Rockefeller Capital Management’s Principal Spectrum Preferred Securities Active ETF PREF Stock Holding History

Rockefeller Capital Management’s Portfolio PREF Stock Details PREF Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2026 Q2	$3.92M	Buy	205,725 +10,376	+5%	+$197K	0.01%	1085
2026 Q1	$3.68M	Buy	195,349 +32,514	+20%	+$620K	0.01%	1044
2025 Q4	$3.11M	Buy	162,835 +43,796	+37%	+$836K	0.01%	1065
2025 Q3	$2.28M	Buy	119,039 +1,656	+1%	+$31.4K	﹤0.01%	1114
2025 Q2	$2.23M	Buy	117,383 +6,440	+6%	+$120K	﹤0.01%	1075
2025 Q1	$2.07M	Buy	110,943 +15,520	+16%	+$290K	0.01%	1026
2024 Q4	$1.78M	Buy	95,423 +1,444	+2%	+$27K	﹤0.01%	1054
2024 Q3	$1.77M	Buy	93,979 +3,145	+3%	+$58K	﹤0.01%	1039
2024 Q2	$1.66M	Buy	90,834 +1,043	+1%	+$18.9K	﹤0.01%	1052
2024 Q1	$1.63M	Sell	89,791 -8,560	-9%	-$153K	﹤0.01%	1092
2023 Q4	$1.72M	Buy	98,351 +3,013	+3%	+$50.8K	0.01%	964
2023 Q3	$1.61M	Buy	95,338 +3,247	+4%	+$55.3K	0.01%	919
2023 Q2	$1.56M	Buy	+92,091	New	+$1.55M	0.01%	930
2023 Q1	–	Sell	-6,623	Closed	-$113K	–	3405
2022 Q4	$113K	Buy	6,623 +503	+8%	+$8.51K	﹤0.01%	1971
2022 Q3	$102K	Buy	6,120 +21	+0.3%	+$370	﹤0.01%	1984
2022 Q2	$105K	Buy	6,099 +20	+0.3%	+$360	﹤0.01%	1926
2022 Q1	$115K	Sell	6,079 -22	-0.4%	-$427	﹤0.01%	1924
2021 Q4	$123K	Buy	6,101 +55	+0.9%	+$1.12K	﹤0.01%	1842
2021 Q3	$125K	Buy	6,046 +5,124	+556%	+$106K	﹤0.01%	1771
2021 Q2	$19K	Buy	922 +3	+0.3%	+$62	﹤0.01%	2507
2021 Q1	$18K	Buy	919 +3	+0.3%	+$62	﹤0.01%	2333
2020 Q4	$18K	Buy	916 +126	+16%	+$2.56K	﹤0.01%	2053
2020 Q3	$15K	Buy	790 +350	+80%	+$6.98K	﹤0.01%	1889
2020 Q2	$9K	Buy	440 +265	+151%	+$5.03K	﹤0.01%	1930
2020 Q1	$3K	Buy	+175	New	+$3.43K	﹤0.01%	2112

Other funds holding PREF

Principal Financial Group Des Moines, Iowa $204B AUM 27.99% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

Morgan Stanley New York $1.89T AUM 35.08% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

LPL Financial San Diego, California $445B AUM 25.58% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $672B AUM 33.48% 1-Year Est. Return

IFC Advisors Los Angeles, California $788M AUM 19.88% 1-Year Est. Return

Raymond James Financial St Petersburg, Florida $369B AUM 28.27% 1-Year Est. Return

Ameriprise Minneapolis, Minnesota $495B AUM 43.24% 1-Year Est. Return

Rockefeller Capital Management's PREF Position: Q2 2026 in Review

Rockefeller Capital Management increased its Principal Spectrum Preferred Securities Active ETF (PREF) stake by 5.3% in Q2 2026, buying an estimated $197K and bringing the position to 205,725 shares worth $3.92M. The position accounts for 0.01% of the portfolio, ranked #1085.

Rockefeller Capital Management first reported a position in PREF in Q1 2020 and has held it in 25 quarters since. 134 funds tracked by Wall St. Rank hold PREF as of Q2 2026.

Rockefeller Capital Management held 205,725 shares of Principal Spectrum Preferred Securities Active ETF worth $3.92M as of Q2 2026.
Rockefeller Capital Management bought 10,376 Principal Spectrum Preferred Securities Active ETF shares in Q2 2026, an estimated $197K.
Principal Spectrum Preferred Securities Active ETF made up 0.01% of Rockefeller Capital Management's portfolio in Q2 2026, its #1085 holding.
Rockefeller Capital Management first reported a position in Principal Spectrum Preferred Securities Active ETF in Q1 2020 and has held it in 25 quarters since.
134 funds tracked by Wall St. Rank held Principal Spectrum Preferred Securities Active ETF as of Q2 2026.

Based on Rockefeller Capital Management's 13F filing for Q2 2026, filed 13 Aug 2026.