NorthRock Partners, LLC
- SEC CIK
- 0001632097
- 最新申報
- 2026/8/11
2021 年第 4 季持倉
持倉截至 2021/12/31，2022/2/7 申報。只含多頭部位，變化是跟 2021 年第 3 季比股數。
- 持股檔數
- 333
- 較 2021 年第 3 季 +54
- 總值
- $13.3 億
- 較 2021 年第 3 季 +$1.12 億 (+9.1%)
| 證券 | 類別 | 股數 | 市值 | 佔組合 % | 股數變化 | 動作 | 紀錄 |
|---|---|---|---|---|---|---|---|
| SPYSPDR S&P 500 ETF Trust | ETF | 549,123 | $2.61 億 | 19.5% | +11,660+2.2% | 加碼 | 歷史 |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | 2,886,049 | $1.21 億 | 9.1% | +48,433+1.7% | 加碼 | – |
| State Street SPDR Portfolio S&P 500 Growth ETF78464A409 | ETF | 1,291,408 | $9,359 萬 | 7.0% | +9,598+0.7% | 加碼 | – |
| AAPLApple Inc. | Stock | 443,478 | $7,875 萬 | 5.9% | +16,475+3.9% | 加碼 | 歷史 |
| State Street SPDR S&P 400 Mid Cap Value ETF78464A839 | ETF | 949,176 | $6,749 萬 | 5.1% | +5,975+0.6% | 加碼 | – |
| State Street SPDR S&P 600 Small Cap Value ETF78464A300 | ETF | 708,967 | $6,006 萬 | 4.5% | +5,409+0.8% | 加碼 | – |
| SPDR Series Trust78464A201 | ST STR SP600GRWO | 554,771 | $5,149 萬 | 3.9% | +13,205+2.4% | 加碼 | – |
| SPDR Series Trust78464A821 | ST STR SP400GRW | 618,558 | $5,043 萬 | 3.8% | +15,551+2.6% | 加碼 | – |
| MDLZMondelez International, Inc. | Stock | 706,268 | $4,683 萬 | 3.5% | +1650.0% | 加碼 | 歷史 |
| iShares Russell 1000 Growth ETF464287614 | ETF | 118,999 | $3,637 萬 | 2.7% | −603−0.5% | 減碼 | – |
| TGTTarget Corp | Stock | 146,634 | $3,394 萬 | 2.5% | −27,535−15.8% | 減碼 | 歷史 |
| PMPhilip Morris International Inc. | Stock | 283,339 | $2,692 萬 | 2.0% | +1,977+0.7% | 加碼 | 歷史 |
| MSFTMicrosoft Corp | Stock | 51,773 | $1,741 萬 | 1.3% | +6,244+13.7% | 加碼 | 歷史 |
| MOAltria Group, Inc. | Stock | 298,065 | $1,413 萬 | 1.1% | −4,184−1.4% | 減碼 | 歷史 |
| JPMorgan Ultra-Short Income ETF46641Q837 | ETF | 277,047 | $1,399 萬 | 1.0% | −153,525−35.7% | 減碼 | – |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 54,069 | $1,305 萬 | 1.0% | −1,350−2.4% | 減碼 | – |
| iShares Russell Mid-Cap Growth ETF464287481 | ETF | 94,012 | $1,083 萬 | 0.8% | −1,338−1.4% | 減碼 | – |
| AMZNAmazon Com Inc | Stock | 2,983 | $994.5 萬 | 0.7% | +46+1.6% | 加碼 | 歷史 |
| ABBVAbbVie Inc. | Stock | 71,003 | $961.4 萬 | 0.7% | +2,421+3.5% | 加碼 | 歷史 |
| OBDCBlue Owl Capital Corp | COM | 640,153 | $906.5 萬 | 0.7% | +1,416+0.2% | 加碼 | 歷史 |
| AMPAmeriprise Financial Inc | COM | 29,213 | $881.2 萬 | 0.7% | −14,006−32.4% | 減碼 | 歷史 |
| GOOGLAlphabet Inc. | Stock | 2,934 | $850.1 萬 | 0.6% | +233+8.6% | 加碼 | 歷史 |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 42,922 | $737.2 萬 | 0.6% | −802−1.8% | 減碼 | – |
| TSLATesla, Inc. | Stock | 6,728 | $711.0 萬 | 0.5% | +771+12.9% | 加碼 | 歷史 |
| iShares Russell 1000 Value ETF464287598 | ETF | 36,172 | $607.4 萬 | 0.5% | +1,298+3.7% | 加碼 | – |
| Vanguard S&P 500 ETF922908363 | ETF | 13,699 | $598.1 萬 | 0.4% | +715+5.5% | 加碼 | – |
| JNJJohnson & Johnson | Stock | 34,957 | $598.0 萬 | 0.4% | +2,790+8.7% | 加碼 | 歷史 |
| Invesco QQQ Trust Series I46090E103 | ETF | 13,767 | $547.7 萬 | 0.4% | +1,977+16.8% | 加碼 | – |
| BRK.BBerkshire Hathaway Inc | Stock | 17,694 | $529.0 萬 | 0.4% | +775+4.6% | 加碼 | 歷史 |
| PGProcter & Gamble Co | Stock | 30,083 | $492.1 萬 | 0.4% | +4,557+17.9% | 加碼 | 歷史 |
| iShares S&P Small-Cap 600 Growth ETF464287887 | ETF | 33,862 | $470.0 萬 | 0.4% | −1,317−3.7% | 減碼 | – |
| JPMJPMorgan Chase & Co | Stock | 28,645 | $453.6 萬 | 0.3% | +2,727+10.5% | 加碼 | 歷史 |
| iShares Tr464288885 | EAFE GRWTH ETF | 37,502 | $413.6 萬 | 0.3% | +54+0.1% | 加碼 | – |
| KHCKraft Heinz Co | Stock | 114,247 | $410.1 萬 | 0.3% | −351−0.3% | 減碼 | 歷史 |
| ABTAbbott Laboratories | Stock | 28,957 | $407.5 萬 | 0.3% | +2,337+8.8% | 加碼 | 歷史 |
| PEPPepsiCo Inc | Stock | 22,086 | $383.7 萬 | 0.3% | +7,905+55.7% | 加碼 | 歷史 |
| INTCIntel Corp | Stock | 73,735 | $379.7 萬 | 0.3% | −16,990−18.7% | 減碼 | 歷史 |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 20,054 | $366.7 萬 | 0.3% | 00.0% | 不變 | – |
| MCDMcDonalds Corp | Stock | 12,640 | $338.8 萬 | 0.3% | +1,441+12.9% | 加碼 | 歷史 |
| UNHUnitedHealth Group Inc | Stock | 6,647 | $333.8 萬 | 0.3% | +255+4.0% | 加碼 | 歷史 |
| METAMeta Platforms, Inc. | Stock | 9,279 | $312.1 萬 | 0.2% | +34+0.4% | 加碼 | 歷史 |
| NVDANVIDIA Corp | Stock | 10,474 | $308.0 萬 | 0.2% | +599+6.1% | 加碼 | 歷史 |
| BABoeing Co | Stock | 15,239 | $306.8 萬 | 0.2% | +931+6.5% | 加碼 | 歷史 |
| ESTAEstablishment Labs Holdings Inc. | COM | 42,931 | $290.2 萬 | 0.2% | 00.0% | 不變 | 歷史 |
| Vanguard Morningstar Growth ETF922908736 | ETF | 8,921 | $286.3 萬 | 0.2% | +178+2.0% | 加碼 | – |
| DISWalt Disney Co | Stock | 18,269 | $283.0 萬 | 0.2% | +3,297+22.0% | 加碼 | 歷史 |
| SPDR Series Trust78464A763 | ST STR SP DIV | 18,777 | $242.5 萬 | 0.2% | +402+2.2% | 加碼 | – |
| ITWIllinois Tool Works Inc | Stock | 9,650 | $238.2 萬 | 0.2% | +1,636+20.4% | 加碼 | 歷史 |
| GOOGAlphabet Inc. | Stock | 805 | $233.1 萬 | 0.2% | +156+24.0% | 加碼 | 歷史 |
| HONHoneywell International Inc | COM | 10,959 | $228.5 萬 | 0.2% | +1,854+20.4% | 加碼 | 歷史 |
| NFLXNetflix Inc | Stock | 3,743 | $225.5 萬 | 0.2% | +368+10.9% | 加碼 | 歷史 |
| BACBank of America Corp | Stock | 50,673 | $225.4 萬 | 0.2% | +6,939+15.9% | 加碼 | 歷史 |
| HDHome Depot, Inc. | Stock | 5,377 | $223.1 萬 | 0.2% | +1,224+29.5% | 加碼 | 歷史 |
| EWEdwards Lifesciences Corp | Stock | 17,044 | $220.8 萬 | 0.2% | +383+2.3% | 加碼 | 歷史 |
| IBMInternational Business Machines Corp | Stock | 15,949 | $213.2 萬 | 0.2% | −10,802−40.4% | 減碼 | 歷史 |
| COSTCostco Wholesale Corp | Stock | 3,729 | $211.7 萬 | 0.2% | +1,322+54.9% | 加碼 | 歷史 |
| VZVerizon Communications Inc | Stock | 39,979 | $207.7 萬 | 0.2% | −772−1.9% | 減碼 | 歷史 |
| iShares Tr464287846 | DOW JONES US ETF | 17,598 | $207.4 萬 | 0.2% | 00.0% | 不變 | – |
| ATIAti Inc | Stock | 129,046 | $205.6 萬 | 0.2% | +250+0.2% | 加碼 | 歷史 |
| CSCOCisco Systems, Inc. | Stock | 31,690 | $200.8 萬 | 0.2% | +6,336+25.0% | 加碼 | 歷史 |
| SPDR Ser Tr78464A813 | S&P 600 SML CAP | 20,055 | $199.4 萬 | 0.1% | +50+0.2% | 加碼 | – |
| MDYSPDR S&P Midcap 400 ETF Trust | ETF | 3,793 | $196.4 萬 | 0.1% | +760+25.1% | 加碼 | 歷史 |
| PFEPfizer Inc | Stock | 33,185 | $196.0 萬 | 0.1% | +6,079+22.4% | 加碼 | 歷史 |
| Vanguard Ftse All-World Ex-US Index Fund922042775 | ETF | 30,734 | $189.8 萬 | 0.1% | +2,999+10.8% | 加碼 | – |
| BAXBaxter International Inc | Stock | 21,542 | $184.9 萬 | 0.1% | +933+4.5% | 加碼 | 歷史 |
| VVisa Inc. | Stock | 8,392 | $181.9 萬 | 0.1% | +3,432+69.2% | 加碼 | 歷史 |
| BMOBank of Montreal | COM | 16,495 | $177.8 萬 | 0.1% | −889−5.1% | 減碼 | 歷史 |
| WFCWells Fargo & Company | Stock | 36,643 | $175.8 萬 | 0.1% | −8,895−19.5% | 減碼 | 歷史 |
| iShares MSCI Eafe ETF464287465 | ETF | 22,265 | $175.2 萬 | 0.1% | +13,785+162.6% | 加碼 | – |
| SBUXStarbucks Corp | Stock | 14,841 | $173.6 萬 | 0.1% | +1,128+8.2% | 加碼 | 歷史 |
| Schwab Strategic Tr808524722 | 1000 INDEX ETF | 35,201 | $164.0 萬 | 0.1% | −254−0.7% | 減碼 | – |
| HWKNHawkins Inc | COM | 40,372 | $159.3 萬 | 0.1% | −1,451−3.5% | 減碼 | 歷史 |
| KOCoca Cola Co | Stock | 25,280 | $149.7 萬 | 0.1% | +3,364+15.3% | 加碼 | 歷史 |
| MMM3M Co | Stock | 8,404 | $149.3 萬 | 0.1% | +930+12.4% | 加碼 | 歷史 |
| TMOThermo Fisher Scientific Inc. | Stock | 2,203 | $147.0 萬 | 0.1% | +848+62.6% | 加碼 | 歷史 |
| SYKStryker Corp | Stock | 5,417 | $144.9 萬 | 0.1% | +937+20.9% | 加碼 | 歷史 |
| SOSouthern Co | Stock | 20,746 | $142.3 萬 | 0.1% | −309−1.5% | 減碼 | 歷史 |
| MRKMerck & Co., Inc. | Stock | 18,020 | $138.1 萬 | 0.1% | −7,646−29.8% | 減碼 | 歷史 |
| TAT&T Inc. | Stock | 54,783 | $134.8 萬 | 0.1% | +10,281+23.1% | 加碼 | 歷史 |
| ARCCAres Capital Corp | CEF | 62,435 | $132.3 萬 | 0.1% | −3,268−5.0% | 減碼 | 歷史 |
| Vanguard Real Estate ETF922908553 | ETF | 11,103 | $128.8 萬 | 0.1% | +4,802+76.2% | 加碼 | – |
| XOMExxonMobil Holdings Corp | COM | 20,960 | $128.3 萬 | 0.1% | +1,078+5.4% | 加碼 | 歷史 |
| CVXChevron Corp | Stock | 10,860 | $127.4 萬 | 0.1% | +476+4.6% | 加碼 | 歷史 |
| PYPLPayPal Holdings, Inc. | Stock | 6,600 | $124.5 萬 | 0.1% | −2,227−25.2% | 減碼 | 歷史 |
| LOWLowes Companies Inc | Stock | 4,757 | $123.0 萬 | 0.1% | +659+16.1% | 加碼 | 歷史 |
| DHRDanaher Corp | Stock | 3,710 | $122.1 萬 | 0.1% | +1,588+74.8% | 加碼 | 歷史 |
| iShares Core S&P 500 ETF464287200 | ETF | 2,510 | $119.7 萬 | 0.1% | +180+7.7% | 加碼 | – |
| RTXRTX Corp | Stock | 13,766 | $118.5 萬 | 0.1% | −206−1.5% | 減碼 | 歷史 |
| QCOMQualcomm Inc | Stock | 6,341 | $116.0 萬 | 0.1% | −2,003−24.0% | 減碼 | 歷史 |
| ADBEAdobe Inc. | Stock | 2,042 | $115.8 萬 | 0.1% | +1,474+259.5% | 加碼 | 歷史 |
| iShares Tr464287762 | US HLTHCARE ETF | 3,847 | $115.6 萬 | 0.1% | +203+5.6% | 加碼 | – |
| iShares Tr464288877 | EAFE VALUE ETF | 22,644 | $114.1 萬 | 0.1% | −1,653−6.8% | 減碼 | – |
| iShares Tr464287234 | MSCI EMG MKT ETF | 23,306 | $113.8 萬 | 0.1% | +18,920+431.4% | 加碼 | – |
| NKENIKE, Inc. | Stock | 6,758 | $112.6 萬 | 0.1% | −862−11.3% | 減碼 | 歷史 |
| Vanguard Scottsdale FDS92206C714 | VNG RUS1000VAL | 15,275 | $112.6 萬 | 0.1% | −31−0.2% | 減碼 | – |
| LLYEli Lilly & Co | Stock | 3,943 | $108.9 萬 | 0.1% | +1,166+42.0% | 加碼 | 歷史 |
| WBAWalgreens Boots Alliance, Inc. | COM | 20,857 | $108.8 萬 | 0.1% | +4,671+28.9% | 加碼 | 歷史 |
| iShares Tr464288802 | ESG OPTIMIZED | 9,577 | $101.8 萬 | 0.1% | +1,501+18.6% | 加碼 | – |
| iShares Select Dividend ETF464287168 | ETF | 8,247 | $101.1 萬 | 0.1% | −197−2.3% | 減碼 | – |
| MAMastercard Inc | Stock | 2,787 | $100.1 萬 | 0.1% | +218+8.5% | 加碼 | 歷史 |
選擇權（4 檔）
同一份申報裡的賣權（put）與買權（call）。金額是標的股票的市值，也就是 13F 申報的數字。
| 證券 | 類別 | 賣權 | 買權 |
|---|---|---|---|
| Viacomcbs Inc92556H907 | CALL | – | $6.00 萬 |
| Westrock Co96145D905 | CALL | – | $4.40 萬 |
| Rite Aid Corp767754902 | CALL | – | $1.80 萬 |
| Eros STX Global CorporationG3788M904 | CALL | – | $1,000 |
2021 年第 3 季之後清倉（29 檔）
2021 年第 3 季季末還持有、這份申報已經沒有的部位。
| 證券 | 類別 | 2021 年第 3 季股數 | 2021 年第 3 季市值 | 2021 年第 3 季佔組合 % | 紀錄 |
|---|---|---|---|---|---|
| QCLSQ/C Technologies, Inc. | COM | 1,354,004 | $974.9 萬 | 0.8% | 歷史 |
| SPDR Gold Tr78463V907 | CALL | 10,000 | $164.2 萬 | 0.1% | – |
| Barrick Gold Corp067901908 | CALL | 60,000 | $108.3 萬 | 0.1% | – |
| SNOWSnowflake Inc. | Stock | 3,569 | $107.9 萬 | 0.1% | 歷史 |
| QUMUQumu Corp | COM | 230,100 | $77.6 萬 | 0.1% | 歷史 |
| SMSISmith Micro Software, Inc. | COM NEW | 138,596 | $67.1 萬 | 0.1% | 歷史 |
| APOApollo Global Management, Inc. | COM CL A | 10,000 | $61.6 萬 | 0.1% | 歷史 |
| FANGDiamondback Energy, Inc. | Stock | 5,509 | $52.2 萬 | <0.1% | 歷史 |
| PTPIPetros Pharmaceuticals, Inc. | COM | 115,295 | $43.1 萬 | <0.1% | 歷史 |
| FEFirstenergy Corp | COM | 11,870 | $42.3 萬 | <0.1% | 歷史 |
| SLBSLB Limited | Stock | 13,283 | $39.4 萬 | <0.1% | 歷史 |
| UUnity Software Inc. | COM | 3,050 | $38.5 萬 | <0.1% | 歷史 |
| XLRNAcceleron Pharma Inc | COM | 2,200 | $37.9 萬 | <0.1% | 歷史 |
| REGNRegeneron Pharmaceuticals, Inc. | COM | 589 | $35.6 萬 | <0.1% | 歷史 |
| TTWOTake Two Interactive Software Inc | COM | 2,113 | $32.6 萬 | <0.1% | 歷史 |
| CCitigroup Inc | Stock | 4,578 | $32.1 萬 | <0.1% | 歷史 |
| HMHCHoughton Mifflin Harcourt Co | COM | 20,651 | $27.7 萬 | <0.1% | 歷史 |
| FSKFS KKR Capital Corp | COM | 12,447 | $27.4 萬 | <0.1% | 歷史 |
| BNTXBioNTech SE | SPONSORED ADS | 1,000 | $27.3 萬 | <0.1% | 歷史 |
| HALHalliburton Co | Stock | 12,464 | $26.9 萬 | <0.1% | 歷史 |
| AEOAmerican Eagle Outfitters Inc | COM | 10,000 | $25.8 萬 | <0.1% | 歷史 |
| TWTRTwitter, Inc. | COM | 3,569 | $21.6 萬 | <0.1% | 歷史 |
| Paramount Global92556H206 | CL B | 5,432 | $21.5 萬 | <0.1% | – |
| MODVModivCare Inc | COM | 1,179 | $21.4 萬 | <0.1% | 歷史 |
| iShares S&P Mid-Cap 400 Value ETF464287705 | ETF | 2,058 | $21.2 萬 | <0.1% | – |
| CRWDCrowdStrike Holdings, Inc. | Stock | 687 | $20.7 萬 | <0.1% | 歷史 |
| PMCBPharmaCyte Biotech, Inc. | COM NEW | 37,164 | $11.8 萬 | <0.1% | 歷史 |
| Polymet MNG Corp731916409 | COM NEW | 18,312 | $5.60 萬 | <0.1% | – |
| ADILAdial Pharmaceuticals, Inc. | COM | 10,000 | $4.30 萬 | <0.1% | 歷史 |