cap Growth ETF
IWP
$19.4B
$12M 5.14%
246,554
-3,428
-1% -$166K
IJT icon
8
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.13B
$11.4M 4.86%
165,480
-2,860
-2% -$193K
IJS icon
9
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$11.1M 4.73%
177,366
-2,924
-2% -$179K
TGT icon
10
Target
TGT
$66.3B
$6.88M 2.94%
96,989
-141,124
-59% -$10.1M
MMM icon
11
3M
MMM
$91.8B
$2.62M 1.12%
18,722
-2,036
-10% -$304K
CELG
12
DELISTED
Celgene Corp
CELG
$1.41M 0.6%
13,459
+7,270
+117% +$787K
HWKN icon
13
Hawkins
HWKN
$2.9B
$1.11M 0.47%
50,524
-1,400
-3% -$30.4K
MODV
14
DELISTED
ModivCare
MODV
$1.04M 0.44%
21,362
+1,188
+6% +$55.7K
AAPL icon
15
Apple
AAPL
$4.97T
$933K 0.4%
33,012
-848
-3% -$22.4K
UNH icon
16
UnitedHealth
UNH
$382B
$882K 0.38%
6,298
+2,011
+47% +$282K
PG icon
17
Procter & Gamble
PG
$340B
$841K 0.36%
9,364
-3,570
-28% -$310K
KO icon
18
Coca-Cola
KO
$383B
$607K 0.26%
14,331
-2,551
-15% -$112K
XLE icon
19
State Street Energy Select Sector SPDR ETF
XLE
$39B
$595K 0.25%
16,840
-72
-0.4% -$2.47K
VONV icon
20
Vanguard Russell 1000 Value ETF
VONV
$20.5B
$588K 0.25%
12,720
– –
BBY icon
21
Best Buy
BBY
$19B
$471K 0.2%
12,878
-8,237
-39% -$289K
MSFT icon
22
Microsoft
MSFT
$2.9T
$449K 0.19%
7,815
+2,370
+44% +$134K
XOM icon
23
ExxonMobil
XOM
$650B
$419K 0.18%
4,791
-807
-14% -$71.6K
T icon
24
AT&T
T
$164B
$360K 0.15%
11,724
+2,660
+29% +$84.1K
VOE icon
25
Vanguard Mid-Cap Value ETF
VOE
$23.9B
$353K 0.15%
3,776
+281
+8% +$26K
1
2 3

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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 2016 Portfolio in Review

As of Q3 2016, NorthRock Partners held 55 positions worth $234M, up 4.6% from $223M the previous quarter. Its ten largest holdings account for 92% of the portfolio.

NorthRock Partners's Q3 2016 filing shows 8 new, 10 increased, 23 reduced and 4 closed positions. Its largest new stake was US Bancorp: 7,431 shares worth $319K. The largest sale was Target, an estimated $10.1M.

By sector, the portfolio is most concentrated in Financials at 8.5% of assets, up from 1.1% a quarter earlier, followed by Consumer Staples and Healthcare.

  • NorthRock Partners's largest Q3 2016 buy was US Bancorp: 7,431 shares worth $319K.
  • NorthRock Partners added most to Ameriprise Financial in Q3 2016, an estimated $16.7M increase.
  • NorthRock Partners's biggest Q3 2016 reduction was Target, cutting an estimated $10.1M.
  • NorthRock Partners fully exited Gramercy Property Trust in Q3 2016, selling an estimated $3.82M.
  • NorthRock Partners's ten largest holdings make up 92% of its $234M portfolio in Q3 2016.
  • NorthRock Partners opened 8 new positions and closed 4 in Q3 2016.
  • NorthRock Partners's portfolio value rose 4.6% quarter-over-quarter to $234M.

Based on NorthRock Partners's 13F filing for Q3 2016, filed 14 Nov 2016.