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Portfolio (Quarterly) Guide ↗

Rockefeller Capital Management L.P.

· CIK 0001739439
13F Portfolio $56.4B AUM 11,499 positions Filed May 14, 2026 EDGAR ↗ ← All Funds
Q1 2026 Q4 2025 · All 271 New 2532 Added 1234 Reduced 255 Exited
Page 162 of 235  ·  4,684 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
3221 EOT EATON VANCE NATL MUN OPPORT Financial Services 3,245.0 $56K -2K -33.9% $17.12 -2.3%
3222 AVXL ANAVEX LIFE SCIENCES CORP Healthcare 18,094.0 $56K +11K +139.6% $3.07 -12.1%
3223 IAG IAMGOLD CORP Basic Materials 2,950.0 $56K NEW $18.82 -12.2%
3224 SBIO ALPS ETF TR 1,056.0 $55K -59.0 -5.3% $52.38 +1.8%
3225 NWE NORTHWESTERN ENERGY GROUP IN Utilities 838.0 $55K -442.0 -34.5% $65.99 +9.0%
3226 IVOL KRANESHARES TRUST 2,954.0 $55K -185.0 -5.9% $18.71 -4.4%
3227 PSFM PACER FDS TR 1,700.0 $55K $32.44 +6.6%
3228 RNG RINGCENTRAL INC Technology 1,476.0 $55K +451.0 +44.0% $37.20 +17.0%
3229 HNGE HINGE HEALTH INC Healthcare 1,420.0 $55K +302.0 +27.0% $38.56 +43.3%
3230 WTBA WEST BANCORPORATION INC Financial Services 2,299.0 $55K +2K +398.7% $23.79 -0.6%
3231 LVHD LEGG MASON ETF INVT 1,285.0 $55K +7.0 +0.6% $42.56 +1.6%
3232 PRTA PROTHENA CORP PLC Healthcare 5,613.0 $55K +1K +22.3% $9.72 +1.1%
3233 CVBF CVB FINL CORP Financial Services 2,807.0 $54K +2K +240.7% $19.39 +4.9%
3234 ZTO ZTO EXPRESS CAYMAN INC Industrials 2,160.0 $54K +2K +10000.0% $25.17 -9.3%
3235 ERAS ERASCA INC Healthcare 3,342.0 $54K +3K +409.4% $16.18 -30.5%
3236 ELPC COMPANHIA PARANAENSE DE ENER Utilities 4,525.0 $54K +3K +294.5% $11.94 -1.8%
3237 CBFV CB FINL SVCS INC Financial Services 1,576.0 $54K $34.18 +0.9%
3238 CMPX COMPASS THERAPEUTICS INC Healthcare 10,182.0 $54K +8K +398.6% $5.29 -60.9%
3239 BGH BARINGS GLOBAL SHORT DURATIO Financial Services 3,930.0 $54K -8K -67.1% $13.66 +2.4%
3240 PBW INVESCO EXCHANGE TRADED FD T 1,697.0 $54K $31.60 +36.1%
Page 162 of 235  ·  4,684 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 27.0%
Financial Services 21.0%
Industrials 9.4%
Communication Services 8.8%
Healthcare 8.7%
Consumer Cyclical 8.4%
Energy 5.7%
Consumer Defensive 4.2%
Utilities 3.1%
Real Estate 2.1%