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Rockefeller Capital Management

Rockefeller Capital Management Portfolio holdings

AUM $56.4B
1-Year Est. Return 24.96%
This Fund
S&P 500
This Quarter Est. Return
-0.57%
1 Year Est. Return
+24.96%
3 Year Est. Return
+83.53%
5 Year Est. Return
+100.91%
10 Year Est. Return
–
AUM
$19B
AUM Growth
+$1.28B
Cap. Flow
+$1.55B
Cap. Flow %
8.12%
Top 10 Hldgs %
20.03%
Holding
3,992
New
448
Increased
1,821
Reduced
816
Closed
180

Top Buys

Rank Stock Value
1
ELAN icon
Elanco Animal Health
ELAN
+$89.1M
2
WEX icon
WEX
WEX
+$78.4M
3
BLK icon
Blackrock
BLK
+$73.2M
4
VOO icon
Vanguard S&P 500 ETF
VOO
+$71.9M
5
OMF icon
OneMain Financial
OMF
+$45.3M

Top Sells

Rank Stock Value
1
REGN icon
Regeneron Pharmaceuticals
REGN
+$63.6M
2
NBIX icon
Neurocrine Biosciences
NBIX
+$56.6M
3
AEM icon
Agnico Eagle Mines
AEM
+$55.1M
4
DFS
Discover Financial Services
DFS
+$36M
5
ORBC
ORBCOMM, Inc.
ORBC
+$27.5M

Sector Composition

Rank Sector Weight
1 Technology 20.39%
2 Financials 14.65%
3 Healthcare 12.11%
4 Consumer Discretionary 7.54%
5 Industrials 6.86%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EDR
3826
DELISTED
Endeavor Group Holdings, Inc.
EDR
$0 ﹤0.01%
+19
New +$489
ZUO
3827
DELISTED
Zuora, Inc.
ZUO
– –
-100
Closed -$1K
SQSP
3828
DELISTED
Squarespace, Inc.
SQSP
– –
-15
Closed –
ASXC
3829
DELISTED
Asensus Surgical, Inc.
ASXC
$0 ﹤0.01%
1
– –
HOLI
3830
DELISTED
Hollsys Automation Technologies INTERNATIONAL, LTD. COMMON (British Virgin Island)
HOLI
– –
-200
Closed -$2K
AIRC
3831
DELISTED
Apartment Income REIT Corp.
AIRC
$0 ﹤0.01%
1
– –
MODN
3832
DELISTED
MODEL N, INC.
MODN
$0 ﹤0.01%
26
– –
FUV
3833
DELISTED
Arcimoto, Inc. Common Stock
FUV
$0 ﹤0.01%
4
– –
JOAN
3834
DELISTED
JOANN, Inc. Common Stock
JOAN
$0 ﹤0.01%
20
– –
SOLO
3835
DELISTED
Electrameccanica Vehicles Corp. Ltd.
SOLO
$0 ﹤0.01%
+200
New +$707
KRTX
3836
DELISTED
Karuna Therapeutics, Inc. Common Stock
KRTX
– –
-9
Closed -$1K
NEPT
3837
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
$0 ﹤0.01%
1
– –
NSTG
3838
DELISTED
NanoString Technologies, Inc.
NSTG
– –
-11
Closed –
SLGCW
3839
DELISTED
SomaLogic, Inc. Warrant
SLGCW
$0 ﹤0.01%
+70
New +$216
RPT
3840
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
$0 ﹤0.01%
+17
New +$217
CTG
3841
DELISTED
Computer Task Group, Inc.
CTG
– –
-45,285
Closed -$437K
AVTA
3842
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
10
– –
AAC.WS
3843
DELISTED
Ares Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
AAC.WS
$0 ﹤0.01%
+1,000
New +$1.08K
CYTO
3844
DELISTED
Altamira Therapeutics Ltd
CYTO
$0 ﹤0.01%
1
– –
NEX
3845
DELISTED
NexTier Oilfield Solutions Inc.
NEX
– –
-1,500
Closed -$7K
QFTA.U
3846
DELISTED
Quantum FinTech Acquisition Corporation Units, each consisting of one share of Common Stock and one Warrant
QFTA.U
– –
-73,150
Closed -$733K
USX
3847
DELISTED
U.S. Xpress Enterprises, Inc. Class A Common Stock
USX
$0 ﹤0.01%
+11
New +$95
XM
3848
DELISTED
Qualtrics International Inc. Class A Common Stock
XM
– –
-100
Closed -$3K
PSMG
3849
DELISTED
Invesco Growth Multi-Asset Allocation ETF
PSMG
$0 ﹤0.01%
1
– –
ATIP.WS
3850
DELISTED
ATI Physical Therapy, Inc. Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
ATIP.WS
$0 ﹤0.01%
1,000
+560
+127% +$601
152 153
154
155 156

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Rockefeller Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Rockefeller Capital Management held 3,992 positions worth $19B, up 7.2% from $17.8B the previous quarter. Its ten largest holdings account for 20% of the portfolio.

Rockefeller Capital Management deployed $1.55B of net new capital in Q3 2021, opening 448 new positions and adding to 1,821 existing holdings. Its largest new stake was Darling Ingredients: 56,725 shares worth $4.08M.

By sector, the portfolio is most concentrated in Technology at 20% of assets, up from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Regeneron Pharmaceuticals, an estimated $63.6M trimmed.

  • Rockefeller Capital Management's largest Q3 2021 buy was Darling Ingredients: 56,725 shares worth $4.08M.
  • Rockefeller Capital Management added most to Elanco Animal Health in Q3 2021, an estimated $89.1M increase.
  • Rockefeller Capital Management's biggest Q3 2021 reduction was Regeneron Pharmaceuticals, cutting an estimated $63.6M.
  • Rockefeller Capital Management fully exited ORBCOMM, Inc. in Q3 2021, selling an estimated $27.5M.
  • Rockefeller Capital Management's ten largest holdings make up 20% of its $19B portfolio in Q3 2021.
  • Rockefeller Capital Management opened 448 new positions and closed 180 in Q3 2021.
  • Rockefeller Capital Management's portfolio value rose 7.2% quarter-over-quarter to $19B.

Based on Rockefeller Capital Management's 13F filing for Q3 2021, filed 12 Nov 2021.