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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
+9.5%
1 Year Est. Return
+24.96%
3 Year Est. Return
+83.53%
5 Year Est. Return
+100.91%
10 Year Est. Return
–
AUM
$10.7B
AUM Growth
+$1.12B
Cap. Flow
+$412M
Cap. Flow %
3.86%
Top 10 Hldgs %
27.4%
Holding
2,947
New
319
Increased
1,150
Reduced
698
Closed
231

Top Buys

Rank Stock Value
1
RGA icon
Reinsurance Group of America
RGA
+$121M
2
BABA icon
Alibaba
BABA
+$73.2M
3
CARR icon
Carrier Global
CARR
+$66.3M
4
AWK icon
American Water Works
AWK
+$59.3M
5
MLM icon
Martin Marietta Materials
MLM
+$47.3M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$116M
2
AAPL icon
Apple
AAPL
+$108M
3
DIS icon
Walt Disney
DIS
+$106M
4
NVS icon
Novartis
NVS
+$64.2M
5
AMZN icon
Amazon
AMZN
+$28.5M

Sector Composition

Rank Sector Weight
1 Technology 21.2%
2 Financials 14.39%
3 Healthcare 14.21%
4 Consumer Discretionary 9.23%
5 Communication Services 7.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BGH
1576
Barings Global Short Duration High Yield Fund
BGH
$285M
$39K ﹤0.01%
3,000
– –
BTAI icon
1577
BioXcel Therapeutics
BTAI
$28.3M
$39K ﹤0.01%
56
-7
-11% -$5.26K
CBRE icon
1578
CBRE Group
CBRE
$41.8B
$39K ﹤0.01%
848
-166
-16% -$7.58K
CDW icon
1579
CDW
CDW
$17.1B
$39K ﹤0.01%
332
+33
+11% +$3.77K
ECC
1580
Eagle Point Credit Company
ECC
$509M
$39K ﹤0.01%
4,639
– –
EWD icon
1581
iShares MSCI Sweden ETF
EWD
$593M
$39K ﹤0.01%
1,125
+73
+7% +$2.54K
EWM icon
1582
iShares MSCI Malaysia ETF
EWM
$331M
$39K ﹤0.01%
1,500
– –
HFRO
1583
Highland Opportunities and Income Fund
HFRO
$405M
$39K ﹤0.01%
4,542
+4,523
+23,805% +$38.1K
ICVT icon
1584
iShares Convertible Bond ETF
ICVT
$7.44B
$39K ﹤0.01%
492
-52
-10% -$4.05K
PII icon
1585
Polaris
PII
$4B
$39K ﹤0.01%
418
+75
+22% +$7.38K
PTGX icon
1586
Protagonist Therapeutics
PTGX
$9.62B
$39K ﹤0.01%
2,000
– –
SMOG icon
1587
VanEck Low Carbon Energy ETF
SMOG
$134M
$39K ﹤0.01%
358
– –
HR
1588
DELISTED
Healthcare Realty Trust Incorporated
HR
$39K ﹤0.01%
1,300
-35
-3% -$1.01K
BNBX
1589
DELISTED
BNB PLUS CORP
BNBX
– –
0
– –
EDIV icon
1590
State Street SPDR S&P Emerging Markets Dividend ETF
EDIV
$1.22B
$38K ﹤0.01%
1,597
– –
PGP
1591
PIMCO Global StockPLUS & Income Fund
PGP
$101M
$38K ﹤0.01%
4,657
– –
PMM
1592
Franklin Managed Municipal Income Trust
PMM
$272M
$38K ﹤0.01%
5,011
+6
+0.1% +$47
TCRT icon
1593
Alaunos Therapeutics
TCRT
$4.86M
$38K ﹤0.01%
102
-78
-43% -$34.5K
FIVE icon
1594
Five Below
FIVE
$13.1B
$37K ﹤0.01%
292
-9
-3% -$1.02K
INO icon
1595
Inovio Pharmaceuticals
INO
$74.2M
$37K ﹤0.01%
271
-312
-54% -$65.1K
INVH icon
1596
Invitation Homes
INVH
$17.7B
$37K ﹤0.01%
1,330
+1,000
+303% +$28.5K
MDYV icon
1597
State Street SPDR S&P 400 Mid Cap Value ETF
MDYV
$2.86B
$37K ﹤0.01%
855
-1,252
-59% -$55.5K
MOS icon
1598
The Mosaic Company
MOS
$7.4B
$37K ﹤0.01%
2,051
-83
-4% -$1.35K
PDI icon
1599
PIMCO Dynamic Income Fund
PDI
$7.45B
$37K ﹤0.01%
1,494
-855
-36% -$21.1K
SCHP icon
1600
Schwab US TIPS ETF
SCHP
$16.2B
$37K ﹤0.01%
1,204
-6,664
-85% -$204K
62 63
64
65 66

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Rockefeller Capital Management's Q3 2020 Portfolio in Review

As of Q3 2020, Rockefeller Capital Management held 2,947 positions worth $10.7B, up 12% from $9.56B the previous quarter. Its ten largest holdings account for 27% of the portfolio.

Rockefeller Capital Management deployed $412M of net new capital in Q3 2020, opening 319 new positions and adding to 1,150 existing holdings. Its largest new stake was abrdn Physical Precious Metals Basket Shares ETF: 65,481 shares worth $6.15M.

By sector, the portfolio is most concentrated in Technology at 21% of assets, down from 22% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Alphabet (Google) Class C, an estimated $116M trimmed.

  • Rockefeller Capital Management's largest Q3 2020 buy was abrdn Physical Precious Metals Basket Shares ETF: 65,481 shares worth $6.15M.
  • Rockefeller Capital Management added most to Reinsurance Group of America in Q3 2020, an estimated $121M increase.
  • Rockefeller Capital Management's biggest Q3 2020 reduction was Alphabet (Google) Class C, cutting an estimated $116M.
  • Rockefeller Capital Management fully exited ForeScout Technologies, Inc. Common Stock in Q3 2020, selling an estimated $8.5M.
  • Rockefeller Capital Management's ten largest holdings make up 27% of its $10.7B portfolio in Q3 2020.
  • Rockefeller Capital Management opened 319 new positions and closed 231 in Q3 2020.
  • Rockefeller Capital Management's portfolio value rose 12% quarter-over-quarter to $10.7B.

Based on Rockefeller Capital Management's 13F filing for Q3 2020, filed 13 Nov 2020.