Split Rock Private Trading & Wealth Management, LLC

Registered adviser

CIK

2095884

Location

Cloquet, MN

Portfolio Value

Small $130,058,842

Diversification

Moderately concentrated

Filing Date

Global Rank

#7,390 / 8,807 ▼ 80 · as of Jun 2026

Top Industry

Consumer Electronics 36.3%

3Y Alpha vs SPY

-4.9%

Period ended 20 days ago

Filed Oct 15, 2026 · 5d

4 quarters · since Dec 2025

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, Oct 1, 2026

Form ADV adviser

CRD 152003

Roster of Oct 1, 2026

Regulatory AUM

$356,141,386

Main clients

Individuals and high net worth (83% of AUM)

Registered funds advised

1 series (0 index, 1 ETF)

$50,775,607 net assets· N-CEN Mar 31, 2026

Form ADV history

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

Rosters	Regulatory AUM	Main clients
Feb 2026 to Oct 2026	$356,141,386	Individuals and high net worth (83%)
Mar 2025 to Jan 2026	$308,706,394	Individuals and high net worth (83%)
Feb 2024 to Feb 2025	$224,513,004	Individuals and high net worth (98%)
May 2023 to Jan 2024	$183,072,913	Individuals and high net worth (98%)
Feb 2023 to Apr 2023	$183,072,913	Individuals and high net worth (98%)
Mar 2022 to Jan 2023	$163,817,354	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

Concentrated

The top 10 positions are 81.5% of the book (60%+)

Turnover

Turnover unknown

It needs four straight quarters of measured turnover

Horizon

Short horizon

Value-weighted holding period 2.7 quarters (under 4)

Closest benchmark: the S&P 500 as of 2026-06-30, active share 86.9%; sector active share 75.8% against the combined 13F book's sector weights.

Over time 3 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

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

Top Position

43.0%

+5.4 pts

Top 5

67.7%

+7.1 pts

Top 10

86.0%

+4.5 pts

HHI

2,088

Moderately concentrated+424

Portfolio Trend

4 quarters · across all stocks

Sector Breakdown

As of Sep 30, 2026

Sector	% Portfolio	Value	Positions
Unclassified	82.0%	$106,687,587	37
Technology	10.1%	$13,146,529	5
Consumer Cyclical	5.4%	$6,962,745	1
Industrials	0.8%	$1,086,805	2
Financial Services	0.8%	$1,011,834	1
Energy	0.4%	$526,821	1
Consumer Defensive	0.3%	$384,815	1
Basic Materials	0.2%	$226,406	1
Healthcare	0.0%	$25,300	1

Last Quarter's Activity

Export CSV

Sep 30, 2026 vs Jun 30, 2026

Added To

Positions the filer increased

19 positions

Ticker	Company	Δ Shares	Shares	Value
LMBS	First Trust Low Duration Opportunities ETF	+12,205	54,752	$2,653,281
KOOL	North Shore Equity Rotation ETF	+11,506	3,842,590	$55,875,101
GTND	Goaltender ETF	+4,647	237,790	$6,132,604
BUFR	FT Vest Laddered Buffer ETF	+3,117	166,009	$6,220,357
SFLR		+1,846	140,827	$5,485,211
—		+1,532	64,570	$0
ACYS	FT Vest Laddered Autocallable Barrier & Resilient Income ETF	+1,479	20,794	$427,940
IBIE	iShares iBonds Oct 2028 Term TIPS ETF	+1,149	83,217	$0
—		+923	40,769	$0
SUB	iShares Short-Term National Muni Bond ETF	+833	3,991	$0
MUB	iShares National Muni Bond ETF	+826	7,932	$0
GLDI	Credit Suisse AG	+306	7,370	$1,035,558
SLVO		+299	12,531	$810,379
AVDE	Avantis International Equity ETF	+282	3,253	$293,127
FBTC	Fidelity Wise Origin Bitcoin Fund	+159	9,013	$654,704
AMD	Advanced Micro Devices Inc	+85	764	$467,384
AMZN	Amazon Com Inc	+81	27,946	$6,962,745
WMT	Walmart Inc.	+33	3,703	$384,815
NVDA	Nvidia Corp	+12	7,743	$1,768,346
No positions match the current search.

Trimmed

Positions the filer reduced

15 positions

Ticker	Company	Δ Shares	Shares	Value
FBND	Fidelity Total Bond ETF	−58,255	71,561	$3,098,591
JMBS	Janus Henderson Mortgage-Backed Securities ETF	−13,504	6,076	$256,771
JAAA	Janus Henderson AAA CLO ETF	−8,785	103,327	$5,214,913
TFLO	iShares Treasury Floating Rate Bond ETF	−2,081	141,315	$0
FGD	First Trust Dow Jones Global Select Dividend Index Fund	−514	48,666	$1,614,251
AVUV	Avantis U.S. Small Cap Value ETF	−319	2,077	$244,608
PWR	Quanta Services, Inc.	−248	1,232	$791,572
MSFT	Microsoft Corp	−113	4,032	$2,068,012
AVGO	Broadcom Inc.	−107	1,014	$356,106
EBUF		−106	23,543	$746,313
AAPL	Apple Inc.	−44	25,484	$8,486,681
QQQ	Invesco Qqq Trust, Series 1	−41	11,554	$8,547,302
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	−18	16,701	$864,443
FDVV	Fidelity High Dividend ETF	−1	4,084	$248,021
RDVI	FT Vest Rising Dividend Achievers Target Income ETF	−1	7,696	$214,564
No positions match the current search.

New Positions

Positions the filer opened this quarter

4 positions

Ticker	Company	Shares	Value
CSHI	NEOS Enhanced Income 1-3 Month T-Bill ETF	46,330	$2,303,064
BALT		57,051	$1,993,932
SPCX	Space Exploration Technologies Corp	1,957	$295,233
AVLV	Avantis U.S. Large Cap Value ETF	2,392	$216,332
No positions match the current search.

Sold Out

Positions the filer fully exited

3 positions

Ticker	Company	Shares	Value
VBIL	Vanguard Institutional Index Funds	24,826	$1,878,831
UPS	United Parcel Service Inc	2,036	$218,870
ORCL	Oracle Corp	1,456	$213,376
No positions match the current search.

Portfolio Positions

Compact Export CSV View 13F filing

50 tracked positions · $130,058,842 total · filing declares 50 positions · $148,752,862 · as of Sep 30, 2026

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

Ticker	Company	Type	Shares	Δ Shares	Value (USD)	% Δ Value	% of Portfolio
KOOL	North Shore Equity Rotation ETF	Added	3,842,590	+11,506	$55,875,101	+2.0%	42.96%
QQQ	Invesco Qqq Trust, Series 1	Reduced	11,554	-41	$8,547,302	+0.1%	6.57%
AAPL	Apple Inc. Technology	Reduced	25,484	-44	$8,486,681	+14.9%	6.53%
AMZN	Amazon Com Inc Consumer Cyclical	Added	27,946	+81	$6,962,745	+4.8%	5.35%
BUFR	FT Vest Laddered Buffer ETF	Added	166,009	+3,117	$6,220,357	+4.5%	4.78%
GTND	Goaltender ETF	Added	237,790	+4,647	$6,132,604	+3.4%	4.72%
SFLR		Added	140,827	+1,846	$5,485,211	+2.3%	4.22%
JAAA	Janus Henderson AAA CLO ETF	Reduced	103,327	-8,785	$5,214,913	−7.9%	4.01%
FBND	Fidelity Total Bond ETF	Reduced	71,561	-58,255	$3,098,591	−47.5%	2.38%
LMBS	First Trust Low Duration Opportunities ETF	Added	54,752	+12,205	$2,653,281	+25.3%	2.04%
CSHI	NEOS Enhanced Income 1-3 Month T-Bill ETF	NEW	46,330	NEW	$2,303,064	NEW	1.77%
MSFT	Microsoft Corp Technology	Reduced	4,032	-113	$2,068,012	+33.8%	1.59%
BALT		NEW	57,051	NEW	$1,993,932	NEW	1.53%
NVDA	Nvidia Corp Technology	Added	7,743	+12	$1,768,346	+14.3%	1.36%
FGD	First Trust Dow Jones Global Select Dividend Index Fund	Reduced	48,666	-514	$1,614,251	+2.6%	1.24%
GLDI	Credit Suisse AG	Added	7,370	+306	$1,035,558	+4.3%	0.80%
BRK-B	Berkshire Hathaway Inc Financial Services	Held	2,032	0	$1,011,834	−0.5%	0.78%
SPEM	State Street(R) SPDR(R) Portfolio Emerging Markets ETF	Reduced	16,701	-18	$864,443	−0.1%	0.66%
SLVO		Added	12,531	+299	$810,379	+1.8%	0.62%
PWR	Quanta Services, Inc. Industrials	Reduced	1,232	-248	$791,572	−25.7%	0.61%
EBUF		Reduced	23,543	-106	$746,313	−0.9%	0.57%
FBTC	Fidelity Wise Origin Bitcoin Fund	Added	9,013	+159	$654,704	+44.8%	0.50%
XOM	ExxonMobil Holdings Corp Energy	Held	3,237	0	$526,821	+19.0%	0.41%
AMD	Advanced Micro Devices Inc Technology	Added	764	+85	$467,384	+18.5%	0.36%
ACYS	FT Vest Laddered Autocallable Barrier & Resilient Income ETF	Added	20,794	+1,479	$427,940	+7.9%	0.33%
TDV	ProShares S&P Technology Dividend Aristocrats ETF	Held	3,880	0	$385,594	−4.4%	0.30%
WMT	Walmart Inc. Consumer Defensive	Added	3,703	+33	$384,815	−7.4%	0.30%
EVTR	Eaton Vance Total Return Bond ETF	Held	7,590	0	$365,762	−5.0%	0.28%
BIV	Vanguard Bond Index Funds	Held	4,955	0	$361,021	−5.0%	0.28%
AVGO	Broadcom Inc. Technology	Reduced	1,014	-107	$356,106	−15.9%	0.27%
SPCX	Space Exploration Technologies Corp Industrials	NEW	1,957	NEW	$295,233	NEW	0.23%
AVDE	Avantis International Equity ETF	Added	3,253	+282	$293,127	+10.6%	0.23%
JMBS	Janus Henderson Mortgage-Backed Securities ETF	Reduced	6,076	-13,504	$256,771	−70.9%	0.20%
FDVV	Fidelity High Dividend ETF	Reduced	4,084	-1	$248,021	+0.7%	0.19%
AVUV	Avantis U.S. Small Cap Value ETF	Reduced	2,077	-319	$244,608	−18.2%	0.19%
AGI	Alamos Gold Inc Basic Materials	Held	6,990	0	$226,406	+6.8%	0.17%
AVLV	Avantis U.S. Large Cap Value ETF	NEW	2,392	NEW	$216,332	NEW	0.17%
VCIT	VANGUARD INTERMEDIATE-TERM CORPORATE BOND INDEX FUND	Held	2,760	0	$216,135	−5.3%	0.17%
RDVI	FT Vest Rising Dividend Achievers Target Income ETF	Reduced	7,696	-1	$214,564	−5.2%	0.16%
SDY	State Street(R) SPDR(R) S&P(R) Dividend ETF	Held	1,418	0	$207,708	−3.7%	0.16%
ELDN	Eledon Pharmaceuticals, Inc. Healthcare	Held	10,000	0	$25,300	−35.8%	0.02%
		Held	1,670	0	$0	−100.0%	0.00%
		Added	64,570	+1,532	$0	−100.0%	0.00%
		Added	40,769	+923	$0	−100.0%	0.00%
IBIE	iShares iBonds Oct 2028 Term TIPS ETF	Added	83,217	+1,149	$0	−100.0%	0.00%
IVV	iShares Core S&P 500 ETF	Held	399	0	$0	−100.0%	0.00%
IWS	iShares Russell Mid-Cap Value ETF	Held	1,461	0	$0	−100.0%	0.00%
MUB	iShares National Muni Bond ETF	Added	7,932	+826	$0	−100.0%	0.00%
SUB	iShares Short-Term National Muni Bond ETF	Added	3,991	+833	$0	−100.0%	0.00%
TFLO	iShares Treasury Floating Rate Bond ETF	Reduced	141,315	-2,081	$0	−100.0%	0.00%

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.