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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 +0.9%
3222 AVXL ANAVEX LIFE SCIENCES CORP Healthcare 18,094.0 $56K +11K +139.6% $3.07 +6.2%
3223 IAG IAMGOLD CORP Basic Materials 2,950.0 $56K NEW $18.82 +15.3%
3224 SBIO ALPS ETF TR 1,056.0 $55K -59.0 -5.3% $52.38 +32.9%
3225 NWE NORTHWESTERN ENERGY GROUP IN Utilities 838.0 $55K -442.0 -34.5% $65.99 +8.0%
3226 IVOL KRANESHARES TRUST 2,954.0 $55K -185.0 -5.9% $18.71 -7.2%
3227 PSFM PACER FDS TR 1,700.0 $55K $32.44 +9.4%
3228 RNG RINGCENTRAL INC Technology 1,476.0 $55K +451.0 +44.0% $37.20 +78.2%
3229 HNGE HINGE HEALTH INC Healthcare 1,420.0 $55K +302.0 +27.0% $38.56 +141.5%
3230 WTBA WEST BANCORPORATION INC Financial Services 2,299.0 $55K +2K +398.7% $23.79 +19.3%
3231 LVHD LEGG MASON ETF INVT 1,285.0 $55K +7.0 +0.6% $42.56 +4.8%
3232 PRTA PROTHENA CORP PLC Healthcare 5,613.0 $55K +1K +22.3% $9.72 -4.7%
3233 CVBF CVB FINL CORP Financial Services 2,807.0 $54K +2K +240.7% $19.39 +15.6%
3234 ZTO ZTO EXPRESS CAYMAN INC Industrials 2,160.0 $54K +2K +10000.0% $25.17 -14.9%
3235 ERAS ERASCA INC Healthcare 3,342.0 $54K +3K +409.4% $16.18 +18.3%
3236 ELPC COMPANHIA PARANAENSE DE ENER Utilities 4,525.0 $54K +3K +294.5% $11.94 -5.4%
3237 CBFV CB FINL SVCS INC Financial Services 1,576.0 $54K $34.18 +9.5%
3238 CMPX COMPASS THERAPEUTICS INC Healthcare 10,182.0 $54K +8K +398.6% $5.29 -54.4%
3239 BGH BARINGS GLOBAL SHORT DURATIO Financial Services 3,930.0 $54K -8K -67.1% $13.66 +3.6%
3240 PBW INVESCO EXCHANGE TRADED FD T 1,697.0 $54K $31.60 +2.6%
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 27.6%
Financial Services 21.2%
Industrials 9.6%
Healthcare 8.9%
Consumer Cyclical 8.6%
Communication Services 7.3%
Energy 5.6%
Consumer Defensive 4.3%
Utilities 3.2%
Real Estate 2.1%