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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
NIU
2326
Niu Technologies
NIU
$166M
$34K ﹤0.01%
1,500
– –
OPI
2327
DELISTED
Office Properties Income Trust
OPI
$34K ﹤0.01%
1,365
+165
+14% +$4.5K
SPSC icon
2328
SPS Commerce
SPSC
$2.67B
$34K ﹤0.01%
216
+70
+48% +$8.63K
WRAP icon
2329
Wrap Technologies
WRAP
$103M
$34K ﹤0.01%
5,800
+3,800
+190% +$26.5K
INFN
2330
DELISTED
Infinera Corporation Common Stock
INFN
$34K ﹤0.01%
4,159
+107
+3% +$970
TELL
2331
DELISTED
Tellurian Inc.
TELL
$34K ﹤0.01%
8,734
-1,500
-15% -$5.13K
VLTA
2332
DELISTED
Volta Inc.
VLTA
$34K ﹤0.01%
+4,000
New +$41K
ATIP
2333
DELISTED
ATI Physical Therapy, Inc.
ATIP
$34K ﹤0.01%
184
-852
-82% -$217K
AIT icon
2334
Applied Industrial Technologies
AIT
$13.3B
$33K ﹤0.01%
368
– –
BLUE
2335
DELISTED
bluebird bio
BLUE
$33K ﹤0.01%
137
+6
+5% +$1.72K
BOOT icon
2336
Boot Barn
BOOT
$5.09B
$33K ﹤0.01%
379
+342
+924% +$29.5K
CLIX icon
2337
ProShares Long Online/Short Stores ETF
CLIX
$6.36M
$33K ﹤0.01%
484
+21
+5% +$1.57K
DWAS icon
2338
Invesco Dorsey Wright SmallCap Momentum ETF
DWAS
$449M
$33K ﹤0.01%
377
+7
+2% +$601
GSG icon
2339
iShares S&P GSCI Commodity-Indexed Trust
GSG
$927M
$33K ﹤0.01%
2,000
– –
HFRO
2340
Highland Opportunities and Income Fund
HFRO
$406M
$33K ﹤0.01%
3,120
+1
+0% +$11
HSBC icon
2341
HSBC
HSBC
$354B
$33K ﹤0.01%
1,288
+229
+22% +$6.24K
KCE icon
2342
State Street SPDR S&P Capital Markets ETF
KCE
$468M
$33K ﹤0.01%
352
+1
+0.3% +$96
MSM icon
2343
MSC Industrial Direct
MSM
$6.86B
$33K ﹤0.01%
413
-47
-10% -$3.99K
NXDT
2344
NexPoint Diversified Real Estate Trust
NXDT
$236M
$33K ﹤0.01%
2,427
– –
SCHR
2345
Schwab Intermediately-Term US Treasury ETF
SCHR
$13.3B
$33K ﹤0.01%
1,182
-502
-30% -$14.4K
SD icon
2346
SandRidge Energy
SD
$515M
$33K ﹤0.01%
2,612
+2,586
+9,946% +$21.4K
UPWK icon
2347
Upwork
UPWK
$1.2B
$33K ﹤0.01%
750
+378
+102% +$18.4K
JCO
2348
DELISTED
Nuveen Credit Opportunities 2022 Target Term Fund
JCO
$33K ﹤0.01%
4,075
+457
+13% +$3.78K
GMBTW
2349
DELISTED
Pivotal Holdings Corp Warrant
GMBTW
$33K ﹤0.01%
40,160
+13,166
+49% +$13.3K
IHTA
2350
DELISTED
Invesco High Income 2024 Target Term Fund
IHTA
$33K ﹤0.01%
3,373
+357
+12% +$3.51K
92 93
94
95 96

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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.