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Split Rock Private Trading & Wealth Management, LLC 13F Filing (Q3 2026) — Top Positions & Stock Picks
Split Rock Private Trading & Wealth Management, LLCCIK: 0002095884
Sector-focusedMomentum followerLong-term holder
Total reported value
$148.8M
Reporting period: 2026-09-30 · Number of holdings: 50
Split Rock Private Trading & Wealth Management, LLC disclosed 50 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $148.8M and a quarterly turnover rate of 12.0%.
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Personality snowflake
- Concentration
- 64.73
- Portfolio Stability
- 12.01
- Momentum
- 100
- Sector conviction
- 100
- Diversification
- 100
- Sizing Uniformity
- 73.1
Split Rock Private Trading & Wealth Management, LLC's disclosed holdings carry a Herfindahl concentration index of 0.162 — mathematically equivalent to about 6 equally-sized positions, well below its 50 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 2.69), with a handful of outsized bets alongside many smaller positions.
Recent activity leans toward adding more aggressively to already-large existing positions than to newly initiated ones (a 2.8 percentage-point tilt) — a pattern consistent with a momentum-following approach.
Sector classification currently covers about 14% 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.govTrim FBND
-44.9% -$2.8M
New buy CSHI
New buy BALT
Sold out VBIL
Add AAPL
-0.2% $1.1M
Trim JMBS
-69.0% -$624.1K
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 | KOOL | North Shore Equity Rotation | ETF-Other | 37.56% | -0.01% | +0.30% | |
| 2 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 5.75% | -0.11% | -0.35% | |
| 3 | AAPL | Apple Inc | Stock-Tech | 5.71% | +0.64% | -0.17% | |
| 4 | TFLO | Ishares Treasury Floating Ra | ETF-Gov Bonds | 4.81% | -0.17% | -1.45% | |
| 5 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 4.68% | +0.13% | +0.29% | |
| 6 | BUFR | Ft Vest Lad Buffervetf-usd I | ETF-Other | 4.18% | +0.10% | +1.91% | |
| 7 | ✓ | Stock-Other | 4.12% | +0.05% | +1.99% | ||
| 8 | SFLR | Innovator Eqty Mgd Floor ETF | ETF-Other | 3.69% | +0.01% | +1.33% | |
| 9 | JAAA | Janus Henderson Aaa Clo ETF | ETF-Other | 3.51% | -0.37% | -7.84% | |
| 10 | XLP | Ss Consumer Staples Sel Sect | ETF-Other | 3.50% | -0.09% | +2.43% | |
| 11 | FBND | Fidelity Total Bond ETF | ETF-Other | 2.08% | -1.97% | -44.88% | |
| 12 | LMBS | First Trust Low Duration Opp | ETF-Other | 1.78% | +0.33% | +28.69% | |
| 13 | CSHI | Neos Enhanced Income 1-3 Mon | ETF-Other | 1.55% | +1.55% | NEW | |
| 14 | NOBL | Proshares S&p 500 Dividend A | ETF-Large Cap & Growth | 1.48% | -0.05% | +2.32% | |
| 15 | IBIE | Ishares Ibonds Oct 2028 Tt | ETF-Other | 1.44% | -0.04% | +1.40% | |
| 16 | MSFT | Microsoft CORP | Stock-Tech | 1.39% | +0.33% | -2.73% | |
| 17 | BALT | Inn Defined Wealth Shield | ETF-Other | 1.34% | +1.34% | NEW | |
| 18 | NVDA | Nvidia CORP | Stock-Tech | 1.19% | +0.13% | +0.16% | |
| 19 | FGD | First Trust Dj Gl Sel Dvd | ETF-Other | 1.09% | +0.01% | -1.05% | |
| 20 | GLDI | UBS AG Et Gl Shr Covr Cl Etn | ETF-Other | 0.70% | +0.02% | +4.33% | |
| 21 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 0.68% | -0.02% | — | |
| 22 | SPEM | State Street Sp Ptf Em ETF | ETF-Other | 0.58% | -0.01% | -0.11% | |
| 23 | SLVO | UBS AG Etracs Sl Sh Co C Etn | ETF-Other | 0.54% | -0.01% | +2.44% | |
| 24 | MUB | Ishares National Muni Bond E | ETF-Other | 0.54% | +0.02% | +11.62% | |
| 25 | PWR | Quanta Services Inc | Stock-Industrials | 0.53% | -0.20% | -16.76% | |
| 26 | EBUF | Innovator Em 10 B ETF Quart | ETF-Other | 0.50% | -0.02% | -0.45% | |
| 27 | FBTC | Fidelity Wise Origin Bitcoin | ETF-Crypto | 0.44% | +0.13% | +1.80% | |
| 28 | ✓ | Stock-Other | 0.35% | +0.35% | NEW | ||
| 29 | AMD | Advanced Micro Devices | Stock-Tech | 0.31% | +0.04% | +12.52% | |
| 30 | ✓ | Stock-Other | 0.29% | +0.02% | +7.66% | ||
| 31 | SUB | Ishares Short-term National | ETF-Other | 0.28% | +0.05% | +26.38% | |
| 32 | TDV | Proshares S&p Tech Dvd Arist | ETF-Tech | 0.26% | -0.02% | — | |
| 33 | WMT | Walmart Inc | Stock-Consumer Staples | 0.26% | -0.02% | +0.90% | |
| 34 | EVTR | Eaton Vance Total Return | ETF-Other | 0.25% | -0.01% | — | |
| 35 | BIV | Vanguard Intermediate-term B | ETF-Other | 0.24% | -0.02% | — | |
| 36 | AVGO | Broadcom Inc | Stock-Tech | 0.24% | -0.05% | -9.54% | |
| 37 | IVV | Ishares Core S&p 500 ETF | ETF-Large Cap & Growth | 0.21% | +0.01% | — | |
| 38 | ✓ | Stock-Other | 0.20% | +0.20% | NEW | ||
| 39 | AVDE | Avantis International Equity | ETF-Other | 0.20% | +0.02% | +9.49% | |
| 40 | JMBS | Janus Henderson Mortg Backed | ETF-Other | 0.17% | -0.43% | -68.97% | |
| 41 | FDVV | Fidelity High Dividend ETF | ETF-Other | 0.17% | — | -0.02% | |
| 42 | AVUV | Avantis US Small Cap Value | ETF-Small Cap | 0.16% | -0.04% | -13.31% | |
| 43 | IWS | Ishares Russell Mid-cap Valu | ETF-Other | 0.16% | — | — | |
| 44 | IWP | Ishares Russell Mid-cap Grow | ETF-Other | 0.15% | -0.02% | — | |
| 45 | AGI | Alamos Gold Inc-class A | Stock-Materials | 0.15% | — | — | |
| 46 | AVLV | Avantis US Large Cap Value | ETF-Large Cap & Growth | 0.15% | +0.15% | NEW | |
| 47 | VCIT | Vanguard Int-term Corporate | ETF-Corp Bonds | 0.15% | -0.01% | — | |
| 48 | RDVI | Ft Vest Rising Dividend Achi | ETF-Other | 0.14% | -0.02% | -0.01% | |
| 49 | SDY | Ss Spdr S&p Dividend ETF | ETF-Other | 0.14% | -0.01% | — | |
| 50 | ELDN | Eledon Pharmaceuticals Inc | Stock-Other | 0.02% | -0.01% | — |
Portfolio Performance
Performance for Q4 2026
+2.8%
Performance Last 4 Quarters
+9.3%
- Stdev
- +12.5%
- Beta
- +0.76
- Alpha
- -0.7%
- Max Drawdown
- -2.2%
- Annualized Perf
- +14.3%
- Batting Avg vs S&P
- +37.5%
- Sortino
- +3.02
- Stutzer
- +0.37
- Treynor
- +0.19
- Sterling
- —
- Calmar
- +6.67
- Information Ratio
- -1.08
- Tracking Error
- +5%
- Stdev Down
- +4.7%
- Winning Months %
- +62.5%
- Losing Months %
- +37.5%
- Best 12 Months
- —
- Worst 12 Months
- —
- Efficiency Ratio
- +0.45
- Sharpe
- +1.13
- Stdev Sectors
- +23.7%
- Skewness
- +0.99
- Kurtosis
- +0.49
- Upside Potential
- +4.86
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Split Rock Private Trading & Wealth Management, LLC's most significant position changes for 2026-09-30: New buy: Neos Enhanced Income 1-3 Mon (CSHI); New buy: Inn Defined Wealth Shield (BALT); Sold out: Vanguard 0-3m T-bill ETF (VBIL); New buy: ; Sold out: Exxon Mobil CORP (XOM).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | CSHI | Neos Enhanced Income 1-3 Mon | +1.6% | NEW | New buy |
| 2 | BALT | Inn Defined Wealth Shield | +1.3% | NEW | New buy |
| 3 | AAPL | Apple Inc | +0.6% | -0.17% | Trim |
| 4 | ✓ | +0.4% | NEW | New buy | |
| 5 | LMBS | First Trust Low Duration Opp | +0.3% | +28.69% | Add |
| 6 | MSFT | Microsoft CORP | +0.3% | -2.73% | Trim |
| 7 | ✓ | +0.2% | NEW | New buy | |
| 8 | AVLV | Avantis US Large Cap Value | +0.2% | NEW | New buy |
| 9 | AMZN | Amazon.com Inc | +0.1% | +0.29% | Add |
| 10 | NVDA | Nvidia CORP | +0.1% | +0.16% | Add |
| 11 | FBTC | Fidelity Wise Origin Bitcoin | +0.1% | +1.80% | Add |
| 12 | BUFR | Ft Vest Lad Buffervetf-usd I | +0.1% | +1.91% | Add |
| 13 | ✓ | +0.1% | +1.99% | Add | |
| 14 | SUB | Ishares Short-term National | +0.1% | +26.38% | Add |
| 15 | AMD | Advanced Micro Devices | 0% | +12.52% | Add |
| 16 | GLDI | UBS AG Et Gl Shr Covr Cl Etn | 0% | +4.33% | Add |
| 17 | MUB | Ishares National Muni Bond E | 0% | +11.62% | Add |
| 18 | ✓ | 0% | +7.66% | Add | |
| 19 | AVDE | Avantis International Equity | 0% | +9.49% | Add |
| 20 | SFLR | Innovator Eqty Mgd Floor ETF | 0% | +1.33% | Add |
| 21 | FGD | First Trust Dj Gl Sel Dvd | 0% | -1.05% | Trim |
| 22 | IVV | Ishares Core S&p 500 ETF | 0% | — | Unchanged |
| 23 | AGI | Alamos Gold Inc-class A | — | — | Unchanged |
| 24 | IWS | Ishares Russell Mid-cap Valu | — | — | Unchanged |
| 25 | FDVV | Fidelity High Dividend ETF | — | -0.02% | Trim |
| 26 | KOOL | North Shore Equity Rotation | 0% | +0.30% | Add |
| 27 | EVTR | Eaton Vance Total Return | 0% | — | Unchanged |
| 28 | SLVO | UBS AG Etracs Sl Sh Co C Etn | 0% | +2.44% | Add |
| 29 | ELDN | Eledon Pharmaceuticals Inc | 0% | — | Unchanged |
| 30 | VCIT | Vanguard Int-term Corporate | 0% | — | Unchanged |
| 31 | SDY | Ss Spdr S&p Dividend ETF | 0% | — | Unchanged |
| 32 | SPEM | State Street Sp Ptf Em ETF | 0% | -0.11% | Trim |
| 33 | WMT | Walmart Inc | 0% | +0.90% | Add |
| 34 | BIV | Vanguard Intermediate-term B | 0% | — | Unchanged |
| 35 | TDV | Proshares S&p Tech Dvd Arist | 0% | — | Unchanged |
| 36 | IWP | Ishares Russell Mid-cap Grow | 0% | — | Unchanged |
| 37 | RDVI | Ft Vest Rising Dividend Achi | 0% | -0.01% | Trim |
| 38 | EBUF | Innovator Em 10 B ETF Quart | 0% | -0.45% | Trim |
| 39 | BRK-B | Berkshire Hathaway Inc-cl B | 0% | — | Unchanged |
| 40 | AVUV | Avantis US Small Cap Value | 0% | -13.31% | Trim |
| 41 | IBIE | Ishares Ibonds Oct 2028 Tt | 0% | +1.40% | Add |
| 42 | AVGO | Broadcom Inc | -0.1% | -9.54% | Trim |
| 43 | NOBL | Proshares S&p 500 Dividend A | -0.1% | +2.32% | Add |
| 44 | XLP | Ss Consumer Staples Sel Sect | -0.1% | +2.43% | Add |
| 45 | QQQ | Invesco Qqq Trust Series 1 | -0.1% | -0.35% | Trim |
| 46 | UPS | United Parcel Service-cl B | -0.2% | EXIT | Sold out |
| 47 | ORCL | Oracle CORP | -0.2% | EXIT | Sold out |
| 48 | TFLO | Ishares Treasury Floating Ra | -0.2% | -1.45% | Trim |
| 49 | PWR | Quanta Services Inc | -0.2% | -16.76% | Trim |
| 50 | XOM | Exxon Mobil CORP | -0.3% | EXIT | Sold out |
1–50 of 54
Filing History
FAQ
What is Split Rock Private Trading & Wealth Management, LLC and what type of investor is it?
Split Rock Private Trading & Wealth Management, LLC 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 (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $148.8M, spread across 50 disclosed positions.
What are Split Rock Private Trading & Wealth Management, LLC's largest equity positions?
Based on the latest 13F filing, Split Rock Private Trading & Wealth Management, LLC's top holdings by market value are:
1. North Shore Equity Rotation (KOOL) — $55.9M (37.6%)
2. Invesco Qqq Trust Series 1 (QQQ) — $8.5M (5.8%)
3. Apple Inc (AAPL) — $8.5M (5.7%)
4. Ishares Treasury Floating Ra (TFLO) — $7.2M (4.8%)
5. Amazon.com Inc (AMZN) — $7.0M (4.7%)
What changes did Split Rock Private Trading & Wealth Management, LLC make in its most recent portfolio filing?
In the latest reported quarter, Split Rock Private Trading & Wealth Management, LLC made 43 notable position adjustments: 5 new positions were initiated, 19 existing holdings were added to, 15 positions were partially reduced, and 4 were completely exited. The largest of these moves: New buy: Neos Enhanced Income 1-3 Mon (CSHI); New buy: Inn Defined Wealth Shield (BALT); Sold out: Vanguard 0-3m T-bill ETF (VBIL); New buy: ; Sold out: Exxon Mobil CORP (XOM)
What sectors does Split Rock Private Trading & Wealth Management, LLC focus on?
Split Rock Private Trading & Wealth Management, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Information Technology: 61.1%
• Consumer Discretionary: 32.4%
• Industrials: 3.7%
• Consumer Staples: 1.8%
• Materials: 1.1%
Investment Profile
Split Rock Private Trading & Wealth Management, LLC returned an annualized 14.3% over the trailing 8 months — underperforming the S&P 500 by 0.7 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.76 (less volatile than the market) and a 38% quarterly batting average against the index.
Its portfolio is moderately concentrated and long-term-holding, with 61.1% of the portfolio concentrated in Information Technology.
It has added to its KOOL position over the past two quarters (+$6.3M, now $55.9M), while trimming FBND over the same stretch (-$4.6M, still holding $3.1M).
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