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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
+9.77%
1 Year Est. Return
+24.96%
3 Year Est. Return
+83.53%
5 Year Est. Return
+100.91%
10 Year Est. Return
–
AUM
$19.9B
AUM Growth
+$550M
Cap. Flow
-$983M
Cap. Flow %
-4.94%
Top 10 Hldgs %
17.64%
Holding
4,466
New
207
Increased
1,410
Reduced
1,605
Closed
223

Top Buys

Rank Stock Value
1
AER icon
AerCap
AER
+$54M
2
JPM icon
JPMorgan Chase
JPM
+$45.5M
3
AXP icon
American Express
AXP
+$44.9M
4
META icon
Meta Platforms (Facebook)
META
+$42.9M
5
IBTE
iShares iBonds Dec 2024 Term Treasury ETF
IBTE
+$39.6M

Top Sells

Rank Stock Value
1
MDT icon
Medtronic
MDT
+$94.1M
2
RGA icon
Reinsurance Group of America
RGA
+$89.9M
3
NFLX icon
Netflix
NFLX
+$81M
4
LLY icon
Eli Lilly
LLY
+$76.3M
5
GL icon
Globe Life
GL
+$72.8M

Sector Composition

Rank Sector Weight
1 Technology 17.17%
2 Financials 13.41%
3 Healthcare 10.42%
4 Industrials 6.36%
5 Consumer Discretionary 5.92%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TRVN
4276
DELISTED
Trevena, Inc.
TRVN
– –
-16
Closed -$1K
AWH
4277
DELISTED
Aspira Women's Health Inc. Common Stock
AWH
$0 ﹤0.01%
67
– –
FUV
4278
DELISTED
Arcimoto, Inc. Common Stock
FUV
$0 ﹤0.01%
5
+1
+25% +$11
RMGCW
4279
DELISTED
RMG Acquisition Corp. III Warrant
RMGCW
$0 ﹤0.01%
14,700
– –
RMGC
4280
DELISTED
RMG Acquisition Corp. III Class A Ordinary Shares
RMGC
– –
-7,100
Closed -$70K
PGTI
4281
DELISTED
PGT, Inc.
PGTI
$0 ﹤0.01%
17
– –
JOAN
4282
DELISTED
JOANN, Inc. Common Stock
JOAN
$0 ﹤0.01%
21
+1
+5% +$5
VJET
4283
DELISTED
VOXELJET AG American Depositary Shares (each representing one Ordinary Share)
VJET
$0 ﹤0.01%
10
– –
BKCC
4284
DELISTED
BlackRock Capital Investment Corporation
BKCC
$0 ﹤0.01%
+2
New +$7
EXPR
4285
DELISTED
Express, Inc.
EXPR
$0 ﹤0.01%
3
– –
NEPT
4286
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
$0 ﹤0.01%
1
-4
-80% -$151
MDRX
4287
DELISTED
Veradigm Inc. Common Stock
MDRX
$0 ﹤0.01%
55
-518
-90% -$8.68K
FRLN
4288
DELISTED
Freeline Therapeutics Holdings plc American Depositary Shares
FRLN
$0 ﹤0.01%
38
– –
QFTA
4289
DELISTED
Quantum FinTech Acquisition Corporation
QFTA
– –
-15,700
Closed -$154K
NVTA
4290
DELISTED
Invitae Corporation
NVTA
$0 ﹤0.01%
60
-1,494
-96% -$3.65K
SLGCW
4291
DELISTED
SomaLogic, Inc. Warrant
SLGCW
$0 ﹤0.01%
60
– –
RPT
4292
DELISTED
RPT Realty Common Shares of Beneficial Interest (MD)
RPT
$0 ﹤0.01%
59
+1
+2% +$10
NETC.WS
4293
DELISTED
Nabors Energy Transition Corp. Warrants, exercisable for one share of Class A Common Stock
NETC.WS
$0 ﹤0.01%
2,000
– –
VAPO
4294
DELISTED
Vapotherm, Inc. Common Stock
VAPO
$0 ﹤0.01%
25
-55
-69% -$626
ARCE
4295
DELISTED
Arco Platform Limited Class A Common Shares
ARCE
– –
-46
Closed –
HT
4296
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
$0 ﹤0.01%
18
– –
AVTA
4297
DELISTED
Avantax, Inc. Common Stock
AVTA
$0 ﹤0.01%
25
– –
APRN
4298
DELISTED
Blue Apron Holdings, Inc. Class A Common Stock
APRN
$0 ﹤0.01%
+2
New +$38
NXGN
4299
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
$0 ﹤0.01%
12
– –
AAC.WS
4300
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
– –
-1,000
Closed –
170 171
172
173 174

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Rockefeller Capital Management's Q4 2022 Portfolio in Review

As of Q4 2022, Rockefeller Capital Management held 4,466 positions worth $19.9B, up 2.8% from $19.3B the previous quarter. Its ten largest holdings account for 18% of the portfolio.

Rockefeller Capital Management withdrew a net $983M in Q4 2022, closing 223 positions and reducing 1,605 holdings. Its most notable exit was iShares iBonds Dec 2022 Term Treasury ETF, an estimated $8.3M position sold in full.

By sector, the portfolio is most concentrated in Technology at 17% of assets, down from 18% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Rockefeller Capital Management opened a new position in First Trust Exchange-Traded Fund VI First Trust Hedged BuyWrite Income ETF worth $5.95M.

  • Rockefeller Capital Management's largest Q4 2022 buy was First Trust Exchange-Traded Fund VI First Trust Hedged BuyWrite Income ETF: 329,901 shares worth $5.95M.
  • Rockefeller Capital Management added most to AerCap in Q4 2022, an estimated $54M increase.
  • Rockefeller Capital Management's biggest Q4 2022 reduction was Medtronic, cutting an estimated $94.1M.
  • Rockefeller Capital Management fully exited iShares iBonds Dec 2022 Term Treasury ETF in Q4 2022, selling an estimated $8.3M.
  • Rockefeller Capital Management's ten largest holdings make up 18% of its $19.9B portfolio in Q4 2022.
  • Rockefeller Capital Management opened 207 new positions and closed 223 in Q4 2022.
  • Rockefeller Capital Management's portfolio value rose 2.8% quarter-over-quarter to $19.9B.

Based on Rockefeller Capital Management's 13F filing for Q4 2022, filed 6 Mar 2023.