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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 Q3 2023 · Filed August 2, 2023 · Accession 0001214659-23-010626

Total Value
$913.1M
Positions
313
Other Managers
0
Confidential Omitted
No
View on SEC.gov

Holdings (313)

#IssuerTicker / CUSIPSharesValue% of Filing
1SPDR S&P 500 ETF TRSPY372,030$164.9M18.06%
2SPDR SER TR78464A5082,059,829$89.0M9.75%
3APPLE INCAAPL285,800$55.4M6.07%
4SPDR SER TR78464A409891,236$54.4M5.95%
5SPDR SER TR78464A839621,792$42.8M4.68%
6ISHARES TR46436E718324,120$32.6M3.57%
7SPDR SER TR78464A300393,069$30.3M3.32%
8SPDR SER TR78464A821417,418$29.9M3.28%
9ISHARES TR46428761489,288$24.6M2.69%
10SPDR SER TR78464A201317,310$24.4M2.67%
11MONDELEZ INTL INC609207105281,316$20.5M2.25%
12ISHARES TR464287465247,765$18.0M1.97%
13MICROSOFT CORPMSFT49,243$16.8M1.84%
14TARGET CORPTGT126,156$16.6M1.82%
15PHILIP MORRIS INTL INC718172109115,962$11.3M1.24%
16AMERIPRISE FINL INC03076C10629,846$9.9M1.09%
17ATI INCATI198,736$8.8M0.96%
18KRAFT HEINZ COKHC242,857$8.6M0.94%
19AMAZON COM INCAMZN55,460$7.2M0.79%
20FIRST TR EXCHNG TRADED FD VI33740F755268,286$6.7M0.74%
21ALTRIA GROUP INCMO144,814$6.6M0.72%
22ALPHABET INCGOOG53,873$6.4M0.71%
23ISHARES TR46428748164,956$6.3M0.69%
24VANGUARD INDEX FDS92290876927,721$6.1M0.67%
25NVIDIA CORPORATIONNVDA14,325$6.1M0.66%
26TESLA INCTSLA21,432$5.6M0.61%
27BERKSHIRE HATHAWAY INC DELBRK-A15,732$5.4M0.59%
28MCDONALDS CORPMCD13,494$4.0M0.44%
29VANGUARD SPECIALIZED FUNDS92190884424,559$4.0M0.44%
30JPMORGAN CHASE & COVYLD27,186$4.0M0.43%
31INVESCO QQQ TRIVZ9,789$3.6M0.40%
32JOHNSON & JOHNSONJNJ20,330$3.4M0.37%
33META PLATFORMS INCMETA11,201$3.2M0.35%
34ESTABLISHMENT LABS HLDGS INCESTA42,931$2.9M0.32%
35ABBVIE INCABBV21,096$2.8M0.31%
36UNITEDHEALTH GROUP INCUNH5,850$2.8M0.31%
37ISHARES TR46428759817,163$2.7M0.30%
38PROCTER AND GAMBLE CO74271810917,392$2.6M0.29%
39MERCK & CO INCMRK21,330$2.5M0.27%
40BOEING COBA-PA11,635$2.5M0.27%
41ILLINOIS TOOL WKS INC4523081099,323$2.3M0.26%
42ISHARES TR4642876229,330$2.3M0.25%
43COSTCO WHSL CORP NEW22160K1053,985$2.1M0.23%
44VISA INCV8,748$2.1M0.23%
45NETFLIX INCNFLX4,605$2.0M0.22%
46EXXON MOBIL CORPXOM18,848$2.0M0.22%
47ISHARES TR46428888520,606$2.0M0.22%
48PEPSICO INCPEP10,571$2.0M0.21%
49HONEYWELL INTL INC4385161069,327$1.9M0.21%
50LILLY ELI & COLLY4,055$1.9M0.21%
51CHEVRON CORP NEWCVX11,332$1.8M0.20%
52UNITED PARCEL SERVICE INCUPS9,868$1.8M0.19%
53ISHARES TR46428788715,127$1.7M0.19%
54HOME DEPOT INCHD5,449$1.7M0.19%
55MASTERCARD INCORPORATEDMA4,255$1.7M0.18%
56ALPHABET INCGOOG13,785$1.7M0.18%
57ABBOTT LABSABLZF15,152$1.7M0.18%
58VANGUARD INDEX FDS92290865211,011$1.6M0.18%
59WALMART INCWMT9,977$1.6M0.17%
60VANGUARD INDEX FDS9229087365,528$1.6M0.17%
61BANK MONTREAL QUE06367110116,831$1.5M0.17%
62ISHARES TR4642876557,618$1.4M0.16%
63SPDR SER TR78464A76311,279$1.4M0.15%
64EDWARDS LIFESCIENCES CORPEW14,656$1.4M0.15%
65SYSCO CORPSYY18,528$1.4M0.15%
66THERMO FISHER SCIENTIFIC INCTMO2,614$1.4M0.15%
67WELLS FARGO CO NEW94974610131,184$1.3M0.15%
68BROADCOM INCAVGO1,531$1.3M0.15%
69SPDR S&P MIDCAP 400 ETF TRMDY2,734$1.3M0.14%
70HAWKINS INCHWKN27,169$1.3M0.14%
71VERIZON COMMUNICATIONS INCVZ33,795$1.3M0.14%
72STRYKER CORPORATIONSYK4,102$1.3M0.14%
73PROGRESSIVE CORP7433151039,322$1.2M0.14%
74SALESFORCE INCCRM5,562$1.2M0.13%
75ORACLE CORPORCL-PD9,741$1.2M0.13%
76ISHARES TR46428784610,562$1.1M0.13%
77RAYTHEON TECHNOLOGIES CORPRTX11,628$1.1M0.12%
78SPDR SER TR78468R85328,995$1.1M0.12%
79DISNEY WALT CO25468710612,427$1.1M0.12%
80ADOBE SYSTEMS INCORPORATEDADBE2,254$1.1M0.12%
81PFIZER INCPFE29,978$1.1M0.12%
82INTEL CORPINTC32,553$1.1M0.12%
83CISCO SYS INCCSCO20,623$1.1M0.12%
84BANK AMERICA CORP06050510437,153$1.1M0.12%
85CATERPILLAR INCCAT4,287$1.1M0.12%
86TYSON FOODS INCTSN19,843$1.0M0.11%
87ISHARES TR4642872002,249$1.0M0.11%
88COCA COLA COKO16,340$983,9780.11%
89STARBUCKS CORPSBUX9,811$971,9180.11%
90SPDR INDEX SHS FDS78463X88929,716$966,9750.11%
91VANGUARD INDEX FDS92290855311,450$956,7460.10%
92VANGUARD SCOTTSDALE FDS92206C71413,698$948,0360.10%
93XCEL ENERGY INCXELLL15,188$944,2600.10%
94ACCENTURE PLC IRELANDACN2,990$922,6080.10%
95AMCOR PLCAMCCF91,009$908,2700.10%
96LOWES COS INC5486611073,986$899,5950.10%
97COMCAST CORP NEWCCZ21,012$873,0510.10%
98BAXTER INTL INC07181310918,408$838,6490.09%
99VANGUARD INDEX FDS9229083632,058$837,9920.09%
100WEC ENERGY GROUP INCWEC9,124$805,0960.09%
101ADVANCED MICRO DEVICES INCAMD7,048$802,8160.09%
102VANGUARD SCOTTSDALE FDS92206C77116,814$773,2670.08%
103INTERNATIONAL BUSINESS MACHSINTR5,757$770,3220.08%
104DIMENSIONAL ETF TRUST25434V70827,866$756,5620.08%
105AMERICAN EXPRESS COAXP4,306$750,1050.08%
106DEERE & CODE1,824$739,0670.08%
107DANAHER CORPORATION2358511023,077$738,4430.08%
108NEXTERA ENERGY INCNEE-PW9,342$693,1940.08%
109S&P GLOBAL INCSPGI1,630$653,4270.07%
110SCHWAB STRATEGIC TR80852420112,477$653,4070.07%
1113M COMMM6,511$651,6540.07%
112BRISTOL-MYERS SQUIBB COCELG-RI9,882$631,9780.07%
113CONOCOPHILLIPSCOP6,047$626,5760.07%
114APPLIED MATLS INC0382221054,324$624,9910.07%
115LOCKHEED MARTIN CORPLMT1,354$623,1730.07%
116KLA CORPKLAC1,278$619,9250.07%
117UNION PAC CORPUNP3,022$618,3720.07%
118ZOETIS INCZTS3,586$617,6060.07%
119SOUTHERN COSOMN8,574$602,3370.07%
120VANGUARD INDEX FDS9229085124,350$601,9690.07%
121GENERAL ELECTRIC CO3696043015,413$594,6180.07%
122ISHARES TR4642871685,161$584,7100.06%
123CINTAS CORPCTAS1,163$578,1040.06%
124ROPER TECHNOLOGIES INCROP1,202$577,9220.06%
125ISHARES TR46432F3394,254$573,7370.06%
126AT&T INCT-PC35,751$570,2290.06%
127ISHARES TR4642877621,980$554,9000.06%
128ISHARES TR4642888025,681$531,9370.06%
129BERKSHIRE HATHAWAY INC DELBRK-A1$517,8100.06%
130TEXAS INSTRS INC8825081042,870$516,6570.06%
131FISERV INCFISV4,093$516,3320.06%
132NORTHROP GRUMMAN CORPNOC1,130$515,1700.06%
133COOPER STD HLDGS INC21676P10336,000$513,3600.06%
134NXP SEMICONDUCTORS N VNXPI2,505$512,7470.06%
135LINDE PLCLIN1,345$512,5530.06%
136VANGUARD INTL EQUITY INDEX F9220427759,122$507,9170.06%
137WASTE MGMT INC DEL94106L1092,903$503,5130.06%
138BOOKING HOLDINGS INCBKNG186$502,2610.06%
139ISHARES TR4642873097,020$494,7700.05%
140MEDTRONIC PLCMDT5,606$493,9200.05%
141MORGAN STANLEYMS-PQ5,738$490,0370.05%
142VANGUARD WORLD FDS92204A7021,104$488,2860.05%
143METTLER TOLEDO INTERNATIONALMTD363$476,1250.05%
144MARSH & MCLENNAN COS INC5717481022,507$471,4540.05%
145QUALCOMM INCQCOM3,928$467,6080.05%
146DUKE ENERGY CORP NEWDUKB5,205$467,0910.05%
147CVS HEALTH CORPCVS6,701$463,2450.05%
148PAYPAL HLDGS INCPYPL6,928$462,3050.05%
149NIKE INCNKE4,100$452,5290.05%
150BLACKROCK INCBLK654$452,2200.05%
151ANALOG DEVICES INCADI2,295$447,0890.05%
152INTUITINTU973$445,8190.05%
153THE CIGNA GROUP1255231001,586$445,1090.05%
154AMGEN INCAMGN2,000$444,0410.05%
155TJX COS INC NEW8725401095,232$443,6210.05%
156GENERAL DYNAMICS CORPGD2,058$442,7460.05%
157VANGUARD WORLD FDS92204A5041,773$434,1860.05%
158BLACKSTONE INCBX4,661$433,3730.05%
159FORD MTR CO DEL34537086028,320$428,4770.05%
160PROSHARES TR74347X83110,268$420,9880.05%
161ENTERPRISE PRODS PARTNERS L29379210715,944$420,1240.05%
162VANGUARD INDEX FDS9229085382,031$417,9920.05%
163ISHARES TR4642871012,006$415,3420.05%
164KIMBERLY-CLARK CORPKMB3,001$414,3350.05%
165INTUITIVE SURGICAL INCISRG1,211$414,0890.05%
166DEXCOM INCDXCM3,203$411,6180.05%
167PROLOGIS INC.PLDGP3,349$410,6550.04%
168GOLDMAN SACHS GROUP INCGSCE1,267$408,6580.04%
169GRAPHIC PACKAGING HLDG COGPK16,960$407,5560.04%
170DISCOVER FINL SVCS2547091083,476$406,1710.04%
171SERVICENOW INCNOW714$400,9980.04%
172MARRIOTT INTL INC NEW5719032022,165$397,7070.04%
173SCHWAB STRATEGIC TR8085247975,441$395,0930.04%
174GENERAL MLS INC3703341045,135$393,8460.04%
175ISHARES TR4642872349,731$384,9460.04%
176MICROCHIP TECHNOLOGY INC.MCHPP4,228$378,7870.04%
177SCHLUMBERGER LTDSLB7,580$372,3220.04%
178SPDR SER TR78464A8056,833$371,9890.04%
179VANGUARD INDEX FDS9229086112,230$368,8480.04%
180US BANCORP DELUSB-PS11,118$367,3350.04%
181ISHARES TR4642877213,329$362,4280.04%
182MARVELL TECHNOLOGY INCMRVL6,052$361,7610.04%
183CARRIER GLOBAL CORPORATIONCARR7,254$360,5880.04%
184ELEVANCE HEALTH INCELV810$360,0240.04%
185VERISK ANALYTICS INCVRSK1,590$359,3880.04%
186GLIMPSE GROUP INCGGRP100,000$356,0000.04%
187VANGUARD INDEX FDS9229086291,612$354,8320.04%
188ISHARES TR46429B6633,516$354,3780.04%
189LAM RESEARCH CORPLRCX543$349,3650.04%
190SPDR SER TR78468R7889,395$348,3670.04%
191ISHARES TR4642888777,081$346,5440.04%
192BIO-TECHNE CORPTECH4,210$343,6620.04%
193VERTEX PHARMACEUTICALS INCVRTX975$343,1120.04%
194ALLSTATE CORPALL-PJ3,104$338,4460.04%
195CROWDSTRIKE HLDGS INCCRWD2,303$338,2420.04%
196EOG RES INCEOG2,951$337,7120.04%
197CITIGROUP INCC-PR7,326$337,2860.04%
198KEYSIGHT TECHNOLOGIES INCKEYS1,987$332,7230.04%
199BOSTON SCIENTIFIC CORPBSX6,131$331,6260.04%
200LENNAR CORPLEN-B2,615$327,6860.04%
201ISHARES TR4642888105,742$324,1930.04%
202EATON CORP PLCETN1,612$324,1730.04%
203SYNOPSYS INCSNPS744$323,9110.04%
204SPDR GOLD TRGLD1,814$323,3820.04%
205ECOLAB INCECL1,730$322,9490.04%
206ISHARES TR4642872263,290$322,2870.04%
207EMERSON ELEC COEMR3,475$314,1280.03%
208ISHARES TR4642878793,298$313,6390.03%
209ISHARES TR4642874732,843$312,3020.03%
210MARATHON PETE CORPMARA2,669$311,2280.03%
211EQUIFAX INCEFX1,322$311,0670.03%
212PARKER-HANNIFIN CORPPH797$310,8160.03%
213MOTOROLA SOLUTIONS INCMSI1,056$309,5670.03%
214INTERCONTINENTAL EXCHANGE IN45866F1042,694$304,6380.03%
215AMERICAN FINL GROUP INC OHIO0259321042,550$302,8130.03%
216HCA HEALTHCARE INCHCA988$299,8380.03%
217SPDR INDEX SHS FDS78463X5094,276$297,0890.03%
218VANGUARD INDEX FDS9229085951,292$296,8240.03%
219VANGUARD WHITEHALL FDS9219464062,808$295,0870.03%
220NICOLET BANKSHARES INCNIC4,312$292,8280.03%
221GILEAD SCIENCES INCGILD3,720$286,7160.03%
222D R HORTON INC23331A1092,326$283,1110.03%
223LAUDER ESTEE COS INC5184391041,423$279,4490.03%
224FREEPORT-MCMORAN INCFCX6,928$277,1290.03%
225ISHARES TR4642875071,037$271,0580.03%
226AUTOMATIC DATA PROCESSING INADP1,231$270,4930.03%
227ISHARES TR46429B6555,322$270,4510.03%
228GARTNER INCIT772$270,4390.03%
229COSTAR GROUP INCCSGP3,032$269,8480.03%
230MOODYS CORPMCO775$269,6280.03%
231NORFOLK SOUTHN CORP6558441081,186$268,9370.03%
232ASSURANT INCAIZN2,139$268,9150.03%
233AMERICAN INTL GROUP INC0268747844,626$266,1800.03%
234ISHARES TR4642877883,551$264,9400.03%
235FEDEX CORPFDX1,067$264,5320.03%
236AIR PRODS & CHEMS INCAIIR882$264,2130.03%
237EVERSOURCE ENERGYES3,725$264,1730.03%
238CSX CORPCSX7,745$264,0930.03%
239AMERICAN TOWER CORP NEW03027X1001,361$263,9500.03%
240EQUINIX INCEQIX330$258,7000.03%
241CROWN CASTLE INCCCI2,260$257,5090.03%
242OSHKOSH CORPOSK2,961$256,3930.03%
243T-MOBILE US INCTMUSZ1,817$252,4170.03%
244BECTON DICKINSON & COBDX956$252,3170.03%
245ARISTA NETWORKS INCANET1,549$251,0310.03%
246SELECT SECTOR SPDR TR81369Y8031,437$249,8930.03%
247AON PLCAON723$249,6030.03%
248CHURCH & DWIGHT CO INCCHD2,485$249,0720.03%
249OREILLY AUTOMOTIVE INC67103H107260$248,8370.03%
250DOMINION ENERGY INCD4,800$248,5670.03%
251ISHARES TR4642874993,392$247,7180.03%
252ISHARES TR4642878042,482$247,3660.03%
253L3HARRIS TECHNOLOGIES INCLHX1,262$247,0620.03%
254FIFTH THIRD BANCORPFITBM9,242$242,2330.03%
255AMERICAN ELEC PWR CO INC0255371012,856$240,4750.03%
256ISHARES TR464287648988$239,7480.03%
257INVESCO EXCHANGE TRADED FD TIVZ3,380$238,6830.03%
258VALERO ENERGY CORPVLO2,034$238,6380.03%
259OTTER TAIL CORPOTTR3,013$237,9060.03%
260SELECT SECTOR SPDR TR81369Y2091,790$237,6330.03%
261WATERS CORP941848103884$235,6210.03%
262TRUIST FINL CORP89832Q1097,723$234,3860.03%
263TRAVELERS COMPANIES INCTRV1,348$234,0190.03%
264FORTINET INCFTNT3,078$232,6660.03%
265FLEXSHARES TRFLEX3,577$232,1310.03%
266VERISIGN INCVRSN1,027$232,0710.03%
267EXACT SCIENCES CORP30063P1052,415$226,7780.02%
268GE HEALTHCARE TECHNOLOGIES IGEHC2,782$226,0100.02%
269ASTRAZENECA PLCAZN3,155$225,8030.02%
270MARATHON OIL CORPMARA9,785$225,2510.02%
271VANGUARD TAX-MANAGED FDS9219438584,873$225,0260.02%
272CONAGRA BRANDS INCCAG6,630$223,5640.02%
273SIMON PPTY GROUP INC NEW8288061091,932$223,0830.02%
274PALO ALTO NETWORKS INCPANW862$220,1240.02%
275RESMED INCRSMDF1,007$220,0300.02%
276SHERWIN WILLIAMS COSHW827$219,6640.02%
277VANGUARD INTL EQUITY INDEX F9220428585,387$219,1510.02%
278CHUBB LIMITEDCB1,131$217,8580.02%
279ROSS STORES INCROST1,931$216,5230.02%
280MGE ENERGY INCMGEE2,700$213,5870.02%
281UNITED RENTALS INCURI479$213,3320.02%
282POOL CORPPOOL563$210,9220.02%
283KILROY RLTY CORP49427F1087,002$210,7040.02%
284VANGUARD SCOTTSDALE FDS92206C1023,633$209,7300.02%
285CELANESE CORP DELCE1,807$209,2510.02%
286COLGATE PALMOLIVE COCL2,714$209,0840.02%
287LULULEMON ATHLETICA INCLULU552$208,9320.02%
288GABELLI EQUITY TR INCGAB-PK36,000$208,8000.02%
289DELTA AIR LINES INC DELDAL4,388$208,5960.02%
290VANGUARD SCOTTSDALE FDS92206C6802,946$208,4880.02%
291JOHNSON CTLS INTL PLCG515021053,059$208,4090.02%
292DEVON ENERGY CORP NEW25179M1034,296$207,6690.02%
293ALLIANT ENERGY CORPLNT3,940$206,7520.02%
294CHARTER COMMUNICATIONS INC N16119P108561$206,0950.02%
295QUANTA SVCS INC74762E1021,047$205,7670.02%
296EXELON CORPEXC5,036$205,1830.02%
297UNUM GROUPUNMA4,295$204,8550.02%
298TRANSDIGM GROUP INCTDG229$204,3850.02%
299CADENCE DESIGN SYSTEM INCCDNS863$202,3910.02%
300NVENT ELECTRIC PLCNVT3,917$202,3910.02%
301ISHARES TR46434V4565,679$202,1720.02%
302AGILENT TECHNOLOGIES INCA1,675$201,4340.02%
303CHIPOTLE MEXICAN GRILL INCCMG94$201,0660.02%
304AFLAC INCAFL2,865$200,0020.02%
305WARNER BROS DISCOVERY INCWBD13,571$170,1800.02%
306CNH INDL N VN2094410910,775$155,1600.02%
307KEYCORP49326710811,440$105,7030.01%
308WRAP TECHNOLOGIES INCWRAP37,092$54,1540.01%
309LUMEN TECHNOLOGIES INCLUMN16,621$37,5630.00%
310WORKHORSE GROUP INCWKHS42,665$37,1870.00%
311NOVO-NORDISK A SNONOF100$16,1830.00%
312POLYMET MNG CORP73191640919,361$15,2170.00%
313AMDOCS LTDDOX4$3850.00%