RM
Rocky Mountain Private Wealth Management, L.L.C. Historical SEC 13F Holdings & Archive (Q3 2016)
Rocky Mountain Private Wealth Management, L.L.C.CIK: 0001581594
Sector-focusedConcentrated strategyQuality / disciplined sizing
Total reported value
$136.0K
Reporting period: 2016-09-30 · Number of holdings: 23
Rocky Mountain Private Wealth Management, L.L.C. disclosed 23 holdings in its latest 13F filing for the period ending 2016-09-30, with total reported value of $136.0K and a quarterly turnover rate of 24.7%.
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Personality snowflake
- Concentration
- 77.34
- Portfolio Stability
- 24.66
- Momentum
- 50
- Sector conviction
- 100
- Diversification
- 46
- Sizing Uniformity
- 81.02
Rocky Mountain Private Wealth Management, L.L.C.'s disclosed holdings carry a Herfindahl concentration index of 0.193 — mathematically equivalent to about 5 equally-sized positions, well below its 23 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 1.90), 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 67% 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
0.0% $1.0K
Add TXN
0.0% $2.0K
Add AIEUR
0.0% $1.0K
Add HPE
0.0% $1.0K
Add MCHP
0.0% $1.0K
Add ZTS
0.0% $1.0K
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | CMCSA | Comcast Corp-class A | Stock-Comm Services | 40.44% | +5.82% | — | |
| 2 | TXN | Texas Instruments Inc | Stock-Tech | 10.29% | +2.60% | — | |
| 3 | HPE | Hewlett Packard Enterprise | Stock-Tech | 5.15% | +1.30% | — | |
| 4 | AIEUR | Arlington Asset Investment-a | Stock-Other | 5.15% | +1.30% | — | |
| 5 | ORCL | Oracle CORP | Stock-Tech | 5.15% | +0.02% | — | |
| 6 | MO | Altria Group Inc | Stock-Consumer Staples | 4.41% | +0.56% | — | |
| 7 | MCHP | Microchip Technology Inc | Stock-Tech | 4.41% | +1.20% | — | |
| 8 | DUK | Duke Energy Corporation | Stock-Utilities | 4.41% | +0.56% | — | |
| 9 | HPQ | Hp Inc | Stock-Tech | 3.68% | +1.12% | — | |
| 10 | ZTS | Zoetis Inc | Stock-Healthcare | 3.68% | +1.12% | — | |
| 11 | T | At&t Inc | Stock-Comm Services | 2.94% | +0.38% | — | |
| 12 | ROCK | Gibraltar Industries Inc | Stock-Other | 2.21% | +0.29% | — | |
| 13 | CVX | Chevron CORP | Stock-Energy | 2.21% | +0.29% | — | |
| 14 | PFE | Pfizer Inc | Stock-Healthcare | 2.21% | +0.29% | — | |
| 15 | AEP | American Electric Power Company, Inc. | Stock-Utilities | 1.47% | -0.45% | — | |
| 16 | VTY | Verint Systems Inc | Stock-Other | 0.74% | +0.10% | — | |
| 17 | ET | Energy Transfer LP | Stock-Energy | 0.74% | +0.10% | — | |
| 18 | PBI | Pitney Bowes Inc | Stock-Other | 0.74% | +0.10% | — | |
| 19 | ISSC | Innovative Solutions & Supp | Stock-Other | — | — | — | |
| 20 | STRL | Sterling Infrastructure Inc | Stock-Industrials | — | — | — | |
| 21 | CC | Chemours Co/the | Stock-Materials | — | — | — | |
| 22 | DISCKUSD | Discovery Inc-c | Stock-Other | — | — | — | |
| 23 | AVPUSD | Avon Products Inc | Stock-Other | — | — | — |
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Rocky Mountain Private Wealth Management, L.L.C.'s most significant position changes for 2016-09-30: Sold out: Apple Inc (AAPL); Sold out: Strategy Inc (MSTR); Sold out: Adtran Inc (ADTNEUR); Sold out: Xura Inc Com; Sold out: Southern Co/the (SO).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | CMCSA | Comcast Corp-class A | +5.8% | — | Unchanged |
| 2 | TXN | Texas Instruments Inc | +2.6% | — | Unchanged |
| 3 | AIEUR | Arlington Asset Investment-a | +1.3% | — | Unchanged |
| 4 | HPE | Hewlett Packard Enterprise | +1.3% | — | Unchanged |
| 5 | MCHP | Microchip Technology Inc | +1.2% | — | Unchanged |
| 6 | ZTS | Zoetis Inc | +1.1% | — | Unchanged |
| 7 | HPQ | Hp Inc | +1.1% | — | Unchanged |
| 8 | DUK | Duke Energy Corporation | +0.6% | — | Unchanged |
| 9 | MO | Altria Group Inc | +0.6% | — | Unchanged |
| 10 | T | At&t Inc | +0.4% | — | Unchanged |
| 11 | CVX | Chevron CORP | +0.3% | — | Unchanged |
| 12 | PFE | Pfizer Inc | +0.3% | — | Unchanged |
| 13 | ROCK | Gibraltar Industries Inc | +0.3% | — | Unchanged |
| 14 | VTY | Verint Systems Inc | +0.1% | — | Unchanged |
| 15 | ET | Energy Transfer LP | +0.1% | — | Unchanged |
| 16 | PBI | Pitney Bowes Inc | +0.1% | — | Unchanged |
| 17 | ORCL | Oracle CORP | 0% | — | Unchanged |
| 18 | DISCKUSD | Discovery Inc-c | — | — | Unchanged |
| 19 | AVPUSD | Avon Products Inc | — | — | Unchanged |
| 20 | ISSC | Innovative Solutions & Supp | — | — | Unchanged |
| 21 | CC | Chemours Co/the | — | — | Unchanged |
| 22 | STRL | Sterling Infrastructure Inc | — | — | Unchanged |
| 23 | AEP | American Electric Power Company, Inc. | -0.5% | — | Unchanged |
| 24 | AAPL | Apple Inc | — | EXIT | Sold out |
| 25 | MSTR | Strategy Inc | — | EXIT | Sold out |
| 26 | ADTNEUR | Adtran Inc | — | EXIT | Sold out |
| 27 | ✓ | Xura Inc Com | — | EXIT | Sold out |
| 28 | SO | Southern Co/the | — | EXIT | Sold out |
Filing History
FAQ
What is Rocky Mountain Private Wealth Management, L.L.C. and what type of investor is it?
Rocky Mountain Private Wealth Management, L.L.C. 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 (2016-09-30), the firm manages a tracked equity portfolio valued at approximately $136.0K, spread across 23 disclosed positions.
What are Rocky Mountain Private Wealth Management, L.L.C.'s largest equity positions?
Based on the latest 13F filing, Rocky Mountain Private Wealth Management, L.L.C.'s top holdings by market value are:
1. Comcast Corp-class A (CMCSA) — $55.0K (40.4%)
2. Texas Instruments Inc (TXN) — $14.0K (10.3%)
3. Hewlett Packard Enterprise (HPE) — $7.0K (5.2%)
4. Arlington Asset Investment-a (AIEUR) — $7.0K (5.2%)
5. Oracle CORP (ORCL) — $7.0K (5.2%)
What changes did Rocky Mountain Private Wealth Management, L.L.C. make in its most recent portfolio filing?
In the latest quarter, Rocky Mountain Private Wealth Management, L.L.C. took a more defensive posture — trimming 0 positions and completely exiting 5 holdings. The largest of these moves: Sold out: Apple Inc (AAPL); Sold out: Strategy Inc (MSTR); Sold out: Adtran Inc (ADTNEUR); Sold out: Xura Inc Com; Sold out: Southern Co/the (SO)
What sectors does Rocky Mountain Private Wealth Management, L.L.C. focus on?
Rocky Mountain Private Wealth Management, L.L.C. is concentrated in the following sectors based on its current disclosed equity portfolio:
• Communication Services: 64.8%
• Information Technology: 28.6%
• Energy: 3.3%
• Health Care: 3.3%
Investment Profile
Rocky Mountain Private Wealth Management, L.L.C.'s portfolio is concentrated and moderately active, with 64.8% of the portfolio concentrated in Communication Services.
Its turnover score has risen from 0 to 25 over the past 3 quarters — a shift toward more active trading.
It has added to its CMCSA position for two straight quarters, increasing it by $4.0K to reach $55.0K.
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