ROTHSCHILD INVESTMENT CORP /IL

CIK

1020918

Location

CHICAGO, IL

Portfolio Value

Mid $1,031,323,233

Diversification

Diversified

Filing Date

Global Rank

#1,595 / 7,022 ▲ 15 · as of Sep 2023

Top Industry

Drug Manufacturers - General 8.8%

Period ended 2 years ago

Filed Oct 16, 2023 · 2y

15 quarters · since Mar 2020

Portfolio Concentration

342 tracked positions · as of Sep 30, 2023 · Δ vs Jun 30, 2023

Top Position

5.3%

−0.6 pts

Top 5

15.9%

−0.6 pts

Top 10

26.0%

−0.0 pts

HHI

130

Diversified−2

Portfolio Trend

15 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2023

Sector	% Portfolio	Value	Positions
Technology	17.5%	$180,491,788	32
Financial Services	13.3%	$137,146,721	54
Healthcare	12.6%	$130,198,702	41
Unclassified	12.5%	$129,227,486	39
Industrials	10.9%	$112,817,968	35
Communication Services	6.9%	$71,510,790	13
Energy	6.4%	$66,076,240	26
Consumer Cyclical	5.9%	$60,942,862	30
Consumer Defensive	5.8%	$59,956,974	25
Real Estate	3.5%	$35,963,118	16
Utilities	2.5%	$25,432,970	17
Basic Materials	2.1%	$21,557,614	14

Last Quarter's Activity

Export CSV

Sep 30, 2023 vs Jun 30, 2023

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
ABI	VictoryShares Pioneer Asset-Based Income ETF	+452,843	572,594	$19,083,188
BLDG	Cambria Global Real Estate ETF	+250,417	475,378	$16,056,077
RBOT	Vicarious Surgical Inc.	+161,195	330,568	$195,365
WBD	Warner Bros. Discovery, Inc.	+36,402	57,362	$622,951
AAXJ	iShares MSCI All Country Asia ex Japan ETF	+17,965	219,950	$16,540,805
PFE	Pfizer Inc	+17,242	167,856	$5,567,783
CAG	Conagra Brands Inc.	+16,615	26,184	$717,965
—		+16,509	32,967	$0
DLR	Digital Realty Trust, Inc.	+14,922	28,636	$3,465,528
BA	Boeing Co	+13,079	75,101	$14,395,359
ALLO	Allogene Therapeutics, Inc.	+12,900	29,850	$94,624
NMFC	New Mountain Finance Corp	+10,000	20,520	$265,734
GEO	Geo Group Inc	+10,000	32,000	$261,760
ARCC	Ares Capital Corp	+8,147	58,099	$1,131,187
RVT	Royce Small-Cap Trust, Inc.	+7,904	153,992	$1,981,877
NVO	Novo Nordisk A S	+7,541	14,891	$1,354,187
BBAG	JPMorgan BetaBuilders U.S. Aggregate Bond ETF	+7,509	187,840	$9,921,149
CGEN	Compugen Ltd	+7,500	351,100	$326,523
F	Ford Motor Co	+7,329	508,473	$6,315,234
GOOGL	Alphabet Inc.	+6,833	300,582	$39,459,406
OKE	Oneok Inc /New/	+6,034	16,708	$1,059,788
AAPL	Apple Inc.	+5,647	318,764	$54,575,583
VTRS	Viatris Inc	+4,955	31,190	$307,533
AMZN	Amazon Com Inc	+4,622	96,739	$12,297,461
NEE	Nextera Energy Inc	+4,416	27,640	$1,583,495
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
KEY	Keycorp /New/	−46,315	14,031	$150,973
BAC	Bank Of America Corp /De/	−36,901	142,179	$3,892,861
BAB	Invesco Taxable Municipal Bond ETF	−21,216	377,862	$7,965,642
AGGY	WisdomTree Yield Enhanced U.S. Aggregate Bond Fund	−19,805	5,426	$344,496
PYPL	PayPal Holdings, Inc.	−18,860	7,157	$418,398
JNJ	Johnson & Johnson	−18,368	95,973	$14,947,794
INVH	Invitation Homes Inc.	−9,942	228,058	$7,227,158
BWX	State Street SPDR Bloomberg International Treasury Bond ETF	−9,236	32,547	$1,498,688
NLY	Annaly Capital Management Inc	−9,126	186,515	$3,508,347
MO	Altria Group, Inc.	−8,781	22,670	$953,273
—		−8,440	11,847	$599,286
META	Meta Platforms, Inc.	−7,747	32,596	$9,785,645
NVDA	Nvidia Corp	−7,595	53,954	$23,469,450
TROW	Price T Rowe Group Inc	−7,193	16,552	$1,735,808
VZ	Verizon Communications Inc	−7,100	253,494	$8,215,740
—		−6,130	41,047	$0
USB	US Bancorp \De\	−4,725	10,322	$341,245
—		−4,605	84,970	$1,531,159
FNDA	Schwab Fundamental U.S. Small Company ETF	−4,327	6,389	$0
PPL	PPL Corp	−3,145	54,613	$1,286,682
SYY	Sysco Corp	−2,914	89,381	$5,903,615
T	At&T Inc.	−2,884	108,653	$1,631,968
GTBIF	Green Thumb Industries Inc.	−2,700	43,500	$483,720
MSFT	Microsoft Corp	−2,689	67,747	$21,391,115
NFLX	Netflix Inc	−2,679	11,247	$4,246,867
No positions match the current search.

New Positions

Positions the filer opened this quarter

19 positions

Ticker	Company	Shares	Value
KVUE	Kenvue Inc.	372,465	$7,479,097
TPR	Tapestry, Inc.	16,585	$476,818
PRGO	PERRIGO Co plc	14,201	$453,721
GOOS	Canada Goose Holdings Inc.	30,600	$448,596
PTEN	Patterson Uti Energy Inc	32,300	$447,032
ZTS	Zoetis Inc.	2,187	$380,494
SNAP	Snap Inc	42,500	$378,675
AES	Aes Corp	22,225	$337,820
ELV	Elevance Health, Inc.	566	$246,447
AB	Alliancebernstein Holding L.P.	8,100	$245,835
PLD	Prologis, Inc.	1,995	$223,858
IP	International Paper Co /New/	6,210	$220,268
ODFL	Old Dominion Freight Line, Inc.	511	$209,070
CB	Chubb Ltd	981	$204,224
LRCX	Lam Research Corp	323	$202,446
TM	Toyota Motor Corp/	1,114	$200,241
ET	Energy Transfer LP	10,798	$151,495
ADPT	Adaptive Biotechnologies Corp	10,000	$0
—		10,000	$0
No positions match the current search.

Sold Out

Positions the filer fully exited

20 positions

Ticker	Company	Shares	Value
—		63,095	$2,150,908
EBAY	Ebay Inc	22,723	$1,015,490
VIR	Vir Biotechnology, Inc.	24,850	$609,570
C	Citigroup Inc	12,968	$597,046
ADTN	ADTRAN Holdings, Inc.	42,000	$442,260
MP	MP Materials Corp. / DE	17,700	$404,976
WHR	Whirlpool Corp /De/	2,367	$352,185
SWKS	Skyworks Solutions, Inc.	2,651	$293,439
BGB	Blackstone Strategic Credit 2027 Term Fund	25,780	$281,775
DBI	Designer Brands Inc.	26,900	$271,690
SXT	Sensient Technologies Corp	3,150	$224,059
PENN	PENN Entertainment, Inc.	9,010	$216,510
LUV	Southwest Airlines Co	5,947	$215,340
CP	Canadian Pacific Kansas City Ltd/Cn	2,650	$214,040
ABCL	AbCellera Biologics Inc.	23,500	$151,810
RQI	Cohen & Steers Quality Income Realty Fund Inc	10,500	$121,800
POWW	Outdoor Holding Co	20,000	$42,600
—		8,200	$0
—		45,400	$0
—		15,000	$0
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

342 tracked positions · $1,031,323,233 total · filing declares 538 positions · $1,185,327 · as of Sep 30, 2023

All sectors Basic Materials Communication Services Consumer Cyclical Consumer Defensive Energy Financial Services Healthcare Industrials Real Estate Technology Utilities

Showing 1–50 of 342 positions by value · page 1 of 7

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
AAPL	Apple Inc. Technology	Added	318,764	+5,647	$54,575,583	−10.1%	5.29%
GOOGL	Alphabet Inc. Communication Services	Added	300,582	+6,833	$39,459,406	+11.7%	3.83%
JPM	Jpmorgan Chase & Co Financial Services	Added	165,058	+2,572	$23,936,711	+1.3%	2.32%
NVDA	Nvidia Corp Technology	Reduced	53,954	-7,595	$23,469,450	−9.9%	2.28%
BRK-B	Berkshire Hathaway Inc Financial Services	Added	62,005	+925	$22,782,604	+4.2%	2.21%
CVX	Chevron Corp Energy	Added	135,021	+402	$22,767,240	+7.5%	2.21%
BX	Blackstone Inc. Financial Services	Added	204,764	+1,243	$21,938,414	+15.9%	2.13%
MSFT	Microsoft Corp Technology	Reduced	67,747	-2,689	$21,391,115	−10.8%	2.07%
ABI	VictoryShares Pioneer Asset-Based Income ETF	Added	572,594	+452,843	$19,083,188	+1511.9%	1.85%
ABBV	AbbVie Inc. Healthcare	Added	127,653	+1,740	$19,027,956	+12.2%	1.85%
COST	Costco Wholesale Corp /New Consumer Defensive	Added	30,428	+285	$17,190,602	+5.9%	1.67%
AAXJ	iShares MSCI All Country Asia ex Japan ETF	Added	219,950	+17,965	$16,540,805	+2.5%	1.60%
BLDG	Cambria Global Real Estate ETF	Added	475,378	+250,417	$16,056,077	+66.4%	1.56%
AMGN	Amgen Inc Healthcare	Reduced	59,399	-145	$15,964,075	+20.8%	1.55%
JNJ	Johnson & Johnson Healthcare	Reduced	95,973	-18,368	$14,947,794	−21.0%	1.45%
TMO	Thermo Fisher Scientific Inc. Healthcare	Added	29,352	+286	$14,857,101	−2.0%	1.44%
PANW	Palo Alto Networks Inc Technology	Reduced	63,071	-771	$14,786,365	−9.4%	1.43%
BA	Boeing Co Industrials	Added	75,101	+13,079	$14,395,359	+9.9%	1.40%
VIG	Vanguard Dividend Appreciation ETF	Added	87,538	+241	$12,493,546	−4.5%	1.21%
AMZN	Amazon Com Inc Consumer Cyclical	Added	96,739	+4,622	$12,297,461	+2.4%	1.19%
ITW	Illinois Tool Works Inc Industrials	Added	53,229	+57	$12,259,170	−7.8%	1.19%
GD	General Dynamics Corp Industrials	Reduced	52,954	-48	$11,701,245	+2.6%	1.13%
MRK	Merck & Co., Inc. Healthcare	Added	108,857	+2,648	$11,206,828	−8.6%	1.09%
SPY	Spdr S&P 500 ETF Trust	Held	25,866	0	$11,057,197	−3.6%	1.07%
HON	Honeywell International Inc Industrials	Added	58,512	+1,580	$10,809,505	−8.5%	1.05%
CSCO	Cisco Systems, Inc. Technology	Added	191,284	+235	$10,283,427	+4.0%	1.00%
BBAG	JPMorgan BetaBuilders U.S. Aggregate Bond ETF	Added	187,840	+7,509	$9,921,149	+0.5%	0.96%
META	Meta Platforms, Inc. Communication Services	Reduced	32,596	-7,747	$9,785,645	−15.5%	0.95%
CRM	Salesforce, Inc. Technology	Added	47,480	+28	$9,627,994	−4.0%	0.93%
ORCL	Oracle Corp Technology	Reduced	85,451	-588	$9,050,969	−11.7%	0.88%
SYK	Stryker Corp Healthcare	Added	32,428	+108	$8,861,599	−10.1%	0.86%
UNP	Union Pacific Corp Industrials	Reduced	43,495	-1,629	$8,856,886	−4.1%	0.86%
AIG	American International Group, Inc. Financial Services	Reduced	137,903	-425	$8,356,921	+5.0%	0.81%
QCOM	Qualcomm Inc/De Technology	Reduced	74,463	-1,185	$8,269,860	−8.2%	0.80%
VZ	Verizon Communications Inc Communication Services	Reduced	253,494	-7,100	$8,215,740	−15.2%	0.80%
BAB	Invesco Taxable Municipal Bond ETF	Reduced	377,862	-21,216	$7,965,642	−9.2%	0.77%
CVS	CVS HEALTH Corp Healthcare	Reduced	113,625	-439	$7,933,297	+0.6%	0.77%
XOM	ExxonMobil Holdings Corp Energy	Added	65,469	+925	$7,697,845	+11.2%	0.75%
GPN	Global Payments Inc Industrials	Reduced	66,265	-190	$7,646,318	+16.8%	0.74%
KVUE	Kenvue Inc. Consumer Defensive	NEW	372,465	NEW	$7,479,097	NEW	0.73%
VB	Vanguard Morningstar Small-Cap ETF	Added	33,381	+3,148	$7,227,186	+14.4%	0.70%
INVH	Invitation Homes Inc. Real Estate	Reduced	228,058	-9,942	$7,227,158	−11.7%	0.70%
V	Visa Inc. Financial Services	Added	30,792	+684	$7,082,467	−0.9%	0.69%
PSA	Public Storage Real Estate	Reduced	26,400	-352	$6,956,928	−10.9%	0.67%
HLT	Hilton Worldwide Holdings Inc. Consumer Cyclical	Added	45,043	+2,979	$6,764,557	+10.5%	0.66%
HD	Home Depot, Inc. Consumer Cyclical	Added	22,327	+880	$6,746,326	+1.3%	0.65%
EPD	Enterprise Products Partners L.P. Energy	Added	240,784	+2,198	$6,590,258	+4.8%	0.64%
MCD	Mcdonalds Corp Consumer Cyclical	Added	24,064	+96	$6,339,419	−11.4%	0.61%
F	Ford Motor Co Consumer Cyclical	Added	508,473	+7,329	$6,315,234	−16.7%	0.61%
TFC	Truist Financial Corp Financial Services	Reduced	212,940	-1,450	$6,092,213	−6.4%	0.59%

Covers the securities this platform tracks: U.S.-listed common stock and the put/call positions reported on it. A 13F can also report security types outside that coverage — preferred shares, bonds, warrants, untracked share classes — so the filing's own declared total can exceed the figures above. The source filing is linked at the top of this table.