0001085146-17-000415.txt : 20170210 0001085146-17-000415.hdr.sgml : 20170210 20170209205957 ACCESSION NUMBER: 0001085146-17-000415 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170210 DATE AS OF CHANGE: 20170209 EFFECTIVENESS DATE: 20170210 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: 17589278 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 12-31-2016 12-31-2016 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 02-08-2017 0 57 282613 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101250515674SHSOLE 250500AMERIPRISE FINL INCCOM03076C10625453229448SHSOLE 2545300ANNALY CAP MGMT INCCOM03571040920820205SHSOLE 20800APPLE INCCOM0378331009768440SHSOLE 97600AT&T INCCOM00206R10257913602SHSOLE 57900AUTOMATIC DATA PROCESSING INCOM0530151032432354SHSOLE 24300BERKSHIRE HATHAWAY INC DELCL A0846701082441SHSOLE 24400BERKSHIRE HATHAWAY INC DELCL B NEW084670702802149230SHSOLE 802100BEST BUY INCCOM08651610150012304SHSOLE 50000CELGENE CORPCOM151020104155013413SHSOLE 155000CENTURYLINK INCCOM1567001062118847SHSOLE 21100CHRISTOPHER & BANKS CORPCOM1710461058134500SHSOLE 8100CLEARBRIDGE ENERGY MLP FD INCOM184692101264981702986SHSOLE 2649800COCA COLA COCOM19121610056713652SHSOLE 56700DISNEY WALT COCOM DISNEY2546871063513345SHSOLE 35100EXXON MOBIL CORPCOM30231G1024845365SHSOLE 48400GENERAL ELECTRIC COCOM3696041032798779SHSOLE 27900HAWKINS INCCOM420261109137325442SHSOLE 137300ISHARES TRCORE S&P500 ETF4642872003401507SHSOLE 34000ISHARES TRMSCI EAFE ETF464287465386366898SHSOLE 386300ISHARES TRRUS MDCP VAL ETF46428747313624169547SHSOLE 1362400ISHARES TRRUS MD CP GR ETF46428748112530128694SHSOLE 1253000ISHARES TRRUS MID-CAP ETF4642874992181216SHSOLE 21800ISHARES TRRUS 1000 VAL ETF46428759831439280598SHSOLE 3143900ISHARES TRRUS 1000 GRW ETF46428761429402280299SHSOLE 2940200ISHARES TRCORE S&P SCP ETF464287804492835860SHSOLE 492800ISHARES TRSP SMCP600VL ETF4642878791247789119SHSOLE 1247700ISHARES TRSP SMCP600GR ETF4642878871269084290SHSOLE 1269000ISHARES TRUSA ESG SLCT ETF4642888022702930SHSOLE 27000ISHARES TREAFE GRWTH ETF464288885159225000SHSOLE 159200JOHNSON & JOHNSONCOM4781601042031766SHSOLE 20300LPL FINL HLDGS INCCOM50212V1002226318SHSOLE 22200MEDTRONIC PLCSHSG5960L1032493512SHSOLE 24900MERCK & CO INCCOM58933Y1052253810SHSOLE 22500MICROSOFT CORPCOM5949181044377022SHSOLE 43700MOSAIC CO NEWCOM61945C1032669081SHSOLE 26600NORTHERN OIL & GAS INC NEVCOM6655311095921500SHSOLE 5900NUVEEN AMT FREE MUN CR INC FCOM67071L10618712913SHSOLE 18700PROCTER AND GAMBLE COCOM7427181095086016SHSOLE 50800PROVIDENCE SVC CORPCOM7438151023228474SHSOLE 32200SCHWAB STRATEGIC TRUS MID-CAP ETF8085245084930109215SHSOLE 493000SELECT SECTOR SPDR TRSBI HEALTHCARE81369Y209278540410SHSOLE 278500SPDR S&P 500 ETF TRTR UNIT78462F10360371268675SHSOLE 6037100SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1075101681SHSOLE 51000SPDR SERIES TRUSTRUSSELL 3000 ETF78464A805569834034SHSOLE 569800TARGET CORPCOM87612E1068242106629SHSOLE 824200UNITED PARCEL SERVICE INCCL B9113121062522196SHSOLE 25200UNITEDHEALTH GROUP INCCOM91324P1027544708SHSOLE 75400VANGUARD INDEX FDSMCAP VL IDXVIP9229085123403495SHSOLE 34000VANGUARD INDEX FDSMCAP GR IDXVIP9229085383223050SHSOLE 32200VANGUARD INDEX FDSREIT ETF9229085532563106SHSOLE 25600VANGUARD INDEX FDSSML CP GRW ETF9229085952752065SHSOLE 27500VANGUARD INDEX FDSSM CP VAL ETF9229086113012490SHSOLE 30100VANGUARD INDEX FDSVALUE ETF9229087442042196SHSOLE 20400VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7146226360SHSOLE 62200WELLS FARGO & CO NEWCOM9497461013065555SHSOLE 30600XCEL ENERGY INCCOM98389B1002716614SHSOLE 27100