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Name

As of 08/26/2022

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

Rockefeller Equity Allocation Fund

ROCKX | Fund

$7.02

$41.7 M

3.93%

$0.28

1.23%

Vitals

YTD Return

-42.9%

1 yr return

-12.8%

3 Yr Avg Return

6.5%

5 Yr Avg Return

5.2%

Net Assets

$41.7 M

Holdings in Top 10

23.7%

52 WEEK LOW AND HIGH

$7.0
$7.02
$14.81

Expenses

OPERATING FEES

Expense Ratio 1.23%

SALES FEES

Front Load N/A

Deferred Load N/A

TRADING FEES

Turnover 40.55%

Redemption Fee N/A

Min Investment

Standard (Taxable)

$1,000,000

IRA

N/A

Fund Classification

Fund Type

Open End Mutual Fund

Name

As of 08/26/2022

Price

Aum/Mkt Cap

YIELD

Annualized forward dividend yield. Multiplies the most recent dividend payout amount by its frequency and divides by the previous close price.

Exp Ratio

Expense ratio is the fund’s total annual operating expenses, including management fees, distribution fees, and other expenses, expressed as a percentage of average net assets.

Watchlist

Rockefeller Equity Allocation Fund

ROCKX | Fund

$7.02

$41.7 M

3.93%

$0.28

1.23%

ROCKX - Profile

Distributions

  • YTD Total Return -42.9%
  • 3 Yr Annualized Total Return 6.5%
  • 5 Yr Annualized Total Return 5.2%
  • Capital Gain Distribution Frequency Annually
  • Net Income Ratio 0.60%
DIVIDENDS
  • Dividend Yield 3.9%
  • Dividend Distribution Frequency Quarterly

Fund Details

  • Legal Name
    Rockefeller Equity Allocation Fund
  • Fund Family Name
    Rockefeller & Co.
  • Inception Date
    Feb 04, 2015
  • Shares Outstanding
    3885247
  • Share Class
    Inst
  • Currency
    USD
  • Domiciled Country
    United States
  • Manager
    David Harris

Fund Description

The Fund seeks to achieve its investment objective of long-term total return from capital appreciation and income by investing its assets globally in a range of equity asset classes and, to a lesser extent, in fixed income securities, real estate and commodity linked equities (such as real estate investment trusts (“REITs”) and master limited partnerships (“MLPs”)), and currencies. The Adviser will allocate the Fund’s assets across asset classes taking into consideration both the Adviser’s longer-term strategic outlook as well as tactical views as to potential near-term opportunities. The Adviser considers a number of factors when making allocation decisions, including relative attractiveness among equity market capitalizations and geographic regions, inflation risks and factors that influence commodity prices.
Under normal market conditions, the Fund will invest at least 80% of its net assets (plus any borrowings for investment purposes) in equity securities. Equity securities in which the Fund may invest include common stocks, preferred stocks, depositary receipts, interests in REITs and MLPs, and interests in other investment companies and exchange-traded funds (“ETFs”) that invest in equity securities. The Fund may invest in equity securities of U.S. and foreign companies (including issuers domiciled in emerging markets or less developed countries) with market capitalizations of any size. The Fund’s investments in common stocks of foreign companies may include depositary receipts, such as American Depositary Receipts (“ADRs”) and Global Depositary Receipts (“GDRs”). The Fund invests a portion of its assets in securities that are traded in currencies other than U.S. dollars, so the Fund may buy and sell foreign currencies to facilitate transactions in portfolio securities. The Fund generally will not seek to hedge against currency risks, although the Fund may engage in such hedging strategies if the Adviser determines that it may be advantageous to do so.
Equity exposure will be obtained primarily through allocations among investment strategies managed by the Adviser. These equity strategies may include global equities, regional equities and sector/industry-specific equities. The Adviser’s strategies may focus on particular market capitalizations (large cap, mid-cap or small-cap) or may invest across all market capitalizations. The strategies also may invest in growth stocks, value stocks, and cyclical stocks (and in combinations thereof), and may have investment objectives seeking capital appreciation, income and total return. In selecting investments for these strategies, the Adviser applies a bottom-up security analysis that includes fundamental, sector-based research in seeking to identify businesses that have high or improving returns on capital, barriers to competition and compelling valuations.
In addition, the Fund may, under normal market conditions, invest up to 20% of its net assets in fixed income securities, commodity-linked instruments and currencies, as well as interests in other investment companies and ETFs that invest in such asset classes, in an effort to enhance portfolio returns and/or reduce risk. The Fund’s investments in fixed income securities may include, but are not limited to, securities of varying maturities, durations and ratings, including securities that have been rated below investment grade by a nationally recognized statistical ratings organization (“NRSRO”), commonly referred to as “junk bonds” or “high yield bonds”, and securities which have not been rated by NRSROs.
Read More

ROCKX - Performance

Return Ranking - Trailing

Period ROCKX Return Category Return Low Category Return High Rank in Category (%)
YTD -42.9% -35.6% 29.2% 48.77%
1 Yr -12.8% 17.3% 252.4% 64.32%
3 Yr 6.5%* -3.5% 34.6% 72.26%
5 Yr 5.2%* 0.1% 32.7% 68.19%
10 Yr N/A* -6.9% 18.3% N/A

* Annualized

Return Ranking - Calendar

Period ROCKX Return Category Return Low Category Return High Rank in Category (%)
2023 -7.1% -24.3% 957.1% 67.26%
2022 7.9% -38.3% 47.1% 75.60%
2021 16.0% -54.2% 0.6% 53.03%
2020 -15.2% -76.0% 54.1% 28.26%
2019 22.3% -26.1% 47.8% 32.06%

Total Return Ranking - Trailing

Period ROCKX Return Category Return Low Category Return High Rank in Category (%)
YTD -42.9% -35.6% 29.2% 49.66%
1 Yr -12.8% 11.4% 252.4% 60.45%
3 Yr 6.5%* -3.5% 34.6% 70.07%
5 Yr 5.2%* 0.1% 32.7% 65.91%
10 Yr N/A* -6.9% 18.3% N/A

* Annualized

Total Return Ranking - Calendar

Period ROCKX Return Category Return Low Category Return High Rank in Category (%)
2023 -7.1% -24.3% 957.1% 67.26%
2022 7.9% -33.1% 47.1% 75.85%
2021 16.0% -44.4% 1.8% 66.76%
2020 -15.2% -6.5% 54.1% 49.49%
2019 22.3% -14.4% 47.8% 51.36%

NAV & Total Return History

ROCKX - Holdings

Concentration Analysis

ROCKX Category Low Category High ROCKX % Rank
Net Assets 41.7 M 199 K 133 B 74.67%
Number of Holdings 137 1 9075 26.43%
Net Assets in Top 10 10.9 M -18 M 37.6 B 76.98%
Weighting of Top 10 23.68% 9.1% 100.0% 69.34%

Top 10 Holdings

  1. Microsoft Corp 3.93%
  2. Samsung Electronics Co Ltd 3.39%
  3. Samsung Electronics Co Ltd 3.39%
  4. Samsung Electronics Co Ltd 3.39%
  5. Samsung Electronics Co Ltd 3.39%
  6. Samsung Electronics Co Ltd 3.39%
  7. Samsung Electronics Co Ltd 3.39%
  8. Samsung Electronics Co Ltd 3.39%
  9. Samsung Electronics Co Ltd 3.39%
  10. Samsung Electronics Co Ltd 3.39%

Asset Allocation

Weighting Return Low Return High ROCKX % Rank
Stocks 		98.49% 61.84% 125.47% 59.36%
Cash 		1.51% -174.70% 23.12% 37.00%
Preferred Stocks 		0.00% -0.01% 5.28% 94.38%
Other 		0.00% -13.98% 19.14% 94.16%
Convertible Bonds 		0.00% 0.00% 4.46% 94.38%
Bonds 		0.00% -1.50% 161.67% 94.71%

Stock Sector Breakdown

Weighting Return Low Return High ROCKX % Rank
Financial Services 		24.42% 0.00% 38.42% 8.04%
Technology 		23.62% 0.00% 49.87% 43.39%
Industrials 		15.32% 0.00% 44.06% 13.33%
Healthcare 		14.73% 0.00% 35.42% 53.08%
Communication Services 		8.24% 0.00% 57.66% 72.36%
Consumer Cyclical 		5.07% 0.00% 40.94% 77.20%
Basic Materials 		3.76% 0.00% 38.60% 20.04%
Real Estate 		2.52% 0.00% 39.48% 11.23%
Utilities 		1.55% 0.00% 29.12% 40.20%
Consumer Defense 		0.77% 0.00% 73.28% 96.81%
Energy 		0.00% 0.00% 21.15% 99.01%

Stock Geographic Breakdown

Weighting Return Low Return High ROCKX % Rank
US 		50.26% 0.13% 103.82% 84.25%
Non US 		48.23% 0.58% 99.46% 12.11%

ROCKX - Expenses

Operational Fees

ROCKX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Expense Ratio 1.23% 0.01% 44.27% 48.80%
Management Fee 0.85% 0.00% 1.82% 87.42%
12b-1 Fee N/A 0.00% 1.00% N/A
Administrative Fee N/A 0.01% 0.76% 55.36%

Sales Fees

ROCKX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Front Load N/A 2.50% 5.75% N/A
Deferred Load N/A 1.00% 5.00% N/A

Trading Fees

ROCKX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Max Redemption Fee N/A 1.00% 2.00% N/A

Related Fees

Turnover provides investors a proxy for the trading fees incurred by mutual fund managers who frequently adjust position allocations. Higher turnover means higher trading fees.

ROCKX Fees (% of AUM) Category Return Low Category Return High Rank in Category (%)
Turnover 40.55% 0.00% 395.00% 82.34%

ROCKX - Distributions

Dividend Yield Analysis

ROCKX Category Low Category High ROCKX % Rank
Dividend Yield 3.93% 0.00% 3.26% 94.09%

Dividend Distribution Analysis

ROCKX Category Low Category High Category Mod
Dividend Distribution Frequency Quarterly Annually Annually Annually

Net Income Ratio Analysis

ROCKX Category Low Category High ROCKX % Rank
Net Income Ratio 0.60% -4.27% 12.65% 53.41%

Capital Gain Distribution Analysis

ROCKX Category Low Category High Capital Mode
Capital Gain Distribution Frequency Annually Annually Semi-Annually Annually

Distributions History

View More +

ROCKX - Fund Manager Analysis

Managers

David Harris

Start Date

Tenure

Tenure Rank

Feb 04, 2015

7.32

7.3%

David Harris, CFA, is Chairman of Rockefeller Asset Management and a member of the Executive Team. He was previously Chief Investment Officer from 2005 through 2021, and prior to his CIO role he was the firm’s Director of Equity Management, where he led the global equity portfolio and the equity analyst team. Before joining Rockefeller, Mr. Harris worked at Stein Roe & Farnham, where he was a portfolio manager for non-U.S. and emerging market equity funds.

Michael Seo

Start Date

Tenure

Tenure Rank

Dec 09, 2020

1.47

1.5%

Michael Seo, CFA, is Managing Director and Portfolio Manager of Global Equity strategies for Rockefeller Asset Management. Mr. Seo first joined the firm in March 1999 as a Performance Analyst and subsequently assumed the role of Equity Analyst covering the global industrials sector and the role of Director of Equity Research. Mr. Seo received a B.S. in Finance and Information Systems from the Stern School of Business at New York University and is a Chartered Financial Analyst® charterholder.

Tenure Analysis

Category Low Category High Category Average Category Mode
0.01 35.82 6.24 1.25

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