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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 229 of 235  ·  4,684 positions
# Ticker Company Sector Shares Value ↓ % Port Chg Shares Chg % Period Price ① Since Period ①
4561 NKX NUVEEN CALIF AMT FREE MUNI I Financial Services 43.0 $512.0 $11.91 +4.1%
4562 RGC REGENCELL BIOSCIENCE HLDGS L Healthcare 20.0 $509.0 -55.0 -73.3% $25.45 +14.7%
4563 BAND BANDWIDTH INC Technology 28.0 $499.0 $17.82 +199.1%
4564 ERC ALLSPRING MULTI SECTOR INCOM Financial Services 54.0 $487.0 NEW $9.02 -0.2%
4565 GORO GOLD RESOURCE CORP Basic Materials 400.0 $480.0 NEW $1.20 +10.5%
4566 AMBP ARDAGH METAL PACKAGING S A Consumer Cyclical 117.0 $475.0 NEW $4.06 -3.2%
4567 ERTH INVESCO EXCHANGE TRADED FD T 10.0 $474.0 $47.40 +5.1%
4568 GLQ CLOUGH GLOBAL EQUITY FD Financial Services 63.0 $474.0 -5K -98.7% $7.52 +11.2%
4569 TMP TOMPKINS FINL CORP Financial Services 6.0 $473.0 -14.0 -70.0% $78.83 +5.0%
4570 FGBI FIRST GTY BANCSHARES INC Financial Services 57.0 $463.0 $8.12 +11.6%
4571 VRA VERA BRADLEY INC Consumer Cyclical 140.0 $442.0 $3.16 +5.6%
4572 VERU VERU INC Healthcare 200.0 $442.0 $2.21 -4.5%
4573 BDTX BLACK DIAMOND THERAPEUTICS I Healthcare 200.0 $426.0 $2.13 +24.9%
4574 HIO WESTERN ASSET HIGH INCOME OP Financial Services 114.0 $414.0 -716.0 -86.3% $3.63 -0.9%
4575 SCSC SCANSOURCE INC Technology 11.0 $399.0 +2.0 +22.2% $36.27 +17.2%
4576 PRA PROASSURANCE CORP Financial Services 16.0 $396.0 +1.0 +6.7% $24.75 -0.5%
4577 APPN APPIAN CORP Technology 16.0 $386.0 NEW $24.12 -16.3%
4578 BLNK BLINK CHARGING CO Industrials 675.0 $383.0 $0.57 +45.2%
4579 AVNS AVANOS MED INC Healthcare 27.0 $378.0 -13.0 -32.5% $14.00 +76.8%
4580 SLDE SLIDE INS HLDGS INC Financial Services 21.0 $378.0 -330.0 -94.0% $18.00 +5.5%
Page 229 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%