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Portfolio (Quarterly) Guide ↗

Rockefeller Capital Management L.P.

· CIK 0001739439
13F Portfolio $55.5B AUM Filed Mar 17, 2026 EDGAR ↗ ← All Funds
Q1 2026 Q4 2025 · All 4670 New
Page 182 of 234  ·  4,670 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
3621 SABA SABA CAPITAL INCOME & OPPORT Financial Services 1,894.0 $16K NEW $8.25 +2.2%
3622 NPFD NUVEEN VRIABL RAT PFD & INM Financial Services 821.0 $16K NEW $19.03 -1.5%
3623 ADNT ADIENT PLC Consumer Cyclical 814.0 $16K NEW $19.17 +9.5%
3624 BTU PEABODY ENERGY CORP Energy 524.0 $16K NEW $29.70 -17.8%
3625 BSL BLACKSTONE SENI FLTN RAT 202 Financial Services 1,150.0 $16K NEW $13.51 -3.4%
3626 OLYMPIC STEEL INC 362.0 $16K NEW $42.85
3627 LEGR FIRST TR EXCHANGE-TRADED FD 257.0 $15K NEW $59.65 +9.1%
3628 CVBF CVB FINL CORP Financial Services 824.0 $15K NEW $18.60 +9.2%
3629 SMMV ISHARES TR 353.0 $15K NEW $43.37 +2.7%
3630 BRW SABA CAPITAL INCOME & OPRNT Financial Services 2,181.0 $15K NEW $7.01 -3.7%
3631 ACNB ACNB CORP Financial Services 316.0 $15K NEW $48.35 +13.3%
3632 FMC FMC CORP Basic Materials 1,100.0 $15K NEW $13.89 -6.3%
3633 UTMD UTAH MED PRODS INC Healthcare 273.0 $15K NEW $55.96 +14.7%
3634 ARQ INC 4,670.0 $15K NEW $3.27
3635 MEM MATTHEWS ASIA FDS 426.0 $15K NEW $35.82 +22.4%
3636 HAFC HANMI FINL CORP Financial Services 562.0 $15K NEW $27.03 +12.2%
3637 KNGZ FIRST TR EXCHANGE TRADED FD 423.0 $15K NEW $35.87 +10.2%
3638 CNA CNA FINL CORP Financial Services 317.0 $15K NEW $47.75 -7.2%
3639 HCM HUTCHMED CHINA LTD Healthcare 1,135.0 $15K NEW $13.33 -9.7%
3640 UE URBAN EDGE PPTYS Real Estate 788.0 $15K NEW $19.19 +14.5%
Page 182 of 234  ·  4,670 positions

Period Price is the implied market price on the last day of the reporting period, calculated as reported value ÷ shares held. It is not the fund's purchase price or cost basis — the fund may have initiated or added to the position at any point during the quarter at a different price. Since Period shows the price change from that quarter-end snapshot to today's last price — it reflects stock movement after the report date, not the fund's actual return.

Sector Allocation
Technology 29.1%
Financial Services 22.3%
Communication Services 9.1%
Industrials 8.8%
Healthcare 8.7%
Consumer Cyclical 8.3%
Energy 4.2%
Consumer Defensive 3.7%
Utilities 2.5%
Real Estate 1.8%