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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
CHI
1301
Calamos Convertible Opportunities and Income Fund
CHI
$1.05B
$453K ﹤0.01%
30,323
+467
+2% +$7.17K
CBAY
1302
DELISTED
Cymabay Therapeutics
CBAY
$452K ﹤0.01%
124,000
+25,000
+25% +$98.5K
LQDH icon
1303
iShares Interest Rate Hedged Corporate Bond ETF
LQDH
$531M
$450K ﹤0.01%
4,704
+682
+17% +$65.4K
NCLH icon
1304
Norwegian Cruise Line
NCLH
$8.84B
$448K ﹤0.01%
16,810
-22,654
-57% -$576K
ICF icon
1305
iShares Select U.S. REIT ETF
ICF
$2.09B
$446K ﹤0.01%
6,821
+202
+3% +$13.8K
UTL icon
1306
Unitil
UTL
$980M
$445K ﹤0.01%
10,407
+407
+4% +$20.3K
SPHQ icon
1307
Invesco S&P 500 Quality ETF
SPHQ
$19.7B
$444K ﹤0.01%
9,149
-4,953
-35% -$248K
AXON
1308
Axon Enterprise
AXON
$46.4B
$443K ﹤0.01%
2,535
-72
-3% -$13.1K
QCLN icon
1309
First Trust NASDAQ Clean Edge Green Energy Index Fund
QCLN
$634M
$441K ﹤0.01%
7,057
+256
+4% +$16.8K
KW
1310
DELISTED
Kennedy-Wilson Holdings
KW
$440K ﹤0.01%
21,038
+24
+0.1% +$500
WSM icon
1311
Williams-Sonoma
WSM
$29.6B
$432K ﹤0.01%
4,876
-7,166
-60% -$606K
PNW icon
1312
Pinnacle West Capital
PNW
$12.2B
$431K ﹤0.01%
5,968
+5,199
+676% +$412K
HYEM icon
1313
VanEck Emerging Markets High Yield Bond ETF
HYEM
$523M
$430K ﹤0.01%
18,558
+12,391
+201% +$293K
KBA icon
1314
KraneShares Bosera MSCI China A 50 Connect Index ETF
KBA
$150M
$429K ﹤0.01%
9,393
-4
-0% -$184
TSN icon
1315
Tyson Foods
TSN
$20.4B
$427K ﹤0.01%
5,418
-11,077
-67% -$836K
ENNVU
1316
DELISTED
ECP Environmental Growth Opportunities Corp. Unit
ENNVU
$426K ﹤0.01%
42,469
-22,500
-35% -$226K
ARKF icon
1317
ARK Blockchain & Fintech Innovation ETF
ARKF
$769M
$425K ﹤0.01%
8,631
+257
+3% +$13.4K
VOOG icon
1318
Vanguard S&P 500 Growth ETF
VOOG
$27.2B
$425K ﹤0.01%
9,576
+2,910
+44% +$133K
NSL
1319
DELISTED
NUVEEN SENIOR INCM FD
NSL
$425K ﹤0.01%
72,692
+1,258
+2% +$7.31K
OXY.WS icon
1320
Occidental Petroleum Corp Warrants
OXY.WS
$32B
$424K ﹤0.01%
35,813
+2,306
+7% +$24.8K
U icon
1321
Unity
U
$18.9B
$423K ﹤0.01%
3,360
+2,541
+310% +$301K
RDUS
1322
DELISTED
Radius Health, Inc.
RDUS
$423K ﹤0.01%
34,111
– –
OPER icon
1323
ClearShares Ultra-Short Maturity ETF
OPER
$105M
$422K ﹤0.01%
4,215
+146
+4% +$14.6K
NEXI
1324
DELISTED
NexImmune, Inc. Common Stock
NEXI
$421K ﹤0.01%
+1,114
New +$374K
YUMC icon
1325
Yum China
YUMC
$16.3B
$415K ﹤0.01%
7,144
+498
+7% +$30.6K
51 52
53
54 55

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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.