ROTHSCHILD INVESTMENT CORP /IL
Filing Date
Global Rank
#1,651
/ 7,036
▲ 35
· as of Sep 2023
Top Industry
Drug Manufacturers - General
8.8%
Period ended 3 years ago
Filed Oct 16, 2023 · 3y
15 quarters · since Mar 2020
Regulatory profile
From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.
Holder type
Unknown
Portfolio style
Measured from the filed 13F common-share book for Sep 30, 2023, never from the firm's own description.
Style
Diversified active
Top 10 weight 26.1%, 77.0 effective positions, active share 51.5% against the S&P 500 as of 2023-09-30; it meets none of the index-like, systematic-like or concentrated tests
Turnover
Low turnover
11.7% over the last four quarters (under 30%)
Horizon
Long horizon
Value-weighted holding period 13.7 quarters (12+), a floor since 82.0% of the book was already held when coverage starts
Closest benchmark: the S&P 500 as of 2023-09-30, active share 51.5%; sector active share 8.9% against the combined 13F book's sector weights.
Over time 15 measured quarters
How the bands are measured
Style bands measure the filed 13F common-share book each closed quarter, tested in this order. Unknown: under $10,000,000 of valued equity or 5 stocks. Index-like (100+ stocks): active share of 20% or less against the closest benchmark, which is the S&P 500, S&P MidCap 400, S&P SmallCap 600, Russell 1000, Russell 2000, Nasdaq-100 or Dow Jones Industrial Average (weighted by an index-tracking fund's reported holdings or the index's constituents nearest the quarter end, over the names resolved to companies, and only when those are 90%+ of its weight) or every 13F filer's combined book, or index series holding 80%+ of the registered fund assets it advises (N-CEN) and equal to 50%+ of its book. Systematic-like: 500+ stocks, 100%+ annual turnover and a top 10 weight of 25% or less. Concentrated: a top 10 weight of 60%+ or 12 or fewer effective positions. Diversified active: none of these. Turnover is the smaller of buys and sells over average equity value, summed over four quarters: low under 30%, high 100%+. Horizon is the value-weighted number of quarters each position has been held: short under 4, long 12+.
Clone Performance
Build a hypothetical price-return history from this filer's public 13F holdings.
View clone backtestPortfolio Concentration
385 tracked positions · as of Sep 30, 2023 · Δ vs Jun 30, 2023Top Position
5.2%
−0.6 pts
Top 5
15.8%
−0.5 pts
Top 10
26.1%
−0.2 pts
HHI
130
Diversified−2
Portfolio Trend
15 quarters · across all stocks
Sector Breakdown
As of Sep 30, 2023| Sector | % Portfolio | Value |
|---|---|---|
| Technology | 17.3% | $180,491,788 |
| Unclassified | 13.5% | $140,713,938 |
| Financial Services | 13.2% | $137,146,796 |
| Healthcare | 12.5% | $130,198,757 |
| Industrials | 10.8% | $112,817,968 |
| Communication Services | 6.9% | $71,510,790 |
| Energy | 6.3% | $65,926,479 |
| Consumer Cyclical | 5.8% | $60,942,862 |
| Consumer Defensive | 5.8% | $59,956,974 |
| Real Estate | 3.4% | $35,963,118 |
| Utilities | 2.4% | $25,432,970 |
| Basic Materials | 2.1% | $21,557,614 |
Last Quarter's Activity
Export CSVAdded To
Positions the filer increased
25 positions
| Ticker | Company | Δ Shares | Shares | Value | Open |
|---|---|---|---|---|---|
| PRF | Victory Portfolios II | +452,641 | 562,021 | $17,883,508 | |
| FYLD | Cambria Foreign Shareholder Yield ETF | +241,780 | 352,450 | $8,451,751 | |
| RBOT | Vicarious Surgical Inc. | +161,195 | 330,568 | $195,365 | |
| — | +36,402 | 57,362 | $622,951 | ||
| PFE | Pfizer Inc | +17,242 | 167,856 | $5,567,783 | |
| CAG | Conagra Brands Inc. | +16,615 | 26,184 | $717,965 | |
| — | +16,509 | 32,967 | $7,567 | ||
| 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 | |
| SYLD | Cambria Shareholder Yield ETF | +8,637 | 122,928 | $7,604,326 | |
| 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 | |
| CGEN | Compugen Ltd | +7,500 | 351,100 | $326,523 | |
| F | Ford Motor Co | +7,329 | 508,473 | $6,315,234 | |
| OKE | Oneok Inc | +6,034 | 16,708 | $1,059,788 | |
| GOOGL | Alphabet Inc. | +5,768 | 174,070 | $22,778,800 | |
| AAPL | Apple Inc. | +5,647 | 318,764 | $54,575,583 | |
| VTRS | Viatris Inc | +4,955 | 31,190 | $307,533 | |
| — | +4,945 | 7,475 | $0 | ||
| 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 | Open |
|---|---|---|---|---|---|
| KEY | Keycorp | −46,315 | 14,031 | $150,973 | |
| BAC | Bank Of America Corp | −36,901 | 142,179 | $3,892,861 | |
| PXH | Invesco RAFI Emerging Markets ETF | −19,725 | 332,243 | $5,920,570 | |
| 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 | |
| NLY | Annaly Capital Management Inc | −9,126 | 186,515 | $3,508,347 | |
| MO | Altria Group, Inc. | −8,781 | 22,670 | $953,273 | |
| — | −8,300 | 3,239 | $297,404 | ||
| 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 | $913 | ||
| USB | US Bancorp De | −4,725 | 10,322 | $341,245 | |
| — | −4,605 | 84,970 | $1,531,159 | ||
| SCHD | Schwab U.S. Dividend Equity ETF | −4,327 | 6,389 | $452,086 | |
| 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 | |
| XLF | State Street Corp | −2,739 | 7,824 | $259,522 | |
| 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 | |
| BAX | Baxter International Inc | −2,585 | 20,264 | $764,763 | |
| No positions match the current search. | |||||
New Positions
Positions the filer opened this quarter
22 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| 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 | |
| USHY | iShares Broad USD High Yield Corporate Bond ETF | 10,792 | $374,590 | |
| AES | Aes Corp | 22,225 | $337,820 | |
| ITOT | iShares Core S&P Total U.S. Stock Market ETF | 3,377 | $318,079 | |
| ELV | Elevance Health, Inc. | 566 | $246,447 | |
| AB | Alliancebernstein Holding L.P. | 8,100 | $245,835 | |
| USMV | iShares MSCI USA Min Vol Factor ETF | 3,239 | $234,438 | |
| PLD | Prologis, Inc. | 1,995 | $223,858 | |
| IP | International Paper Co | 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 | |
| — | 10,000 | $75 | ||
| ADPT | Adaptive Biotechnologies Corp | 10,000 | $55 | |
| No positions match the current search. | ||||
Sold Out
Positions the filer fully exited
24 positions
| Ticker | Company | Shares | Value | Open |
|---|---|---|---|---|
| — | 63,095 | $2,150,908 | ||
| EBAY | Ebay Inc | 22,723 | $1,015,490 | |
| DEM | WisdomTree Emerging Markets High Dividend Fund | 19,830 | $758,894 | |
| 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. | 17,700 | $404,976 | |
| WHR | Whirlpool Corp | 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 | |
| DGRO | iShares Core Dividend Growth ETF | 4,849 | $249,868 | |
| KBE | State Street(R) SPDR(R) S&P(R) Bank ETF | 6,720 | $241,920 | |
| 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 | 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 | $511 | ||
| — | 45,400 | $273 | ||
| — | 15,000 | $8 | ||
| — | 8,575 | $0 | ||
| No positions match the current search. | ||||
385 tracked positions ·
$1,042,660,054 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 385 positions by value
· page 1 of 8
| Ticker | Company | Type | Shares | Value (USD) | % of Portfolio | History |
|---|---|---|---|---|---|---|
| AAPL |
Apple Inc.
Technology
|
Added | 318,764 | $54,575,583 | 5.23% | |
| JPM |
Jpmorgan Chase & Co
Financial Services
|
Added | 165,058 | $23,936,711 | 2.30% | |
| NVDA |
Nvidia Corp
Technology
|
Reduced | 53,954 | $23,469,450 | 2.25% | |
| GOOGL |
Alphabet Inc.
Communication Services
|
Added | 174,070 | $22,778,800 | 2.18% | |
| CVX |
Chevron Corp
Energy
|
Added | 135,021 | $22,767,240 | 2.18% | |
| BX |
Blackstone Inc.
Financial Services
|
Added | 204,764 | $21,938,414 | 2.10% | |
| BRK-B |
Berkshire Hathaway Inc
Financial Services
|
Added | 62,003 | $21,719,650 | 2.08% | |
| MSFT |
Microsoft Corp
Technology
|
Reduced | 67,747 | $21,391,115 | 2.05% | |
| ABBV |
AbbVie Inc.
Healthcare
|
Added | 127,653 | $19,027,956 | 1.82% | |
| PRF |
Victory Portfolios II
|
Added | 562,021 | $17,883,508 | 1.72% | |
| COST |
Costco Wholesale Corp
Consumer Defensive
|
Added | 30,428 | $17,190,602 | 1.65% | |
| GOOG |
Alphabet Inc.
Communication Services
|
Added | 126,512 | $16,680,606 | 1.60% | |
| AMGN |
Amgen Inc
Healthcare
|
Reduced | 59,399 | $15,964,075 | 1.53% | |
| JNJ |
Johnson & Johnson
Healthcare
|
Reduced | 95,973 | $14,947,794 | 1.43% | |
| TMO |
Thermo Fisher Scientific Inc.
Healthcare
|
Added | 29,352 | $14,857,101 | 1.42% | |
| PANW |
Palo Alto Networks Inc
Technology
|
Reduced | 63,071 | $14,786,365 | 1.42% | |
| BA |
Boeing Co
Industrials
|
Added | 75,101 | $14,395,359 | 1.38% | |
| AMZN |
Amazon Com Inc
Consumer Cyclical
|
Added | 96,739 | $12,297,461 | 1.18% | |
| ITW |
Illinois Tool Works Inc
Industrials
|
Added | 53,229 | $12,259,170 | 1.18% | |
| GD |
General Dynamics Corp
Industrials
|
Reduced | 52,954 | $11,701,245 | 1.12% | |
| VIG |
Vanguard Specialized Funds
|
Added | 73,638 | $11,441,872 | 1.10% | |
| MRK |
Merck & Co., Inc.
Healthcare
|
Added | 108,857 | $11,206,828 | 1.07% | |
| SPY |
Spdr S&P 500 ETF Trust
|
Held | 25,866 | $11,057,197 | 1.06% | |
| HON |
Honeywell International Inc
Industrials
|
Added | 58,512 | $10,809,505 | 1.04% | |
| CSCO |
Cisco Systems, Inc.
Technology
|
Added | 191,284 | $10,283,427 | 0.99% | |
| META |
Meta Platforms, Inc.
Communication Services
|
Reduced | 32,596 | $9,785,645 | 0.94% | |
| CRM |
Salesforce, Inc.
Technology
|
Added | 47,480 | $9,627,994 | 0.92% | |
| ORCL |
Oracle Corp
Technology
|
Reduced | 85,451 | $9,050,969 | 0.87% | |
| SYK |
Stryker Corp
Healthcare
|
Added | 32,428 | $8,861,599 | 0.85% | |
| UNP |
Union Pacific Corp
Industrials
|
Reduced | 43,495 | $8,856,886 | 0.85% | |
| FYLD |
Cambria Foreign Shareholder Yield ETF
|
Added | 352,450 | $8,451,751 | 0.81% | |
| AIG |
American International Group, Inc.
Financial Services
|
Reduced | 137,903 | $8,356,921 | 0.80% | |
| QCOM |
Qualcomm Inc
Technology
|
Reduced | 74,463 | $8,269,860 | 0.79% | |
| VZ |
Verizon Communications Inc
Communication Services
|
Reduced | 253,494 | $8,215,740 | 0.79% | |
| CVS |
CVS HEALTH Corp
Healthcare
|
Reduced | 113,625 | $7,933,297 | 0.76% | |
| JEPI |
JPMorgan Equity Premium Income ETF
|
Added | 143,852 | $7,704,713 | 0.74% | |
| XOM |
ExxonMobil Holdings Corp
Energy
|
Added | 65,469 | $7,697,845 | 0.74% | |
| GPN |
Global Payments Inc
Industrials
|
Reduced | 66,265 | $7,646,318 | 0.73% | |
| SYLD |
Cambria Shareholder Yield ETF
|
Added | 122,928 | $7,604,326 | 0.73% | |
| KVUE |
Kenvue Inc.
Consumer Defensive
|
NEW | 372,465 | $7,479,097 | 0.72% | |
| INVH |
Invitation Homes Inc.
Real Estate
|
Reduced | 228,058 | $7,227,158 | 0.69% | |
| V |
Visa Inc.
Financial Services
|
Added | 30,792 | $7,082,467 | 0.68% | |
| PSA |
Public Storage
Real Estate
|
Reduced | 26,400 | $6,956,928 | 0.67% | |
| HLT |
Hilton Worldwide Holdings Inc.
Consumer Cyclical
|
Added | 45,043 | $6,764,557 | 0.65% | |
| HD |
Home Depot, Inc.
Consumer Cyclical
|
Added | 22,327 | $6,746,326 | 0.65% | |
| EPD |
Enterprise Products Partners L.P.
Energy
|
Added | 240,784 | $6,590,258 | 0.63% | |
| IWF |
iShares Russell 1000 Growth ETF
|
Reduced | 24,123 | $6,416,476 | 0.62% | |
| MCD |
Mcdonalds Corp
Consumer Cyclical
|
Added | 24,064 | $6,339,419 | 0.61% | |
| F |
Ford Motor Co
Consumer Cyclical
|
Added | 508,473 | $6,315,234 | 0.61% | |
| TFC |
Truist Financial Corp
Financial Services
|
Reduced | 212,940 | $6,092,213 | 0.58% |
Showing the top 50 of 385 positions. Create a free account to see every position, past quarters, search, filters and CSV export.
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.