NorthRock Partners, LLC

Q3 2020 13F-HR Holdings

Location
Minneapolis, MN
Holdings as of
9/30/2020
Date filed
11/12/2020
Form type
13F-HR
Num holdings
222
Total value ($000)
$901,631
Net value change ($000)
+57,506 (6.8%)
New positions
27
Sold out positions
16
Turnover %
2.4%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/13/2020 Next filing: 2/8/2021 SEC filing

Snapshot: Change Analysis

Compared to Q2 2020
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)
MDLZ 18,116 63.6%
TGT 9,636 42.0%
SPY 8,935 5.8%
AAPL 8,789 21.9%
OBDC 4,742 137.8%
FSK 4,696 NEW
SPYG 4,459 9.8%
JPST 3,050 NEW
ABT 2,536 NEW
MDYG 2,412 9.0%
Top Reduces (Value $000, Stocks/ETFs)
VGT -8,941 -97.1%
EFV -4,288 -20.7%
DEM -3,583 -26.4%
XOM -2,119 -71.8%
IVV -1,665 -56.1%
HDV -1,239 -66.0%
BA -1,159 -38.8%
VUG -860 -27.3%
VEU -724 -36.5%
NFLX -687 -35.9%
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