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VOL. XII · NO. 117Established MMXIV · George Town, Grand CaymanAtlantic Edition · $4.50

The Cayman Journal

Finance · Business · Technology · Caribbean & Global Affairs
13F HOLDINGS REPORT

NorthRock Partners, LLC

Quarter ended Q1 2023 · Filed February 1, 2023 · Accession 0001214659-23-001420

Total Value
$878.6M
Positions
342
Other Managers
0
Confidential Omitted
No
View on SEC.gov

Holdings (342)

#IssuerTicker / CUSIPSharesValue% of Filing
1SPDR S&P 500 ETF TRSPY410,774$157.1M17.88%
2SPDR SER TR78464A5082,132,345$82.9M9.44%
3APPLE INCAAPL392,902$51.0M5.81%
4SPDR SER TR78464A409911,006$46.2M5.25%
5SPDR SER TR78464A839660,152$42.7M4.86%
6SPDR SER TR78464A300447,798$33.2M3.78%
7MONDELEZ INTL INC609207105488,588$32.6M3.71%
8SPDR SER TR78464A821442,465$28.9M3.29%
9SPDR SER TR78464A201361,617$26.1M2.97%
10ISHARES TR464287465324,878$21.3M2.43%
11ISHARES TR46428761496,071$20.6M2.34%
12PHILIP MORRIS INTL INC718172109141,193$14.3M1.63%
13MICROSOFT CORPMSFT57,357$13.8M1.57%
14TARGET CORPTGT68,984$10.3M1.17%
15AMERIPRISE FINL INC03076C10627,181$8.5M0.96%
16FIRST TR EXCHNG TRADED FD VI33740F755306,945$6.8M0.78%
17KRAFT HEINZ COKHC165,050$6.7M0.76%
18ALTRIA GROUP INCMO140,976$6.4M0.73%
19ISHARES TR46428748171,747$6.0M0.68%
20VANGUARD INDEX FDS92290876931,228$6.0M0.68%
21BERKSHIRE HATHAWAY INC DELBRK-A17,808$5.5M0.63%
22ALPHABET INCGOOG62,052$5.5M0.62%
23AMAZON COM INCAMZN64,063$5.4M0.61%
24ISHARES TR46428765525,904$4.5M0.51%
25JOHNSON & JOHNSONJNJ25,177$4.4M0.51%
26VANGUARD INDEX FDS92290836312,051$4.2M0.48%
27VANGUARD SPECIALIZED FUNDS92190884427,369$4.2M0.47%
28ABBVIE INCABBV25,450$4.1M0.47%
29UNITEDHEALTH GROUP INCUNH7,745$4.1M0.47%
30JPMORGAN CHASE & COVYLD29,537$4.0M0.45%
31MCDONALDS CORPMCD13,824$3.6M0.41%
32ATI INCATI118,211$3.5M0.40%
33NVIDIA CORPORATIONNVDA23,215$3.4M0.39%
34ISHARES TR46428762214,303$3.0M0.34%
35PROCTER AND GAMBLE CO74271810919,731$3.0M0.34%
36ISHARES TR46428759819,234$2.9M0.33%
37INVESCO QQQ TRIVZ10,753$2.9M0.33%
38ESTABLISHMENT LABS HLDGS INCESTA42,931$2.8M0.32%
39EXXON MOBIL CORPXOM21,044$2.3M0.26%
40TESLA INCTSLA18,818$2.3M0.26%
41MERCK & CO INCMRK20,685$2.3M0.26%
42CHEVRON CORP NEWCVX12,611$2.3M0.26%
43HONEYWELL INTL INC43851610610,389$2.2M0.25%
44VISA INCV10,637$2.2M0.25%
45HOME DEPOT INCHD6,850$2.2M0.25%
46PEPSICO INCPEP11,950$2.2M0.25%
47BOEING COBA-PA11,118$2.1M0.24%
48COSTCO WHSL CORP NEW22160K1054,300$2.0M0.22%
49LILLY ELI & COLLY5,182$1.9M0.22%
50SYSCO CORPSYY24,620$1.9M0.21%
51ILLINOIS TOOL WKS INC4523081098,438$1.9M0.21%
52MASTERCARD INCORPORATEDMA5,211$1.8M0.21%
53ABBOTT LABSABLZF16,396$1.8M0.20%
54SPDR S&P MIDCAP 400 ETF TRMDY3,997$1.8M0.20%
55PFIZER INCPFE34,530$1.8M0.20%
56BANK AMERICA CORP06050510452,910$1.8M0.20%
57UNITED PARCEL SERVICE INCUPS10,025$1.7M0.20%
58ISHARES TR46428788716,045$1.7M0.20%
59ISHARES TR46428888520,498$1.7M0.20%
60META PLATFORMS INCMETA13,833$1.7M0.19%
61NETFLIX INCNFLX5,540$1.6M0.19%
62SPDR SER TR78464A76312,968$1.6M0.18%
63TYSON FOODS INCTSN24,625$1.5M0.17%
64BANK MONTREAL QUE06367110116,864$1.5M0.17%
65VANGUARD INDEX FDS92290865211,342$1.5M0.17%
66ISHARES TR4642872003,893$1.5M0.17%
67THERMO FISHER SCIENTIFIC INCTMO2,653$1.5M0.17%
68WELLS FARGO CO NEW94974610134,733$1.4M0.16%
69COCA COLA COKO22,463$1.4M0.16%
70ALPHABET INCGOOG16,022$1.4M0.16%
71CATERPILLAR INCCAT5,878$1.4M0.16%
72CISCO SYS INCCSCO27,898$1.3M0.15%
73RAYTHEON TECHNOLOGIES CORPRTX13,149$1.3M0.15%
74VANGUARD INDEX FDS9229087366,148$1.3M0.15%
75ISHARES TR46428868742,478$1.3M0.15%
76XCEL ENERGY INCXELLL17,866$1.3M0.14%
77VERIZON COMMUNICATIONS INCVZ31,281$1.2M0.14%
78WALMART INCWMT8,624$1.2M0.14%
79VANGUARD INDEX FDS92290855314,678$1.2M0.14%
80HAWKINS INCHWKN30,882$1.2M0.14%
81STARBUCKS CORPSBUX11,675$1.2M0.13%
82NEW FORTRESS ENERGY INCNFE26,950$1.1M0.13%
83AMCOR PLCAMCCF93,298$1.1M0.13%
84INTEL CORPINTC41,737$1.1M0.13%
85ISHARES TR46428784611,632$1.1M0.12%
86OWL ROCK CAPITAL CORPORATIONOWL92,230$1.1M0.12%
87EDWARDS LIFESCIENCES CORPEW14,225$1.1M0.12%
88DEERE & CODE2,466$1.1M0.12%
89DANAHER CORPORATION2358511023,952$1.0M0.12%
90NEXTERA ENERGY INCNEE-PW12,337$1.0M0.12%
91SPDR SER TR78464A81312,535$1.0M0.12%
92INTERNATIONAL BUSINESS MACHSINTR7,125$1.0M0.11%
93WEC ENERGY GROUP INCWEC10,643$997,9280.11%
94VANGUARD SCOTTSDALE FDS92206C71414,714$979,6900.11%
95STRYKER CORPORATIONSYK4,006$979,4270.11%
96DISNEY WALT CO25468710611,116$965,7510.11%
97ADOBE SYSTEMS INCORPORATEDADBE2,835$954,0630.11%
98WALGREENS BOOTS ALLIANCE INC93142710825,273$944,2000.11%
99COMCAST CORP NEWCCZ26,611$930,6010.11%
100LOWES COS INC5486611074,625$921,4610.10%
101ISHARES TR4642877623,185$903,6160.10%
102BAXTER INTL INC07181310917,722$903,2970.10%
103LOCKHEED MARTIN CORPLMT1,843$896,3580.10%
104BROADCOM INCAVGO1,575$880,4990.10%
105CENTRAL GARDEN & PET COCENTA24,574$879,7490.10%
1063M COMMM7,309$876,5430.10%
107ORACLE CORPORCL-PD10,589$865,5730.10%
108SPDR INDEX SHS FDS78463X88929,074$863,2010.10%
109CONOCOPHILLIPSCOP7,149$843,5240.10%
110BRISTOL-MYERS SQUIBB COCELG-RI11,578$833,0370.09%
111AT&T INCT-PC43,984$809,7450.09%
112ISHARES TR4642871686,328$763,1790.09%
113TEXAS INSTRS INC8825081044,608$761,2820.09%
114VANGUARD SCOTTSDALE FDS92206C77116,560$753,7920.09%
115AMGEN INCAMGN2,823$741,3220.08%
116ACCENTURE PLC IRELANDACN2,748$733,3900.08%
117ISHARES TR46432F3396,363$725,1270.08%
118MORGAN STANLEYMS-PQ8,359$710,6820.08%
119GRAPHIC PACKAGING HLDG COGPK31,742$706,2600.08%
120AMERICAN EXPRESS COAXP4,775$705,5060.08%
121SOUTHERN COSOMN9,781$698,4310.08%
122BLACKROCK INCBLK981$694,8490.08%
123NORTHROP GRUMMAN CORPNOC1,271$693,4700.08%
124GENERAL DYNAMICS CORPGD2,784$690,8200.08%
125ELEVANCE HEALTH INCELV1,334$684,1670.08%
126DIMENSIONAL ETF TRUST25434V70827,866$676,5860.08%
127CIGNA CORP NEW1255231002,026$671,2210.08%
128SALESFORCE INCCRM5,027$666,5400.08%
129DUKE ENERGY CORP NEWDUKB6,335$652,4280.07%
130NIKE INCNKE5,558$650,3970.07%
131STITCH FIX INCSFIX206,436$642,0160.07%
132ISHARES TR4642876482,969$636,9100.07%
133ENTERPRISE PRODS PARTNERS L29379210725,998$627,0830.07%
134QUALCOMM INCQCOM5,662$622,4470.07%
135CVS HEALTH CORPCVS6,393$595,7840.07%
136S&P GLOBAL INCSPGI1,778$595,4480.07%
137VANGUARD INDEX FDS9229085124,341$587,0460.07%
138METTLER TOLEDO INTERNATIONALMTD401$579,6250.07%
139AUTOMATIC DATA PROCESSING INADP2,420$578,0850.07%
140CINTAS CORPCTAS1,264$570,8480.06%
141SCHWAB STRATEGIC TR80852420112,477$563,3250.06%
142APPLIED MATLS INC0382221055,771$561,9800.06%
143ISHARES TR46428887712,227$560,9750.06%
144UNION PAC CORPUNP2,661$550,9480.06%
145GENERAL ELECTRIC CO3696043018,397$549,0630.06%
146VANGUARD WHITEHALL FDS9219464065,140$547,8670.06%
147LINDE PLCLIN1,673$545,6990.06%
148INTUITIVE SURGICAL INCISRG2,032$539,2400.06%
149SPDR SER TR78468R78813,364$528,9470.06%
150INTUITINTU1,357$528,1720.06%
151ISHARES TR4642874734,875$513,5760.06%
152MARSH & MCLENNAN COS INC5717481023,100$512,9440.06%
153SCHWAB STRATEGIC TR8085247976,782$512,2910.06%
154FISERV INCFISV5,066$512,0210.06%
155TJX COS INC NEW8725401096,373$507,2910.06%
156ADVANCED MICRO DEVICES INCAMD7,788$504,4230.06%
157VANGUARD INTL EQUITY INDEX F9220427759,784$495,0320.06%
158ALLSTATE CORPALL-PJ3,596$487,6070.06%
159TRUIST FINL CORP89832Q10911,238$483,5710.06%
160ISHARES TR4642878045,083$481,0960.05%
161VANGUARD WORLD FDS92204A7021,501$479,3710.05%
162WASTE MGMT INC DEL94106L1093,039$476,7350.05%
163LAUDER ESTEE COS INC5184391041,906$472,8980.05%
164PRUDENTIAL FINL INCPUKPF4,722$469,6600.05%
165BERKSHIRE HATHAWAY INC DELBRK-A1$468,7110.05%
166GENERAL MLS INC3703341045,564$466,5310.05%
167ISHARES TR4642873097,950$465,0750.05%
168KIMBERLY-CLARK CORPKMB3,423$464,7150.05%
169ISHARES TR4642888025,615$462,2400.05%
170DEXCOM INCDXCM4,037$457,1500.05%
171US BANCORP DELUSB-PS10,394$453,2930.05%
172KLA CORPKLAC1,194$450,2080.05%
173VANGUARD INDEX FDS9229085382,500$449,4630.05%
174GENERAL MTRS CO37045V10013,179$443,3550.05%
175ZOETIS INCZTS2,994$438,7710.05%
176PROLOGIS INC.PLDGP3,885$437,9560.05%
177AMERICAN INTL GROUP INC0268747846,852$433,3300.05%
178SCHLUMBERGER LTDSLB8,049$430,2960.05%
179PAYPAL HLDGS INCPYPL6,009$427,9610.05%
180EMERSON ELEC COEMR4,444$426,9230.05%
181DISCOVER FINL SVCS2547091084,348$425,3650.05%
182AMERICAN TOWER CORP NEW03027X1002,007$425,2300.05%
183BLACKSTONE INCBX5,622$417,0990.05%
184AMERICAN FINL GROUP INC OHIO0259321043,020$414,5860.05%
185LAM RESEARCH CORPLRCX985$414,0320.05%
186GILEAD SCIENCES INCGILD4,773$409,7920.05%
187CROWN CASTLE INCCCI3,018$409,2970.05%
188MARATHON OIL CORPMARA15,005$406,1850.05%
189GOLDMAN SACHS GROUP INCGSCE1,175$403,3430.05%
190BOOKING HOLDINGS INCBKNG197$397,0100.05%
191NICOLET BANKSHARES INCNIC4,970$396,5560.05%
192MOTOROLA SOLUTIONS INCMSI1,538$396,4230.05%
193FMC CORPFMC3,122$389,6410.04%
194FORD MTR CO DEL34537086033,406$388,5100.04%
195NXP SEMICONDUCTORS N VNXPI2,455$388,0320.04%
196DOLLAR GEN CORP NEW2566771051,562$384,7590.04%
197VALERO ENERGY CORPVLO3,026$383,8890.04%
198INTERCONTINENTAL EXCHANGE IN45866F1043,741$383,7890.04%
199KEYSIGHT TECHNOLOGIES INCKEYS2,217$379,2620.04%
200ISHARES TR4642888107,158$376,2960.04%
201MODERNA INCMRNA2,075$372,7120.04%
202COOPER STD HLDGS INC21676P10341,000$371,4600.04%
203FIDELITY NATL INFORMATION SV31620M1065,432$368,5610.04%
204SPDR SER TR78464A8057,777$367,7740.04%
205VANGUARD INDEX FDS9229085951,832$367,3890.04%
206ISHARES TR46429B6633,516$366,5080.04%
207SERVICENOW INCNOW941$365,2120.04%
208ROPER TECHNOLOGIES INCROP844$364,6840.04%
209METLIFE INCMET-PF5,039$364,6510.04%
210SEMPRASREA2,334$360,7440.04%
211MARATHON PETE CORPMARA3,092$359,8830.04%
212EOG RES INCEOG2,778$359,8070.04%
213EATON CORP PLCETN2,278$357,5320.04%
214BIO-TECHNE CORPTECH4,305$356,7940.04%
215MSCI INCMSCI764$355,3900.04%
216ISHARES TR4642871012,083$355,2650.04%
217CITIGROUP INCC-PR7,833$354,2700.04%
218VANGUARD INDEX FDS9229086112,224$353,2450.04%
219COSTAR GROUP INCCSGP4,561$352,4740.04%
220AGILENT TECHNOLOGIES INCA2,333$349,2080.04%
221CHUBB LIMITEDCB1,581$348,8780.04%
222ANALOG DEVICES INCADI2,112$346,4310.04%
223AMERICAN ELEC PWR CO INC0255371013,623$344,0040.04%
224ISHARES TR4642872349,022$341,9340.04%
225VANGUARD WORLD FDS92204A5041,352$335,3640.04%
226ETSY INCETSY2,799$335,2640.04%
227GARTNER INCIT994$334,1230.04%
228MARRIOTT INTL INC NEW5719032022,244$334,1160.04%
229PARKER-HANNIFIN CORPPH1,129$328,5390.04%
230HCA HEALTHCARE INCHCA1,369$328,5050.04%
231BOSTON SCIENTIFIC CORPBSX7,088$327,9620.04%
232L3HARRIS TECHNOLOGIES INCLHX1,569$326,6810.04%
233VERTEX PHARMACEUTICALS INCVRTX1,129$326,0330.04%
234ISHARES TR4642875071,346$325,5750.04%
235MICROCHIP TECHNOLOGY INC.MCHPP4,632$325,3980.04%
236LENNAR CORPLEN-B3,595$325,3480.04%
237AON PLCAON1,081$324,4420.04%
238PIONEER NAT RES CO7237871071,408$321,6370.04%
239DELTA AIR LINES INC DELDAL9,780$321,3800.04%
240T-MOBILE US INCTMUSZ2,262$316,6640.04%
241ISHARES TR4642878793,449$314,9560.04%
242WATERS CORP941848103918$314,4880.04%
243ISHARES TR4642872263,237$313,9950.04%
244ARES CAPITAL CORPARCC16,954$313,1400.04%
245MARVELL TECHNOLOGY INCMRVL8,432$312,3320.04%
246UNITED AIRLS HLDGS INCUNTCW8,199$309,1020.04%
247ISHARES TR46434V4569,517$308,2560.04%
248PROGRESSIVE CORP7433151032,373$307,8020.04%
249SPDR GOLD TRGLD1,814$307,7270.04%
250GLIMPSE GROUP INCGGRP100,000$303,0000.03%
251ROSS STORES INCROST2,605$302,3620.03%
252SYNOPSYS INCSNPS943$301,0900.03%
253ISHARES TR4642877214,029$300,1200.03%
254ISHARES TR4642877052,966$298,9730.03%
255MOODYS CORPMCO1,064$296,5560.03%
256SPDR INDEX SHS FDS78463X5094,598$281,1590.03%
257VANGUARD INDEX FDS9229086291,359$276,8830.03%
258PHILLIPS 66PSX2,657$276,5410.03%
259TRAVELERS COMPANIES INCTRV1,472$275,9850.03%
260EQUIFAX INCEFX1,401$272,2980.03%
261AMPHENOL CORP NEW0320951013,574$272,1080.03%
262EPAM SYS INCEPAM830$272,0240.03%
263OREILLY AUTOMOTIVE INC67103H107321$270,9340.03%
264SELECT SECTOR SPDR TR81369Y8032,172$270,3350.03%
265CHARTER COMMUNICATIONS INC N16119P108794$269,2450.03%
266ISHARES TR4642874993,990$269,1060.03%
267ISHARES TR4642877883,551$267,9940.03%
268EXELON CORPEXC6,182$267,2490.03%
269STATE STR CORPSTT-PG3,424$265,5820.03%
270HUMANA INCHUM516$264,1800.03%
271REGENERON PHARMACEUTICALSREGN366$264,0650.03%
272IDEXX LABS INC45168D104647$263,9500.03%
273ISHARES TR4642898756,936$263,6370.03%
274ISHARES TR46429B6555,205$261,9580.03%
275CARRIER GLOBAL CORPORATIONCARR6,322$260,7700.03%
276CONAGRA BRANDS INCCAG6,734$260,6060.03%
277VANGUARD INTL EQUITY INDEX F9220428586,667$259,8670.03%
278ISHARES TR4642876063,785$258,5160.03%
279PNC FINL SVCS GROUP INC6934751051,622$256,2170.03%
280VANGUARD SCOTTSDALE FDS92206C6804,645$256,0050.03%
281CDW CORPCDW1,430$255,3690.03%
282EVERSOURCE ENERGYES3,023$253,4360.03%
283AIR PRODS & CHEMS INCAIIR822$253,3900.03%
284VANGUARD INDEX FDS9229087441,800$252,6280.03%
285RESMED INCRSMDF1,207$251,2130.03%
286DIMENSIONAL ETF TRUST25434V6095,694$250,2410.03%
287ULTA BEAUTY INCULTA533$250,0140.03%
288JOHNSON CTLS INTL PLCG515021053,903$249,8210.03%
289CENTENE CORP DELCNC3,037$249,0640.03%
290AFLAC INCAFL3,450$248,2070.03%
291NASDAQ INCNDAQ4,026$246,9950.03%
292HP INCHPQ9,147$245,7890.03%
293ARISTA NETWORKS INCANET2,020$245,1270.03%
294FREEPORT-MCMORAN INCFCX6,449$245,0800.03%
295ISHARES TR4642885882,574$245,0460.03%
296NORFOLK SOUTHN CORP655844108993$244,6950.03%
297OSHKOSH CORPOSK2,759$243,3160.03%
298DEVON ENERGY CORP NEW25179M1033,933$241,9420.03%
299GENUINE PARTS COGPC1,386$240,4480.03%
300PUBLIC SVC ENTERPRISE GRP IN7445731063,912$239,6880.03%
301MEDTRONIC PLCMDT3,081$239,4570.03%
302SIMON PPTY GROUP INC NEW8288061092,033$238,8120.03%
303BEST BUY INCBBY2,955$237,0550.03%
304CUMMINS INCCMI963$233,3250.03%
305DTE ENERGY CODTK1,965$230,9030.03%
306D R HORTON INC23331A1092,555$227,7530.03%
307TRANE TECHNOLOGIES PLCTT1,342$225,5770.03%
308VERISK ANALYTICS INCVRSK1,277$225,2880.03%
309RAYMOND JAMES FINL INC7547301092,106$225,0010.03%
310DUPONT DE NEMOURS INCDD3,198$219,4930.02%
311TE CONNECTIVITY LTDTEL1,904$218,5790.02%
312MGE ENERGY INCMGEE3,097$218,0630.02%
313ECOLAB INCECL1,495$217,6610.02%
314UNITED RENTALS INCURI609$216,4510.02%
315DOW INCDOW4,226$212,9480.02%
316UNUM GROUPUNMA5,187$212,8160.02%
317COLGATE PALMOLIVE COCL2,696$212,4230.02%
318FLEXSHARES TRFLEX3,514$212,0310.02%
319OTTER TAIL CORPOTTR3,602$211,4910.02%
320DIGITAL RLTY TR INC2538681032,100$210,6050.02%
321CSX CORPCSX6,737$208,7050.02%
322ON SEMICONDUCTOR CORPON3,315$206,7570.02%
323POOL CORPPOOL678$204,9800.02%
324IQVIA HLDGS INCIQV998$204,4340.02%
325CADENCE DESIGN SYSTEM INCCDNS1,266$203,3700.02%
326AVERY DENNISON CORPAVY1,123$203,2630.02%
327BECTON DICKINSON & COBDX797$202,5570.02%
328NOVARTIS AGNVSEF2,230$202,3480.02%
329INVESCO EXCHANGE TRADED FD TIVZ3,380$201,9210.02%
330CONSTELLATION ENERGY CORPCEG2,335$201,3030.02%
331SHERWIN WILLIAMS COSHW843$200,0690.02%
332GABELLI EQUITY TR INCGAB-PK36,000$197,2800.02%
333PROSHARES TR74347X83110,168$175,9060.02%
334CNH INDL N VN2094410910,775$173,0470.02%
335WARNER BROS DISCOVERY INCWBD10,659$101,0470.01%
336LUMEN TECHNOLOGIES INCLUMN13,662$71,3160.01%
337WRAP TECHNOLOGIES INCWRAP37,092$62,6850.01%
338POLYMET MNG CORP73191640919,106$51,0440.01%
339WORKHORSE GROUP INCWKHS27,590$41,9370.00%
340WHEELS UP EXPERIENCE INCWSUPW26,315$27,1040.00%
341SORRENTO THERAPEUTICS INC83587F20219,055$16,8830.00%
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