NorthRock Partners, LLC

Q4 2020 13F-HR Holdings

Location
Minneapolis, MN
Holdings as of
12/31/2020
Date filed
2/8/2021
Form type
13F-HR
Num holdings
233
Total value ($000)
$1,014,765
Net value change ($000)
+113,134 (12.5%)
New positions
28
Sold out positions
24
Turnover %
1.4%
Sector allocation + QoQ delta (equities-only)
Prev filing: 11/12/2020 Next filing: 5/11/2021 SEC filing

Snapshot: Change Analysis

Compared to Q3 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)
SPY 19,848 12.3%
SPYV 14,251 19.0%
SLYV 13,196 36.1%
MDYV 11,723 28.2%
JPST 9,498 311.4%
SLYG 9,494 32.5%
SPYG 8,922 17.9%
MDYG 7,140 24.5%
AAPL 4,482 9.2%
TGT 3,896 12.0%
Top Reduces (Value $000, Stocks/ETFs)
AMP -2,883 -26.4%
T -1,424 -35.6%
AMZN -1,161 -17.8%
IWF -959 -3.0%
MDLZ -712 -1.5%
ED -604 -35.6%
KHC -581 -10.4%
AZN -551 -51.0%
PINS -459 -100.0%
VZ -397 -13.7%
Instrument mix + QoQ Δ (ex-options)
Derivatives reported exposure ($000): 446 (0.0% of total reported value)
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