Rockefeller Capital Management L.P. Q1 2023 Filing

Filed May 16, 2023

Portfolio Value

$23.3M

Holdings

1,971

Report Date

Q1 2023

Filing Type

13F-HR

All Holdings (1,971 positions)

#	Stock	Shares	Value	% Portfolio
1001	SPYGSPDR SER TR	34,301	$1.0M	4.30%
1002	FUTYFIDELITY COVINGTON TRUST	24,908	$1.0M	4.30%
1003	NRKNUVEEN NEW YORK AMT QLT MUNI	164,282	$1.0M	4.30%
1004	ADPTADAPTIVE BIOTECHNOLOGIES COR	164,954	$1.0M	4.30%
1005	VRTVERTIV HOLDINGS CO	78,978	$1.0M	4.30%
1006	EXGEATON VANCE TAX ADVT DIV INC	62,121	$1.0M	4.30%
1007	EIMEATON VANCE MUN BD FD	136,768	$1.0M	4.30%
1008	PACWUSDPACWEST BANCORP DEL	107,547	$1.0M	4.30%
1009	LQDHISHARES U S ETF TR	11,556	$1.0M	4.30%
1010	JHMMJOHN HANCOCK EXCHANGE TRADED	32,873	$1.0M	4.30%
1011	LF2PACIFIC PREMIER BANCORP	52,683	$1.0M	4.30%
1012	TIGOMILLICOM INTL CELLULAR S A	83,350	$1.0M	4.30%
1013	GHYPGIM GLOBAL HIGH YIELD FD FO	165,090	$1.0M	4.30%
1014	ARCOARCOS DORADOS HOLDINGS INC	196,738	$1.0M	4.30%
1015	MTBM & T BK CORP	14,057	$1.0M	4.30%
1016	KNTKKINETIK HOLDINGS INC	49,393	$1.0M	4.30%
1017	EQHEQUITABLE HLDGS INC	42,140	$1.0M	4.30%
1018	—TORTOISE PWR & ENERGY INFRAS	147,192	$1.0M	4.30%
1019	XJQCXNUVEEN CR STRATEGIES INCOME	231,602	$1.0M	4.30%
1020	SIZEISHARES TR	11,491	$1.0M	4.30%
1021	PCEFINVESCO EXCH TRADED FD TR II	99,438	$1.0M	4.30%
1022	DEMWISDOMTREE TR	28,276	$1.0M	4.30%
1023	VKQINVESCO MUNICIPAL TRUST	139,331	$1.0M	4.30%
1024	MVFBLACKROCK MUNIVEST FD INC	144,963	$1.0M	4.30%
1025	TWLOTWILIO INC	20,952	$1.0M	4.30%
1026	MEGIMAINSTAY CBRE GBL INFRSTR ME	119,452	$1.0M	4.30%
1027	MUABLACKROCK MUNIASSETS FD INC	110,264	$1.0M	4.30%
1028	IFRAISHARES TR	37,110	$1.0M	4.30%
1029	FXRFIRST TR EXCHANGE TRADED FD	22,625	$1.0M	4.30%
1030	IEPICAHN ENTERPRISES LP	32,152	$1.0M	4.30%
1031	OVEROVERSTOCK COM INC DEL	59,300	$1.0M	4.30%
1032	BCXBLACKROCK RES & COMMODITIES	156,638	$1.0M	4.30%
1033	EOSEATON VANCE ENHANCED EQUITY	85,131	$1.0M	4.30%
1034	FXGFIRST TR EXCHANGE TRADED FD	26,888	$1.0M	4.30%
1035	BTXBLACKROCK INNOVATION AND GRW	249,023	$1.0M	4.30%
1036	ODP1THE ODP CORP	29,324	$1.0M	4.30%
1037	NFJVIRTUS DIVIDEND INTEREST & P	85,623	$1.0M	4.30%
1038	EEMVISHARES INC	34,060	$1.0M	4.30%
1039	QMARFIRST TR EXCHNG TRADED FD VI	87,300	$1.0M	4.30%
1040	EWLISHARES INC	32,920	$1.0M	4.30%
1041	XBFZXBLACKROCK CALIF MUN INCOME T	121,655	$1.0M	4.30%
1042	RWLINVESCO EXCH TRADED FD TR II	15,230	$1.0M	4.30%
1043	WTVWISDOMTREE TR	20,079	$1.0M	4.30%
1044	HTGCHERCULES CAPITAL INC	134,921	$1.0M	4.30%
1045	KIOKKR INCOME OPPORTUNITIES FD	129,834	$1.0M	4.30%
1046	NMZNUVEEN MUN HIGH INCOME OPPOR	171,561	$1.0M	4.30%
1047	BWXTBWX TECHNOLOGIES INC	30,198	$1.0M	4.30%
1048	BBHVANECK ETF TRUST	11,492	$1.0M	4.30%
1049	NFENEW FORTRESS ENERGY INC	45,000	$1.0M	4.30%
1050	SKAASKECHERS U S A INC	30,630	$1.0M	4.30%
1051	HOODROBINHOOD MKTS INC	133,146	$1.0M	4.30%
1052	MSGSMADISON SQUARE GRDN SPRT COR	8,212	$1.0M	4.30%
1053	NTLAINTELLIA THERAPEUTICS INC	32,149	$1.0M	4.30%
1054	FXLFIRST TR EXCHANGE TRADED FD	9,979	$1.0M	4.30%
1055	FFEBFIRST TR EXCHNG TRADED FD VI	30,946	$1.0M	4.30%
1056	MQTBLACKROCK MUNIYIELD QUALITY	129,404	$1.0M	4.30%
1057	ETWEATON VANCE TAX-MANAGED GLOB	225,929	$1.0M	4.30%
1058	ETXEATON VANCE MUN INCOME 2028	87,457	$1.0M	4.30%
1059	IHAKISHARES TR	28,939	$1.0M	4.30%
1060	VKIINVESCO ADVANTAGE MUN INCOME	147,969	$1.0M	4.30%
1061	FTGCFIRST TR EXCHANGE TRAD FD VI	80,670	$1.0M	4.30%
1062	VGMINVESCO TR INVT GRADE MUNS	195,966	$1.0M	4.30%
1063	BIDUNBAIDU INC	10,474	$1.0M	4.30%
1064	PMOPUTNAM MUN OPPORTUNITIES TR	126,584	$1.0M	4.30%
1065	FDISFIDELITY COVINGTON TRUST	27,260	$1.0M	4.30%
1066	PDIPIMCO DYNAMIC INCOME FD	105,583	$1.0M	4.30%
1067	VTIPVANGUARD MALVERN FDS	31,743	$1.0M	4.30%
1068	URAGLOBAL X FDS	51,662	$1.0M	4.30%
1069	TMCWWTMC THE METALS COMPANY INC	10,000	$1.0M	4.30%
1070	ETGEATON VANCE TX ADV GLBL DIV	85,060	$1.0M	4.30%
1071	HYMBSPDR SER TR	43,364	$1.0M	4.30%
1072	—BROOKFIELD REINS LTD	31,452	$1.0M	4.30%
1073	FTXLFIRST TR EXCHANGE-TRADED FD	17,974	$1.0M	4.30%
1074	BILSSPDR SER TR	11,175	$1.0M	4.30%
1075	PPLTABRDN PLATINUM ETF TRUST	13,467	$1.0M	4.30%
1076	FTXGFIRST TR EXCHANGE-TRADED FD	45,443	$1.0M	4.30%
1077	DTHWISDOMTREE TR	27,228	$1.0M	4.30%
1078	SPSMSPDR SER TR	26,672	$1.0M	4.30%
1079	NDMONUVEEN DYNAMIC MUN OPPORTUNI	176,688	$1.0M	4.30%
1080	RQICOHEN & STEERS QUALITY INCOM	107,960	$1.0M	4.30%
1081	SPIBSPDR SER TR	58,030	$1.0M	4.30%
1082	SGOLABRDN GOLD ETF TRUST	59,898	$1.0M	4.30%
1083	USACUSA COMPRESSION PARTNERS LP	67,849	$1.0M	4.30%
1084	FTSLFIRST TR EXCHANGE-TRADED FD	28,341	$1.0M	4.30%
1085	CTLTEURCATALENT INC	25,290	$1.0M	4.30%
1086	VONEVANGUARD SCOTTSDALE FDS	5,873	$1.0M	4.30%
1087	TLVGRUPO TELEVISA S A B	291,800	$1.0M	4.30%
1088	GWWGRAINGER W W INC	1,451	$998K	4.29%
1089	LDOSLEIDOS HOLDINGS INC	10,846	$998K	4.29%
1090	EFGISHARES TR	10,655	$998K	4.29%
1091	FMCFMC CORP	8,167	$996K	4.28%
1092	CFGCITIZENS FINL GROUP INC	32,747	$993K	4.27%
1093	INDAISHARES TR	25,247	$993K	4.27%
1094	SILGLOBAL X FDS	32,249	$990K	4.26%
1095	BSTBLACKROCK SCIENCE & TECHNOLO	30,578	$988K	4.25%
1096	HZNPHORIZON THERAPEUTICS PUB L	9,035	$985K	4.24%
1097	PDXPIMCO ENERGY & TACTICAL CR O	67,454	$984K	4.23%
1098	JCIJOHNSON CTLS INTL PLC	16,345	$983K	4.23%
1099	DSLDOUBLELINE INCOME SOLUTIONS	85,900	$976K	4.20%
1100	FBNDFIDELITY MERRIMACK STR TR	21,239	$976K	4.20%

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