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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
+5.56%
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
$313M
AUM Growth
+$50.6M
Cap. Flow
+$10.1M
Cap. Flow %
3.21%
Top 10 Hldgs %
90.68%
Holding
59
New
6
Increased
12
Reduced
23
Closed
3

Top Buys

Rank Stock Value
1
CCT
Corporate Capital Trust, Inc.
CCT
+$9.57M
2
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$1.78M
3
IWD icon
iShares Russell 1000 Value ETF
IWD
+$1.61M
4
CEM
ClearBridge MLP and Midstream Fund Inc.
CEM
+$1.48M
5
IWS icon
iShares Russell Mid-Cap Value ETF
IWS
+$767K

Top Sells

Rank Stock Value
1
AMP icon
Ameriprise Financial
AMP
+$4.11M
2
IJT icon
iShares S&P Small-Cap 600 Growth ETF
IJT
+$454K
3
NEWR
New Relic, Inc.
NEWR
+$356K
4
IWF icon
iShares Russell 1000 Growth ETF
IWF
+$277K
5
BRK.B icon
Berkshire Hathaway Class B
BRK.B
+$275K

Sector Composition

Rank Sector Weight
1 Financials 3.86%
2 Consumer Staples 2.22%
3 Industrials 1.02%
4 Technology 0.86%
5 Healthcare 0.68%
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
$103M 32.84%
286,937
+6,846
+2% +$1.78M
IWF icon
2
iShares Russell 1000 Growth ETF
IWF
$117B
$39.8M 12.69%
1,181,604
-8,444
-0.7% -$277K
IWD icon
3
iShares Russell 1000 Value ETF
IWD
$81.4B
$39.4M 12.56%
316,651
+13,255
+4% +$1.61M
CEM
4
DELISTED
ClearBridge MLP and Midstream Fund Inc.
CEM
$22M 7.03%
288,469
+21,493
+8% +$1.48M
IWS icon
5
iShares Russell Mid-Cap Value ETF
IWS
$15.7B
$17.4M 5.55%
195,268
+8,831
+5% +$767K
IWP icon
6
iShares Russell Mid-Cap Growth ETF
IWP
$19.4B
$16.8M 5.37%
278,850
+5,670
+2% +$333K
IJS icon
7
iShares S&P Small-Cap 600 Value ETF
IJS
$8.12B
$14.1M 4.5%
183,548
-1,732
-0.9% -$130K
IJT icon
8
iShares S&P Small-Cap 600 Growth ETF
IJT
$8.13B
$13.7M 4.37%
160,866
-5,426
-3% -$454K
AMP icon
9
Ameriprise Financial
AMP
$47.8B
$9.18M 2.93%
54,145
-25,674
-32% -$4.11M
CCT
10
DELISTED
Corporate Capital Trust, Inc.
CCT
$8.92M 2.85%
+545,904
New +$9.57M
TGT icon
11
Target
TGT
$66.3B
$6.46M 2.06%
87,873
-477
-0.5% -$28.8K
BRK.B icon
12
Berkshire Hathaway Class B
BRK.B
$1.1T
$2.57M 0.82%
12,942
-1,447
-10% -$275K
BA icon
13
Boeing
BA
$169B
$1.72M 0.55%
5,829
-791
-12% -$214K
AAPL icon
14
Apple
AAPL
$4.97T
$1.54M 0.49%
36,512
+2,540
+7% +$106K
IJR icon
15
iShares Core S&P Small-Cap ETF
IJR
$109B
$1M 0.32%
13,023
-2,610
-17% -$197K
MSFT icon
16
Microsoft
MSFT
$2.9T
$948K 0.3%
12,117
-2,150
-15% -$176K
CELG
17
DELISTED
Celgene Corp
CELG
$878K 0.28%
8,410
-200
-2% -$22.6K
HWKN icon
18
Hawkins
HWKN
$2.9B
$877K 0.28%
49,912
+2,960
+6% +$56.7K
VONV icon
19
Vanguard Russell 1000 Value ETF
VONV
$20.5B
$690K 0.22%
12,720
– –
MMM icon
20
3M
MMM
$91.8B
$616K 0.2%
3,131
-67
-2% -$12.9K
SPTM icon
21
State Street SPDR Portfolio S&P 1500 Composite Stock Market ETF
SPTM
$13.3B
$600K 0.19%
18,034
-5,462
-23% -$177K
MDY icon
22
State Street SPDR S&P MIDCAP 400 ETF Trust
MDY
$26.4B
$562K 0.18%
1,621
-60
-4% -$20.2K
MODV
23
DELISTED
ModivCare
MODV
$538K 0.17%
9,064
– –
UNH icon
24
UnitedHealth
UNH
$382B
$517K 0.16%
2,345
-87
-4% -$18.4K
PG icon
25
Procter & Gamble
PG
$340B
$490K 0.16%
5,337
+122
+2% +$11K
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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DTC
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NorthRock Partners's Q4 2017 Portfolio in Review

As of Q4 2017, NorthRock Partners held 59 positions worth $313M, up 19% from $263M the previous quarter. Its ten largest holdings account for 91% of the portfolio.

NorthRock Partners deployed $10.1M of net new capital in Q4 2017, opening 6 new positions and adding to 12 existing holdings. Its largest new stake was Corporate Capital Trust, Inc.: 545,904 shares worth $8.92M.

By sector, the portfolio is most concentrated in Financials at 3.9% of assets, down from 5.6% a quarter earlier, followed by Consumer Staples and Industrials.

On the sell side, the largest reduction was Ameriprise Financial, an estimated $4.11M trimmed.

  • NorthRock Partners's largest Q4 2017 buy was Corporate Capital Trust, Inc.: 545,904 shares worth $8.92M.
  • NorthRock Partners added most to State Street SPDR S&P 500 ETF Trust in Q4 2017, an estimated $1.78M increase.
  • NorthRock Partners's biggest Q4 2017 reduction was Ameriprise Financial, cutting an estimated $4.11M.
  • NorthRock Partners fully exited New Relic, Inc. in Q4 2017, selling an estimated $356K.
  • NorthRock Partners's ten largest holdings make up 91% of its $313M portfolio in Q4 2017.
  • NorthRock Partners opened 6 new positions and closed 3 in Q4 2017.
  • NorthRock Partners's portfolio value rose 19% quarter-over-quarter to $313M.

Based on NorthRock Partners's 13F filing for Q4 2017, filed 12 Feb 2018.