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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
XSLV icon
1576
Invesco S&P SmallCap Low Volatility ETF
XSLV
$247M
$208K ﹤0.01%
4,431
-2,235
-34% -$106K
LIII.U
1577
DELISTED
Leo Holdings III Corp Units, each consisting of one Class A ordinary share, and one-fifth of one red
LIII.U
$208K ﹤0.01%
20,700
-3,900
-16% -$39.2K
AWP
1578
abrdn Global Premier Properties Fund
AWP
$367M
$206K ﹤0.01%
11,349
+8,413
+287% +$166K
RJF icon
1579
Raymond James Financial
RJF
$34B
$205K ﹤0.01%
2,233
-1,007
-31% -$90.2K
FIW icon
1580
First Trust Water ETF
FIW
$1.94B
$204K ﹤0.01%
2,400
– –
OXSQ icon
1581
Oxford Square Capital
OXSQ
$157M
$204K ﹤0.01%
50,593
-71,977
-59% -$327K
BSCL
1582
DELISTED
Invesco BulletShares 2021 Corporate Bond ETF
BSCL
$203K ﹤0.01%
9,670
-2,739
-22% -$57.8K
GHYG icon
1583
iShares US & Intl High Yield Corp Bond ETF
GHYG
$199M
$202K ﹤0.01%
4,039
+1,314
+48% +$66.3K
JTA
1584
DELISTED
Nuveen Tax-Advantaged Total Return Strategy Fund
JTA
$200K ﹤0.01%
18,015
-763
-4% -$8.74K
AXS icon
1585
AXIS Capital
AXS
$7.55B
$199K ﹤0.01%
4,351
-113
-3% -$5.61K
NDAQ icon
1586
Nasdaq
NDAQ
$52.9B
$198K ﹤0.01%
3,093
+411
+15% +$25.9K
LNC icon
1587
Lincoln National
LNC
$8.81B
$197K ﹤0.01%
2,885
-671
-19% -$43.8K
DBC icon
1588
Invesco DB Commodity Index Tracking Fund
DBC
$1.66B
$196K ﹤0.01%
9,750
-750
-7% -$14.4K
MLPA icon
1589
Global X MLP ETF
MLPA
$2.26B
$196K ﹤0.01%
5,574
+450
+9% +$15.9K
NYF icon
1590
iShares New York Muni Bond ETF
NYF
$1.4B
$196K ﹤0.01%
3,405
– –
WGS icon
1591
GeneDx Holdings
WGS
$2.3B
$196K ﹤0.01%
+785
New +$270K
CHEF icon
1592
Chefs' Warehouse
CHEF
$4.5B
$195K ﹤0.01%
6,010
-5,828
-49% -$171K
VCLT icon
1593
Vanguard Long-Term Corporate Bond ETF
VCLT
$8.85B
$195K ﹤0.01%
1,852
– –
VLUE icon
1594
iShares MSCI USA Value Factor ETF
VLUE
$9.44B
$195K ﹤0.01%
1,944
-1,066
-35% -$111K
CRWS icon
1595
Crown Crafts
CRWS
$32.3M
$194K ﹤0.01%
26,300
– –
PLYM
1596
DELISTED
Plymouth Industrial REIT
PLYM
$194K ﹤0.01%
8,559
+214
+3% +$4.8K
RVLV icon
1597
Revolve Group
RVLV
$1.73B
$193K ﹤0.01%
3,134
+2,400
+327% +$156K
BTWNU
1598
DELISTED
Bridgetown Holdings Limited Units
BTWNU
$193K ﹤0.01%
19,082
– –
LOB icon
1599
Live Oak Bancshares
LOB
$1.97B
$192K ﹤0.01%
3,027
+2,500
+474% +$148K
GER
1600
DELISTED
Goldman Sachs MLP Energy Renaissance Fund
GER
$192K ﹤0.01%
17,867
-1,339
-7% -$14.3K
62 63
64
65 66

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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.