CIK: 0000869878
Total reported value
$6.3B
Reporting period: 2017-12-31 · Number of holdings: 734
ROCKEFELLER FINANCIAL SERVICES INC disclosed 734 holdings in its latest 13F filing for the period ending 2017-12-31, with total reported value of $6.3B and a quarterly turnover rate of 38.5%.
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Rockefeller Financial Services INC's disclosed holdings carry a Herfindahl concentration index of 0.015 — mathematically equivalent to about 68 equally-sized positions, well below its 734 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes vary widely across the portfolio (a coefficient of variation of 2.59), with a handful of outsized bets alongside many smaller positions.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 45% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Add CMCSA
+4476.3% $202.0M
Trim ORCL
-72.0% -$110.6M
Add CMA
+14008.7% $124.7M
Trim ABT
-86.3% -$99.5M
Add DGX
+741981.0% $122.8M
Add MDT
+2695.0% $106.6M
Showing top 200 holdings (of 734 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | LUV | Southwest Airlines Co | Stock-Industrials | 3.72% | +0.32% | +12.79% | |
| 2 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 3.26% | +3.18% | +4476.28% | |
| 3 | JPM | Jpmorgan Chase & Co | Stock-Financials | 3.02% | -0.24% | -0.35% | |
| 4 | GOOG | Alphabet Inc-cl C | Stock-Comm Services | 2.89% | -0.29% | +0.36% | |
| 5 | V | Visa Inc-class A Shares | Stock-Financials | 2.83% | -0.09% | +7.90% | |
| 6 | WFC | Wells Fargo & Co | Stock-Financials | 2.62% | +0.54% | +37.89% | |
| 7 | META | Meta Platforms Inc-class A | Stock-Comm Services | 2.57% | -0.93% | -14.24% | |
| 8 | MSFT | Microsoft CORP | Stock-Tech | 2.39% | -0.11% | +0.36% | |
| 9 | RCL | Royal Caribbean Cruises Ltd. | Stock-Consumer Disc | 2.20% | — | -1.17% | |
| 10 | AMZN | Amazon.com INC | Stock-Consumer Disc | 2.02% | +0.11% | +4.91% | |
| 11 | CMA | Comerica INC | Stock-Other | 1.98% | +1.97% | +14008.72% | |
| 12 | DGX | Quest Diagnostics INC | Stock-Healthcare | 1.94% | +1.94% | +741980.95% | |
| 13 | ROST | Ross Stores INC | Stock-Consumer Disc | 1.86% | +1.86% | NEW | |
| 14 | SYF | Synchrony Financial | Stock-Financials | 1.83% | +0.50% | +32.67% | |
| 15 | CVS | Cvs Health CORP | Stock-Healthcare | 1.80% | -0.59% | +1.73% | |
| 16 | BP | Bp Plc-spons Adr | Stock-Energy | 1.76% | +0.17% | +21.93% | |
| 17 | MDT | Medtronic plc | Stock-Healthcare | 1.74% | +1.67% | +2695.02% | |
| 18 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 1.66% | — | -3.17% | |
| 19 | COP | Conocophillips | Stock-Energy | 1.63% | +0.03% | +12.57% | |
| 20 | RGA | Reinsurance Group Of America | Stock-Financials | 1.63% | -0.07% | +3.15% | |
| 21 | ITW | Illinois Tool Works | Stock-Industrials | 1.62% | -0.13% | -0.66% | |
| 22 | CERNCHF | Cerner CORP | Stock-Other | 1.51% | — | -0.53% | |
| 23 | BIIB | Biogen INC | Stock-Healthcare | 1.44% | -0.11% | +10.32% | |
| 24 | ✓ | Shire PLC | Stock-Other | 1.42% | — | -1.98% | |
| 25 | XOM | Exxon Mobil CORP | Stock-Energy | 1.38% | -0.08% | +11.86% | |
| 26 | BDX | Becton Dickinson And Co | Stock-Healthcare | 1.36% | -0.48% | -18.37% | |
| 27 | NVS | Novartis Ag-sponsored Adr | Stock-Healthcare | 1.33% | — | -4.76% | |
| 28 | UAL | United Airlines Holdings INC | Stock-Industrials | 1.29% | +0.22% | +31.20% | |
| 29 | NKE | Nike INC -cl B | Stock-Consumer Disc | 1.17% | — | -0.21% | |
| 30 | AWK | American Water Works Co INC | Stock-Utilities | 1.03% | +0.02% | +9.63% | |
| 31 | KMI | Kinder Morgan INC | Stock-Energy | 1.03% | — | -1.04% | |
| 32 | VYX | Ncr Voyix CORP | Stock-Tech | 1.02% | +0.23% | +72.45% | |
| 33 | ILMN | Illumina INC | Stock-Healthcare | 0.97% | — | -16.88% | |
| 34 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.89% | +0.16% | +36.52% | |
| 35 | WOO | Foot Locker INC | Stock-Other | 0.88% | +0.07% | -1.62% | |
| 36 | CVX | Chevron CORP | Stock-Energy | 0.83% | +0.09% | +26.90% | |
| 37 | VMBS | Vanguard Mortgage-backed Sec | ETF-Other | 0.82% | — | -0.14% | |
| 38 | REGN | Regeneron Pharmaceuticals | Stock-Healthcare | 0.78% | — | +7.09% | |
| 39 | CCL1EUR | Carnival CORP LTD | Stock-Consumer Disc | 0.77% | — | +1.05% | |
| 40 | FITB | Fifth Third Bancorp | Stock-Financials | 0.77% | +0.38% | +118.92% | |
| 41 | IBN | Icici Bank Ltd-spon Adr | Stock-Financials | 0.74% | +0.02% | +8.55% | |
| 42 | CX | Cemex Sab-spons Adr Part Cer | Stock-Other | 0.73% | — | +3.70% | |
| 43 | EFA | Ishares Msci Eafe ETF | ETF-Other | 0.70% | — | -1.19% | |
| 44 | ORCL | Oracle CORP | Stock-Tech | 0.66% | -2.24% | -71.99% | |
| 45 | CTRA | Coterra Energy INC | Stock-Energy | 0.58% | — | +5.69% | |
| 46 | INGN | Inogen INC | Stock-Other | 0.57% | — | +0.91% | |
| 47 | HCSG | Healthcare Services Group | Stock-Other | 0.56% | — | +9.06% | |
| 48 | KT | Kt Corp-sp Adr | Stock-Other | 0.56% | +0.11% | +32.57% | |
| 49 | ABMDEUR | Abiomed INC | Stock-Other | 0.56% | — | -2.12% | |
| 50 | IPGP | Ipg Photonics CORP | Stock-Tech | 0.55% | — | -5.52% |
Not enough priced holdings yet to compute performance
| Period | Holdings | Total value | Stability | Top holdings |
|---|---|---|---|---|
| 2017-12-31 | 734 | $6.3B | 39 | |
| 2017-09-30 | 759 | $5.3B | 14 | |
| 2017-06-30 | 657 | $5.0B | 13 | |
| 2017-03-31 | 678 | $5.0B | 16 | |
| 2016-12-31 | 733 | $4.9B | 25 | |
| 2016-09-30 | 669 | $4.8B | 27 | |
| 2016-06-30 | 682 | $5.0B | 25 | |
| 2016-03-31 | 829 | $5.2B | 22 | |
| 2015-12-31 | 775 | $5.1B | 29 | |
| 2015-09-30 | 751 | $4.9B | 29 | |
| 2015-06-30 | 686 | $4.8B | 16 | |
| 2015-03-31 | 771 | $4.6B | 22 | |
| 2014-12-31 | 690 | $4.6B | 29 | |
| 2014-09-30 | 708 | $4.5B | 26 | |
| 2014-06-30 | 884 | $4.4B | 32 | |
| 2014-03-31 | 750 | $4.6B | 21 | |
| 2013-12-31 | 755 | $4.6B | 25 | |
| 2013-09-30 | 742 | $4.3B | 22 | |
| 2013-06-30 | 725 | $4.2B | 0 |
Rockefeller Financial Services INC's most significant position changes for 2017-12-31: New buy: Ross Stores INC (ROST); New buy: Plains Gp Holdings Lp-cl A (PAGP); Sold out: Digitalglobe INC; Add: Comcast Corp-class A (CMCSA) — shares +4476.28%; Trim: Oracle CORP (ORCL) — shares -71.99%.
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | CMCSA | Comcast Corp-class A | +3.2% | +4476.28% | Add |
| 2 | CMA | Comerica INC | +2% | +14008.72% | Add |
| 3 | DGX | Quest Diagnostics INC | +1.9% | +741980.95% | Add |
| 4 | MDT | Medtronic plc | +1.7% | +2695.02% | Add |
| 5 | WFC | Wells Fargo & Co | +0.5% | +37.89% | Add |
| 6 | SYF | Synchrony Financial | +0.5% | +32.67% | Add |
| 7 | FITB | Fifth Third Bancorp | +0.4% | +118.92% | Add |
| 8 | LUV | Southwest Airlines Co | +0.3% | +12.79% | Add |
| 9 | ONCEEUR | Spark Therapeutics INC | +0.3% | +27904.98% | Add |
| 10 | VYX | Ncr Voyix CORP | +0.2% | +72.45% | Add |
| 11 | UAL | United Airlines Holdings INC | +0.2% | +31.20% | Add |
| 12 | HD | Home Depot INC | +0.2% | +99.53% | Add |
| 13 | BP | Bp Plc-spons Adr | +0.2% | +21.93% | Add |
| 14 | GOOGL | Alphabet Inc-cl A | +0.2% | +36.52% | Add |
| 15 | EWJ | Ishares Msci Japan ETF | +0.2% | +1059.16% | Add |
| 16 | MCD | Mcdonald's CORP | +0.1% | +243.53% | Add |
| 17 | AMZN | Amazon.com INC | +0.1% | +4.91% | Add |
| 18 | KT | Kt Corp-sp Adr | +0.1% | +32.57% | Add |
| 19 | MRK | Merck & Co. INC. | +0.1% | +94.75% | Add |
| 20 | SLM | Slm CORP | +0.1% | +87.45% | Add |
| 21 | CVX | Chevron CORP | +0.1% | +26.90% | Add |
| 22 | JNJ | Johnson & Johnson | +0.1% | +49.07% | Add |
| 23 | PODD | Insulet CORP | +0.1% | +15.53% | Add |
| 24 | CRI | Carter's INC | +0.1% | +21.25% | Add |
| 25 | WOO | Foot Locker INC | +0.1% | -1.62% | Trim |
| 26 | COP | Conocophillips | 0% | +12.57% | Add |
| 27 | AWK | American Water Works Co INC | 0% | +9.63% | Add |
| 28 | IBN | Icici Bank Ltd-spon Adr | 0% | +8.55% | Add |
| 29 | NKE | Nike INC -cl B | — | -0.21% | Trim |
| 30 | RGA | Reinsurance Group Of America | -0.1% | +3.15% | Add |
| 31 | XOM | Exxon Mobil CORP | -0.1% | +11.86% | Add |
| 32 | V | Visa Inc-class A Shares | -0.1% | +7.90% | Add |
| 33 | MSFT | Microsoft CORP | -0.1% | +0.36% | Add |
| 34 | BIIB | Biogen INC | -0.1% | +10.32% | Add |
| 35 | ITW | Illinois Tool Works | -0.1% | -0.66% | Trim |
| 36 | TIP | Ishares Tips Bond ETF | -0.2% | -75.77% | Trim |
| 37 | JPM | Jpmorgan Chase & Co | -0.2% | -0.35% | Trim |
| 38 | GOOG | Alphabet Inc-cl C | -0.3% | +0.36% | Add |
| 39 | RARE | Ultragenyx Pharmaceutical In | -0.4% | -99.35% | Trim |
| 40 | BDX | Becton Dickinson And Co | -0.5% | -18.37% | Trim |
| 41 | CVS | Cvs Health CORP | -0.6% | +1.73% | Add |
| 42 | WEC | Wec Energy Group INC | -0.7% | -63.01% | Trim |
| 43 | META | Meta Platforms Inc-class A | -0.9% | -14.24% | Trim |
| 44 | BIDU | Baidu INC - Spon Adr | -1.3% | -90.48% | Trim |
| 45 | PNR | Pentair plc | -1.4% | -98.09% | Trim |
| 46 | ABT | Abbott Laboratories | -2% | -86.25% | Trim |
| 47 | ORCL | Oracle CORP | -2.2% | -71.99% | Trim |
| 48 | ROST | Ross Stores INC | — | NEW | New buy |
| 49 | PAGP | Plains Gp Holdings Lp-cl A | — | NEW | New buy |
| 50 | ✓ | Digitalglobe INC | — | EXIT | Sold out |
| Period | Filed | Type | EDGAR |
|---|---|---|---|
| 2017-12-31 | 2018-02-02 | 13F-HR | View on EDGAR |
| 2017-09-30 | 2017-10-20 | 13F-HR | View on EDGAR |
| 2017-06-30 | 2017-07-18 | 13F-HR | View on EDGAR |
| 2017-03-31 | 2017-04-28 | 13F-HR | View on EDGAR |
| 2016-12-31 | 2017-01-19 | 13F-HR | View on EDGAR |
| 2016-09-30 | 2016-10-28 | 13F-HR | View on EDGAR |
| 2016-06-30 | 2016-07-20 | 13F-HR | View on EDGAR |
| 2016-03-31 | 2016-04-28 | 13F-HR | View on EDGAR |
| 2015-12-31 | 2016-02-03 | 13F-HR | View on EDGAR |
| 2015-09-30 | 2015-10-23 | 13F-HR | View on EDGAR |
| 2015-06-30 | 2015-07-14 | 13F-HR | View on EDGAR |
| 2015-03-31 | 2015-05-05 | 13F-HR | View on EDGAR |
| 2014-12-31 | 2015-01-28 | 13F-HR | View on EDGAR |
| 2014-09-30 | 2014-11-05 | 13F-HR | View on EDGAR |
| 2014-06-30 | 2014-07-25 | 13F-HR | View on EDGAR |
| 2014-03-31 | 2014-05-05 | 13F-HR | View on EDGAR |
| 2013-12-31 | 2014-02-03 | 13F-HR | View on EDGAR |
| 2013-09-30 | 2013-10-25 | 13F-HR | View on EDGAR |
| 2013-06-30 | 2013-08-06 | 13F-HR | View on EDGAR |
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