NorthRock Partners, LLC

Q1 2020 13F-HR Holdings

Location
Minneapolis, MN
Holdings as of
3/31/2020
Date filed
5/13/2020
Form type
13F-HR
Num holdings
200
Total value ($000)
$714,034
Net value change ($000)
-232,630 (-24.6%)
New positions
13
Sold out positions
93
Turnover %
8.1%
Sector allocation + QoQ delta (equities-only)
Prev filing: 2/12/2020 Next filing: 8/13/2020 SEC filing

Snapshot: Change Analysis

Compared to Q4 2019
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
SPYV 18,921 57.6%
FSK 3,544 NEW
ABT 3,313 329.7%
OBDC 2,722 NEW
SPYG 1,961 6.5%
ABBV 1,460 45.0%
ARCC 1,256 NEW
SCHK 939 NEW
MDYG 745 4.4%
OPRX 294 NEW
Top Reduces (Value $000, Stocks/ETFs)
MDLZ -23,330 -43.8%
SPYD -19,711 -100.0%
SPY -17,069 -12.5%
IWD -9,557 -32.8%
IWF -8,993 -25.6%
HDV -6,838 -62.7%
VYM -6,626 -71.3%
IVV -6,054 -50.8%
MO -5,617 -28.1%
IWP -5,580 -34.3%
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type