NorthRock Partners, LLC

Q3 2023 13F-HR Holdings

Location
Minneapolis, MN
Holdings as of
9/30/2023
Date filed
10/24/2023
Form type
13F-HR
Num holdings
354
Total value ($000)
$958,578
Net value change ($000)
+45,459 (5.0%)
New positions
55
Sold out positions
18
Turnover %
2.7%
Sector allocation + QoQ delta (equities-only)
Prev filing: 8/2/2023 Next filing: 4/22/2025 SEC filing

Snapshot: Change Analysis

Compared to Q2 2023
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)
SGOV 22,437 68.8%
SCHX 6,903 1057.1%
SCHM 2,181 NEW
SHY 1,716 NEW
MSFT 1,549 9.2%
GOOGL 1,478 22.9%
SCHWAB STRATEGIC TRUST 1,379 NEW
SCHA 1,144 NEW
BRK-B 1,140 21.2%
IEI 1,113 NEW
Top Reduces (Value $000, Stocks/ETFs)
SPY -5,687 -3.4%
AAPL -3,940 -7.1%
SPYV -3,508 -3.9%
TGT -2,404 -14.4%
SLYV -2,313 -7.6%
MDYV -1,875 -4.4%
SLYG -1,777 -7.3%
SYY -1,375 -100.0%
IWF -1,362 -5.5%
EFA -1,229 -6.8%
Instrument mix + QoQ Δ (ex-options)
Derivatives reported exposure ($000): 2,274 (0.2% 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