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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
GBTG.WS
4376
DELISTED
Global Business Travel Group, Inc. Warrants, each exercisable for one share of Class A Common Stock at an exercise price of $11.50 per share
GBTG.WS
– –
-9,530
Closed -$14K
ENPC.WS
4377
DELISTED
Executive Network Partnering Corporation Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
ENPC.WS
– –
-1,562
Closed -$1K
JHMH
4378
DELISTED
John Hancock Multifactor Healthcare ETF
JHMH
– –
-250
Closed -$10K
JHMI
4379
DELISTED
John Hancock Multifactor Industrials ETF
JHMI
– –
-50
Closed -$2K
CCXI
4380
DELISTED
ChemoCentryx, Inc.
CCXI
– –
-65
Closed -$3K
RJA
4381
DELISTED
AB Svensk Ekportkredit ELEMENTS Linked to the Rogers International Commodity Index-Agriculture Total Return
RJA
– –
-4,595
Closed -$41K
AVLR
4382
DELISTED
Avalara, Inc.
AVLR
– –
-14,126
Closed -$1.29M
SHLX
4383
DELISTED
Shell Midstream Partners, L.P.
SHLX
– –
-11,473
Closed -$181K
Y
4384
DELISTED
Alleghany Corp
Y
– –
-62
Closed -$51K
GSQD.WS
4385
DELISTED
G Squared Ascend I Inc. Redeemable Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exercise price of $11.50
GSQD.WS
– –
-1,000
Closed –
IPOD
4386
DELISTED
Social Capital Hedosophia Holdings Corp. IV
IPOD
– –
-675
Closed -$6K
IPOF
4387
DELISTED
Social Capital Hedosophia Holdings Corp. VI
IPOF
– –
-22,496
Closed -$224K
RMO
4388
DELISTED
Romeo Power, Inc.
RMO
– –
-10,600
Closed -$4K
FVT.WS
4389
DELISTED
Fortress Value Acquisition Corp. III Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
FVT.WS
– –
-12,780
Closed -$1K
CVET
4390
DELISTED
Covetrus, Inc. Common Stock
CVET
– –
-519
Closed -$10K
HYT.RT
4391
DELISTED
BlackRock Corporate High Yield Fund, Inc. Rights (expiring October 13, 2022)
HYT.RT
– –
-52,036
Closed –
TMX
4392
DELISTED
Terminix Global Holdings, Inc.
TMX
– –
-536
Closed -$20K
TPGY
4393
DELISTED
TPG Pace Beneficial Finance Corp.
TPGY
– –
-500
Closed -$5K
BRG
4394
DELISTED
Bluerock Residential Growth REIT, Inc.
BRG
– –
-245
Closed -$6K
HNGR
4395
DELISTED
Hanger Inc.
HNGR
– –
-25
Closed –
DRE
4396
DELISTED
Duke Realty Corp.
DRE
– –
-19,782
Closed -$952K
CHNG
4397
DELISTED
Change Healthcare Inc. Common Stock
CHNG
– –
-1,776
Closed -$48K
ABTX
4398
DELISTED
Allegiance Bancshares
ABTX
– –
-6
Closed –
CTXS
4399
DELISTED
Citrix Systems Inc
CTXS
– –
-11,842
Closed -$1.23M
AVGOP
4400
DELISTED
Broadcom Inc. 8.00% Mandatory Convertible Preferred Stock, Series A
AVGOP
– –
-8
Closed -$11K
174 175
176
177 178

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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.