ROTHSCHILD INVESTMENT LLC /IL

CIK 0001020918 · Q3 2023

13F Equity AUM

$1.2T

-1.4% QoQ

Positions

478

-14 QoQ

AUM Rank

#22

Top 0.2%

Skill Alpha (FF)

-0.5%/yr^ns

No Clear Edge

Rank #3,039 · Top 37%

vs S&P -3.5%/yr (unadj.)

Quarters Tracked

~11 years

Portfolio Concentration

Top 5: 12.4%Top 10: 21.1%Top 20: 33.5%

AAPL4.6%

J P MORGAN CHASE & CO COM2.0%

NVDA2.0%

GOOG1.9%

CHV1.9%

BX1.9%

BRK/B1.8%

MSFT1.8%

ABBV1.6%

PRF1.5%

Others (468)79.0%

HHI (Herfindahl-Hirschman Index) measures portfolio concentration. Low (<1500) = diversified, Moderate (1500-2500), High (>2500) = concentrated bets.

Sector Allocation

Financial Services26.4%

Technology15.4%

Healthcare11.0%

Industrials9.3%

Energy6.6%

Communication Services6.1%

Consumer Defensive5.2%

Consumer Cyclical5.1%

Other14.9%

Portfolio weight by GICS sector based on latest 13F filing. Sectors below 2% are grouped as “Other.”

Position Sizing

Positions: 478Median: 0.07%Avg: 0.21%

0–0.5%

422(40.8%)

0.5–1%

35(24.7%)

1–3%

20(29.9%)

3–5%

1(4.6%)

5%+

0(0.0%)

Count of positions per weight bucket — (%) = combined portfolio weight

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Portfolio Overlap

Shared: 255Unique: 223vs 20 funds

3.4%Low

478

Fund positions

7,327

Consensus CUSIPs

Jaccard similarity of this fund’s portfolio vs the consensus of top 20 funds by AUM. Low (<15%) = contrarian, Moderate (15-40%), High (>40%) = follows the crowd.

Most Similar Funds

Top 10 benchmark funds with highest portfolio overlap (Jaccard similarity)

MORGAN STANLEY

4.7%

BANK OF AMERICA CORP /DE/

5.3%

5.5%

8.1%

5.7%

5.7%

BENJAMIN F. EDWARDS & COMPANY, INC.

10.7%

GEODE CAPITAL MANAGEMENT, LLC

5.1%

COLONY GROUP LLC

15.6%

Jaccard similarity per fund: shared CUSIPs / (fund A + fund B − shared). Higher values indicate more similar portfolios.

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Position Changes This Quarter

New29Increased221Decreased167Exited42

New Positions

KVUE0.6%

+372K

GOOS0.0%

+31K

PARAMOUNT GLOBAL CLA…0.0%

+34K

AMERICAN FDS TARGET …0.0%

+35K

PTEN0.0%

+32K

FNEFX0.0%

+10K

PRGO0.0%

+14K

TPR0.0%

+17K

ITOT0.0%

+3K

SNAP0.0%

+43K

Increased

PRF1.5%

+453K(+414%)

FYLD0.7%

+242K(+218%)

VICARIOUS SURGICAL I…0.0%

+161K(+95%)

SNVXX0.0%

+157K(+140%)

ICAPITAL BTAS VIII U…0.0%

+62K(+54%)

ICAPITAL BTAS VIII U…0.0%

+46K(+85%)

WBD0.1%

+36K(+174%)

AMERICAN FDS TARGT D…0.1%

+23K(+63%)

PFE0.5%

+17K(+11%)

CAG0.1%

+17K(+174%)

Decreased

AMERICAN DEV WRLD GR…0.2%

-63,699(-18%)

KEY0.0%

-46,315(-77%)

GRANDEUR PEAK EMERGI…0.3%

-45,552(-13%)

BAC0.3%

-36,901(-21%)

PXH0.5%

-19,725(-6%)

PYPL0.0%

-18,860(-72%)

JNJ1.3%

-18,368(-16%)

GRANDEUR PEAK GLOBAL…0.4%

-14,125(-1%)

WARM0.0%

-11,600(-38%)

INVITATION HOMES INC…0.6%

-9,942(-4%)

Exited

ARK ETF TR GENOMIC R…

-63,095

EBA

-22,723

WISDOMTREE TR EMERGI…

-19,830

VIR BIOTECHNOLOGY IN…

-24,850

TRVC

-12,968

AGTHX

-9,128

TENCENT HLDGS LTD AD…

-11,210

WEP

-8,200

ANWPX

-8,726

ADTN

-42,000

Quarter-over-quarter changes compared to prior 13F filing. New = first appearance; Exited = no longer held.

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Holdings

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