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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
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$771B
$159M 16.61%
372,476
+446
+0.1% +$198K
SPYV icon
2
State Street SPDR Portfolio S&P 500 Value ETF
SPYV
$36.2B
$85.5M 8.92%
2,071,658
+11,829
+0.6% +$512K
SGOV icon
3
iShares 0-3 Month Treasury Bond ETF
SGOV
$99.4B
$55.1M 5.74%
546,865
+222,745
+69% +$22.4M
SPYG icon
4
State Street SPDR Portfolio S&P 500 Growth ETF
SPYG
$49.4B
$54M 5.63%
910,919
+19,683
+2% +$1.21M
AAPL icon
5
Apple
AAPL
$4.97T
$51.5M 5.37%
300,782
+14,982
+5% +$2.75M
MDYV icon
6
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.76B
$40.9M 4.27%
630,470
+8,678
+1% +$596K
MDYG icon
7
State Street SPDR S&P 400 Mid Cap Growth ETF
MDYG
$2.76B
$29.6M 3.09%
427,890
+10,472
+3% +$754K
SLYV icon
8
State Street SPDR S&P 600 Small Cap Value ETF
SLYV
$4.89B
$28M 2.92%
387,288
-5,781
-1% -$447K
IWF icon
9
iShares Russell 1000 Growth ETF
IWF
$117B
$23.2M 2.42%
349,000
-8,152
-2% -$563K
SLYG icon
10
State Street SPDR S&P 600 Small Cap Growth ETF
SLYG
$5B
$22.6M 2.36%
309,037
-8,273
-3% -$638K
MDLZ icon
11
Mondelez International
MDLZ
$83.4B
$19.9M 2.08%
286,713
+5,397
+2% +$389K
MSFT icon
12
Microsoft
MSFT
$2.9T
$18.3M 1.91%
58,015
+8,772
+18% +$2.9M
EFA icon
13
iShares MSCI EAFE ETF
EFA
$76.4B
$16.7M 1.75%
242,804
-4,961
-2% -$355K
TGT icon
14
Target
TGT
$66.3B
$14.2M 1.49%
128,754
+2,598
+2% +$330K
PM icon
15
Philip Morris
PM
$309B
$11.5M 1.2%
123,731
+7,769
+7% +$748K
AMP icon
16
Ameriprise Financial
AMP
$47.8B
$10.2M 1.06%
30,818
+972
+3% +$332K
AMZN icon
17
Amazon
AMZN
$2.44T
$8.24M 0.86%
64,853
+9,393
+17% +$1.26M
KHC icon
18
Kraft Heinz
KHC
$32.8B
$8.19M 0.85%
243,603
+746
+0.3% +$25.8K
ATI icon
19
ATI
ATI
$24.3B
$8.18M 0.85%
198,736
– –
GOOGL icon
20
Alphabet (Google) Class A
GOOGL
$4.12T
$7.93M 0.83%
60,573
+6,700
+12% +$867K
SCHX icon
21
Schwab US Large- Cap ETF
SCHX
$70.3B
$7.56M 0.79%
447,969
+410,538
+1,097% +$7.2M
MO icon
22
Altria Group
MO
$125B
$6.98M 0.73%
165,900
+21,086
+15% +$932K
NVDA icon
23
NVIDIA
NVDA
$4.6T
$6.66M 0.69%
153,100
+9,850
+7% +$441K
BUFR icon
24
FT Vest Fund of Buffer ETFs
BUFR
$9.99B
$6.66M 0.69%
271,832
+3,546
+1% +$89.1K
BRK.B icon
25
Berkshire Hathaway Class B
BRK.B
$1.1T
$6.5M 0.68%
18,569
+2,837
+18% +$1.01M
1
2 3 4 5

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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.