0001085146-16-004238.txt : 20160810 0001085146-16-004238.hdr.sgml : 20160810 20160810165057 ACCESSION NUMBER: 0001085146-16-004238 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160810 DATE AS OF CHANGE: 20160810 EFFECTIVENESS DATE: 20160810 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NorthRock Partners, LLC CENTRAL INDEX KEY: 0001632097 IRS NUMBER: 274761668 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16755 FILM NUMBER: 161822055 BUSINESS ADDRESS: STREET 1: 650 THIRD AVENUE SOUTH STREET 2: SUITE 1500 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-367-8800 MAIL ADDRESS: STREET 1: 650 THIRD AVENUE SOUTH STREET 2: SUITE 1500 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001632097 XXXXXXXX 06-30-2016 06-30-2016 NorthRock Partners, LLC

650 THIRD AVENUE SOUTH SUITE 1500 MINNEAPOLIS MN 55402

13F HOLDINGS REPORT 028-16755 N James Lund 612 367-8803 /s/ James Lund Minneapolis MN 08-08-2016 0 47 223390 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101274417356SHSOLE 1735600AMERIPRISE FINL INCCOM03076C106203322539SHSOLE 2253900APPLE INCCOM0378331008098465SHSOLE 846500AT&T INCCOM00206R1022966846SHSOLE 684600AUTOMATIC DATA PROCESSING INCOM0530151032032197SHSOLE 219700BERKSHIRE HATHAWAY INC DELCL A0846701082171SHSOLE 100BEST BUY INCCOM08651610163221115SHSOLE 2111500BOSTON SCIENTIFIC CORPCOM10113710735415130SHSOLE 1513000CELGENE CORPCOM1510201045716189SHSOLE 618900CHRISTOPHER & BANKS CORPCOM1710461057534500SHSOLE 3450000CLEARBRIDGE ENERGY MLP FD INCOM184692101258341621958SHSOLE 162195800COCA COLA COCOM19121610076516882SHSOLE 1688200DAKOTA PLAINS HLDGS INCCOM23425510749444600SHSOLE 44460000EATON VANCE FLTING RATE INCCOM2782791045814291SHSOLE 1429100EXXON MOBIL CORPCOM30231G1025235598SHSOLE 559800GENERAL MLS INCCOM3703341042533554SHSOLE 355400GRAMERCY PPTY TRCOM3850021003821409872SHSOLE 40987200HAWKINS INCCOM420261109112825962SHSOLE 2596200INTERNATIONAL BUSINESS MACHSCOM4592001013783882SHSOLE 388200ISHARES TRRUS MDCP VAL ETF46428747312392166804SHSOLE 16680400ISHARES TRRUS MD CP GR ETF46428748111686124991SHSOLE 12499100ISHARES TRRUS 1000 VAL ETF46428759827734268633SHSOLE 26863300ISHARES TRRUS 1000 GRW ETF46428761427228271148SHSOLE 27114800ISHARES TRSP SMCP600VL ETF4642878791054090145SHSOLE 9014500ISHARES TRSP SMCP600GR ETF4642878871080784170SHSOLE 8417000JOHNSON & JOHNSONCOM4781601042141766SHSOLE 176600MEDTRONIC PLCSHSG5960L1032943406SHSOLE 340600MICROSOFT CORPCOM5949181042795445SHSOLE 544500MOSAIC CO NEWCOM61945C10357722033SHSOLE 2203300NEURALSTEM INCCOM64127R3021136000SHSOLE 3600000PROCTER & GAMBLE COCOM742718109109612934SHSOLE 1293400PROVIDENCE SVC CORPCOM74381510290520174SHSOLE 2017400QUMU CORPCOM74906310317840000SHSOLE 4000000SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y5065778456SHSOLE 845600SPDR S&P 500 ETF TRTR UNIT78462F10357018272198SHSOLE 27219800SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1073001100SHSOLE 110000TARGET CORPCOM87612E10617349238113SHSOLE 23811300UNITED PARCEL SERVICE INCCL B9113121064003714SHSOLE 371400UNITEDHEALTH GROUP INCCOM91324P1026054287SHSOLE 428700VANGUARD INDEX FDSMCAP VL IDXVIP9229085123113495SHSOLE 349500VANGUARD INDEX FDSMCAP GR IDXVIP9229085383113050SHSOLE 305000VANGUARD INDEX FDSREIT ETF9229085532703026SHSOLE 302600VANGUARD INDEX FDSSML CP GRW ETF9229085953085134SHSOLE 513400VANGUARD INDEX FDSSM CP VAL ETF9229086112632490SHSOLE 249000VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582186151SHSOLE 615100VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7145716360SHSOLE 636000WELLS FARGO & CO NEWCOM9497461012054343SHSOLE 434300