Rockingstone Advisors LLC

Registered adviser

CIK

2027176

Location

GREAT BARRINGTON, MA

Portfolio Value

Small $239,773,981

Diversification

Diversified

Filing Date

Global Rank

#5,801 / 8,827 ▲ 20 · as of Jun 2026

Top Industry

Semiconductors 11.1%

Period ended 38 days ago

Filed Oct 16, 2026 · 22d

16 quarters · since Dec 2022

Regulatory profile

From Form ADV, the SEC filer profile, 13D/13G type codes and N-CEN, never from the name.

Holder type

Registered adviser

Form ADV roster, Nov 1, 2026

Form ADV adviser

CRD 149592

Roster of Nov 1, 2026

Regulatory AUM

$280,098,256

Main clients

Individuals and high net worth (100% of AUM)

Form ADV history

Monthly rosters from Dec 2019; each row is a run with the same figures, newest first.

Rosters	Regulatory AUM	Main clients
Apr 2026 to Nov 2026	$280,098,256	Individuals and high net worth (100%)
Mar 2025 to Mar 2026	$285,789,462	Individuals and high net worth (100%)
Apr 2024 to Feb 2025	$270,625,608	Individuals and high net worth (100%)
May 2023 to Mar 2024	$270,464,700	Individuals and high net worth (100%)
Mar 2023 to Apr 2023	$270,464,700	Individuals and high net worth (100%)
Feb 2022 to Feb 2023	$305,989,229	Individuals and high net worth (100%)

3 earlier changes not shown.

Portfolio style

Measured from the filed 13F common-share book for Jun 30, 2026, the newest measured quarter, never from the firm's own description.

Style

Diversified active

Top 10 weight 44.4%, 31.9 effective positions, active share 69.8% against every 13F filer's combined book; it meets none of the index-like, systematic-like or concentrated tests

Turnover

Low turnover

13.0% over the last four quarters (under 30%)

Horizon

Long horizon

Value-weighted holding period 12.7 quarters (12+)

Closest benchmark: every 13F filer's combined book, active share 69.8%; sector active share 35.0% 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 backtest

Portfolio Concentration

112 tracked positions · as of Sep 30, 2026 · Δ vs Jun 30, 2026

Top Position

9.2%

+0.4 pts

Top 5

31.9%

+1.6 pts

Top 10

47.3%

+2.8 pts

HHI

343

Diversified+30

Portfolio Trend

16 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	45.7%	$109,606,795	66
Technology	18.9%	$45,301,182	9
Communication Services	7.1%	$17,046,583	6
Financial Services	6.2%	$14,936,799	9
Healthcare	5.8%	$13,849,222	3
Industrials	4.0%	$9,520,908	5
Consumer Defensive	3.3%	$7,986,728	5
Energy	3.3%	$7,876,578	3
Basic Materials	3.2%	$7,596,792	2
Consumer Cyclical	2.5%	$6,052,394	4

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

25 positions

Ticker	Company	Δ Shares	Shares	Value
CRWD	CrowdStrike Holdings, Inc.	+23,176	31,193	$8,258,346
JPST	JPMorgan Ultra-Short Income ETF	+17,315	242,162	$12,197,699
NAVN	Navan, Inc.	+16,385	218,035	$4,576,554
GLD	Spdr Gold Trust	+6,447	8,517	$3,243,614
FLOT	iShares Floating Rate Bond ETF	+6,005	16,765	$855,853
GBDC	GOLUB CAPITAL BDC, Inc.	+3,325	21,670	$273,692
IEF	iShares 7-10 Year Treasury Bond ETF	+1,980	8,935	$797,984
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	+1,622	44,057	$2,613,020
XLF	State Street Corp	+840	46,978	$0
VEA	Vanguard FTSE Developed Markets ETF	+676	71,700	$5,062,737
EEM	iShares MSCI Emerging Markets ETF	+600	14,480	$967,119
XLY	State Street(R) Consumer Discretionary Select Sector SPDR(R) ETF	+340	8,518	$927,099
SPOT	Spotify Technology S.A.	+310	6,557	$3,195,750
EFV	iShares MSCI EAFE Value ETF	+300	24,175	$1,913,209
—		+200	6,070	$0
UBER	Uber Technologies, Inc	+195	25,145	$1,722,683
ISRG	Intuitive Surgical Inc	+190	6,551	$2,663,833
BABA	Alibaba Group Holding Ltd	+165	2,382	$256,160
EWJ	iShares MSCI Japan ETF	+130	15,635	$1,523,787
VTV	VANGUARD VALUE INDEX FUND	+125	3,490	$754,119
BA	Boeing Co	+113	4,728	$879,644
EQT	EQT Corp	+110	45,502	$2,209,577
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	+75	17,075	$6,390,148
AMZN	Amazon Com Inc	+70	19,390	$4,831,018
LIN	Linde PLC	+55	7,305	$3,467,318
No positions match the current search.

Trimmed

Positions the filer reduced

25 positions

Ticker	Company	Δ Shares	Shares	Value
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	−53,880	55,670	$3,204,365
OMC	Omnicom Group Inc.	−33,040	8,004	$589,334
PFF	iShares Preferred and Income Securities ETF	−3,280	30,412	$897,154
MKC	Mccormick & Co Inc	−2,855	27,842	$1,291,868
TSEM	Tower Semiconductor Ltd	−1,896	30,305	$6,892,266
VO	VANGUARD MID-CAP INDEX FUND	−1,782	65,360	$5,125,531
PEP	Pepsico Inc	−1,152	2,935	$371,923
CSTM	Constellium SE	−1,098	170,710	$4,129,474
CNQ	CANADIAN NATURAL RESOURCES Ltd	−730	61,796	$2,908,737
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	−568	36,563	$7,157,207
AGG	iShares Core U.S. Aggregate Bond ETF	−500	3,000	$283,620
—		−500	5,386	$0
EMB	iShares J.P. Morgan USD Emerging Markets Bond ETF	−360	6,732	$611,534
PHO	Victory Portfolios II	−310	30,899	$0
NVDA	Nvidia Corp	−301	32,954	$7,526,034
JPIE	JPMorgan Income ETF	−300	21,405	$960,870
GOOGL	Alphabet Inc.	−290	19,327	$6,650,034
CLS	Celestica Inc	−276	12,221	$4,417,036
VT	VANGUARD TOTAL WORLD STOCK INDEX FUND	−260	10,927	$1,724,826
IQLT	iShares MSCI Intl Quality Factor ETF	−200	70,995	$3,512,122
NTRA	Natera, Inc.	−180	16,937	$7,000,231
—		−140	4,160	$0
LQD	iShares iBoxx $ Investment Grade Corporate Bond ETF	−128	6,508	$664,987
CAT	Caterpillar Inc	−95	834	$676,198
PWR	Quanta Services, Inc.	−90	7,138	$4,586,236
No positions match the current search.

New Positions

Positions the filer opened this quarter

2 positions

Ticker	Company	Shares	Value
CVX	Chevron Corp	13,507	$2,758,264
AGRO	Adecoagro S.A.	17,180	$174,205
No positions match the current search.

Sold Out

Positions the filer fully exited

5 positions

Ticker	Company	Shares	Value
TEVA	Teva Pharmaceutical Industries Ltd	95,105	$3,222,157
DFAC	Dimensional U.S. Core Equity 2 ETF	14,471	$641,933
DIS	Walt Disney Co	3,580	$344,575
HUBB	Hubbell Inc	434	$227,068
MCD	Mcdonalds Corp	830	$224,357
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

112 tracked positions · $239,773,981 total · filing declares 112 positions · $248,597,905 · as of Sep 30, 2026

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

Showing 1–50 of 112 positions by value · page 1 of 3

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
JPST	JPMorgan Ultra-Short Income ETF	Added	242,162	+17,315	$12,197,699	+7.3%	5.09%
CRWD	CrowdStrike Holdings, Inc. Technology	Added	31,193	+23,176	$8,258,346	+35.0%	3.44%
NVDA	Nvidia Corp Technology	Reduced	32,954	-301	$7,526,034	+13.1%	3.14%
XLK	State Street(R) Technology Select Sector SPDR(R) ETF	Reduced	36,563	-568	$7,157,207	+1.2%	2.98%
NTRA	Natera, Inc. Healthcare	Reduced	16,937	-180	$7,000,231	+50.7%	2.92%
TSEM	Tower Semiconductor Ltd Technology	Reduced	30,305	-1,896	$6,892,266	−17.9%	2.87%
GOOGL	Alphabet Inc. Communication Services	Reduced	19,327	-290	$6,650,034	−5.1%	2.77%
AAPL	Apple Inc. Technology	Reduced	19,819	-60	$6,600,123	+14.7%	2.75%
VTI	VANGUARD TOTAL STOCK MARKET INDEX FUND	Added	17,075	+75	$6,390,148	+1.6%	2.67%
IWM	iShares Russell 2000 ETF	Added	22,718	+2	$6,313,105	−7.5%	2.63%
SPY	Spdr S&P 500 ETF Trust	Reduced	7,315	-15	$5,578,638	+1.9%	2.33%
VGK	VANGUARD EUROPEAN STOCK INDEX FUND	Reduced	60,467	-75	$5,248,535	−2.1%	2.19%
VO	VANGUARD MID-CAP INDEX FUND	Reduced	65,360	-1,782	$5,125,531	−5.3%	2.14%
VEA	Vanguard FTSE Developed Markets ETF	Added	71,700	+676	$5,062,737	+0.0%	2.11%
MSFT	Microsoft Corp Technology	Reduced	9,859	-5	$5,056,681	+37.4%	2.11%
AMZN	Amazon Com Inc Consumer Cyclical	Added	19,390	+70	$4,831,018	+4.9%	2.01%
PWR	Quanta Services, Inc. Industrials	Reduced	7,138	-90	$4,586,236	−11.9%	1.91%
NAVN	Navan, Inc. Technology	Added	218,035	+16,385	$4,576,554	−0.8%	1.91%
CLS	Celestica Inc Technology	Reduced	12,221	-276	$4,417,036	−3.1%	1.84%
LLY	ELI LILLY & Co Healthcare	Added	3,617	+5	$4,185,158	−3.4%	1.75%
CSTM	Constellium SE Basic Materials	Reduced	170,710	-1,098	$4,129,474	−24.6%	1.72%
PM	Philip Morris International Inc. Consumer Defensive	Added	20,296	+45	$3,872,882	+5.7%	1.62%
META	Meta Platforms, Inc. Communication Services	Reduced	5,266	-30	$3,818,797	+28.0%	1.59%
JPM	Jpmorgan Chase & Co Financial Services	Reduced	11,497	-65	$3,803,552	+0.5%	1.59%
IGV	iShares Expanded Tech-Software Sector ETF	Added	34,604	+26	$3,684,633	+17.6%	1.54%
BRK-B	Berkshire Hathaway Inc Financial Services	Held	7,295	0	$3,632,545	−0.5%	1.51%
IQLT	iShares MSCI Intl Quality Factor ETF	Reduced	70,995	-200	$3,512,122	−0.4%	1.46%
LIN	Linde PLC Basic Materials	Added	7,305	+55	$3,467,318	−7.8%	1.45%
GLD	Spdr Gold Trust	Added	8,517	+6,447	$3,243,614	+325.4%	1.35%
XLV	State Street(R) Health Care Select Sector SPDR(R) ETF	Reduced	19,237	-68	$3,239,895	+5.8%	1.35%
VGSH	VANGUARD SHORT-TERM TREASURY INDEX FUND	Reduced	55,670	-53,880	$3,204,365	−49.7%	1.34%
SPOT	Spotify Technology S.A. Communication Services	Added	6,557	+310	$3,195,750	+11.4%	1.33%
CNQ	CANADIAN NATURAL RESOURCES Ltd Energy	Reduced	61,796	-730	$2,908,737	+17.8%	1.21%
MA	Mastercard Inc Financial Services	Added	5,218	+1	$2,877,570	+7.4%	1.20%
CVX	Chevron Corp Energy	NEW	13,507	NEW	$2,758,264	NEW	1.15%
TDG	TransDigm Group INC Industrials	Added	2,486	+4	$2,691,343	−18.6%	1.12%
ISRG	Intuitive Surgical Inc Healthcare	Added	6,551	+190	$2,663,833	+5.3%	1.11%
VYM	VANGUARD HIGH DIVIDEND YIELD INDEX FUND	Held	16,977	0	$2,634,830	−1.8%	1.10%
VWO	VANGUARD EMERGING MARKETS STOCK INDEX FUND	Added	44,057	+1,622	$2,613,020	+3.2%	1.09%
SPGI	S&P Global Inc. Financial Services	Added	6,598	+50	$2,602,713	−2.4%	1.09%
LYV	Live Nation Entertainment, Inc. Communication Services	Held	13,887	0	$2,351,069	−7.5%	0.98%
COST	Costco Wholesale Corp Consumer Defensive	Added	2,500	+5	$2,275,850	−2.5%	0.95%
VPL	VANGUARD PACIFIC STOCK INDEX FUND	Reduced	19,140	-45	$2,216,603	−0.1%	0.92%
EQT	EQT Corp Energy	Added	45,502	+110	$2,209,577	−8.4%	0.92%
VYMI	VANGUARD INTERNATIONAL HIGH DIVIDEND YIELD INDEX FUND	Held	20,825	0	$2,106,032	+3.0%	0.88%
EFV	iShares MSCI EAFE Value ETF	Added	24,175	+300	$1,913,209	+4.7%	0.80%
VT	VANGUARD TOTAL WORLD STOCK INDEX FUND	Reduced	10,927	-260	$1,724,826	−1.8%	0.72%
UBER	Uber Technologies, Inc Technology	Added	25,145	+195	$1,722,683	−4.3%	0.72%
VOO	VANGUARD 500 INDEX FUND	Reduced	2,214	-30	$1,551,704	+0.7%	0.65%
EWJ	iShares MSCI Japan ETF	Added	15,635	+130	$1,523,787	+5.4%	0.64%

Showing the top 50 of 112 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.