RF
Rockefeller Financial Services Inc Historical SEC 13F Holdings & Archive (Q4 2017)
Rockefeller Financial Services IncCIK: 0000869878
Diversified strategyMomentum followerQuality / disciplined sizing
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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Personality snowflake
- Concentration
- 5.89
- Portfolio Stability
- 38.54
- Momentum
- 100
- Sector conviction
- 46.98
- Diversification
- 100
- Sizing Uniformity
- 74.09
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.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd 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
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
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% |
1–50 of 200
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2017 Q4 | 734 | $6.3B | 39 | ||
| 2017 Q3 | 759 | $5.3B | 14 | ||
| 2017 Q2 | 657 | $5.0B | 13 | ||
| 2017 Q1 | 678 | $5.0B | 16 | ||
| 2016 Q4 | 733 | $4.9B | 25 | ||
| 2016 Q3 | 669 | $4.8B | 27 | ||
| 2016 Q2 | 682 | $5.0B | 25 | ||
| 2016 Q1 | 829 | $5.2B | 22 | ||
| 2015 Q4 | 775 | $5.1B | 29 | ||
| 2015 Q3 | 751 | $4.9B | 29 | ||
| 2015 Q2 | 686 | $4.8B | 16 | ||
| 2015 Q1 | 771 | $4.6B | 22 | ||
| 2014 Q4 | 690 | $4.6B | 29 | ||
| 2014 Q3 | 708 | $4.5B | 26 | ||
| 2014 Q2 | 884 | $4.4B | 32 | ||
| 2014 Q1 | 750 | $4.6B | 21 | ||
| 2013 Q4 | 755 | $4.6B | 25 | ||
| 2013 Q3 | 742 | $4.3B | 22 | ||
| 2013 Q2 | 725 | $4.2B | 0 |
Holding changes this quarter
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 |
💡
Data Source Notice: AlphaSMO is the web's most authoritative 13F / Inside Trader database. Institutional holdings and insider trades presented here are precisely computed to deliver accurate portfolio reporting.
Filing History
FAQ
What is Rockefeller Financial Services Inc and what type of investor is it?
Rockefeller Financial Services Inc is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2017-12-31), the firm manages a tracked equity portfolio valued at approximately $6.3B, spread across 734 disclosed positions.
What are Rockefeller Financial Services Inc's largest equity positions?
Based on the latest 13F filing, Rockefeller Financial Services Inc's top holdings by market value are:
1. Southwest Airlines Co (LUV) — $235.7M (3.7%)
2. Comcast Corp-class A (CMCSA) — $206.3M (3.3%)
3. Jpmorgan Chase & Co (JPM) — $191.2M (3.0%)
4. Alphabet Inc-cl C (GOOG) — $183.0M (2.9%)
5. Visa Inc-class A Shares (V) — $179.4M (2.8%)
What changes did Rockefeller Financial Services Inc make in its most recent portfolio filing?
In the latest reported quarter, Rockefeller Financial Services Inc made 50 notable position adjustments: 2 new positions were initiated, 34 existing holdings were added to, 13 positions were partially reduced, and 1 were completely exited. The largest of these moves: 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%
What sectors does Rockefeller Financial Services Inc focus on?
Rockefeller Financial Services Inc is concentrated in the following sectors based on its current disclosed equity portfolio:
• Communication Services: 22.4%
• Financials: 20.7%
• Health Care: 13.9%
• Industrials: 12.2%
• Consumer Discretionary: 10.6%
• Information Technology: 10.0%
Investment Profile
Rockefeller Financial Services Inc's portfolio is broadly diversified and moderately active.
It has added to its CMCSA position over the past two quarters (+$204.1M, now $206.3M), while trimming ORCL over the same stretch (-$119.5M, still holding $41.7M).
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Developer Access
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