0001085146-17-002291.txt : 20171113 0001085146-17-002291.hdr.sgml : 20171113 20171113081410 ACCESSION NUMBER: 0001085146-17-002291 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171113 DATE AS OF CHANGE: 20171113 EFFECTIVENESS DATE: 20171113 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: 171193260 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 true false 0001632097 XXXXXXXX 09-30-2017 09-30-2017 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 11-09-2017 0 53 262825 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y1015612674SHSOLE 267400ALLEGHENY TECHNOLOGIES INCCOM01741R1022299561SHSOLE 956100ALPHABET INCCAP STK CL A02079K305281290SHSOLE 29000AMAZON COM INCCOM023135106290301SHSOLE 30100AMERIPRISE FINL INCCOM03076C1061189579819SHSOLE 7981900ANNALY CAP MGMT INCCOM03571040915712577SHSOLE 1257700APPLE INCCOM03783310013118493SHSOLE 849300AT&T INCCOM00206R1023288430SHSOLE 843000AUTOMATIC DATA PROCESSING INCOM0530151032041851SHSOLE 185100BERKSHIRE HATHAWAY INC DELCL A0846701082751SHSOLE 100BERKSHIRE HATHAWAY INC DELCL B NEW084670702263614389SHSOLE 1438900BEST BUY INCCOM0865161012464289SHSOLE 428900BOEING COCOM09702310516826620SHSOLE 662000CELGENE CORPCOM15102010412548610SHSOLE 861000CHRISTOPHER & BANKS CORPCOM1710461054634500SHSOLE 3450000CLEARBRIDGE ENERGY MLP FD INCOM184692101197861334878SHSOLE 133487800DISNEY WALT COCOM DISNEY2546871063033057SHSOLE 305700FACEBOOK INCCL A30303M1022841667SHSOLE 166700GENERAL ELECTRIC COCOM36960410326210791SHSOLE 1079100HAWKINS INCCOM42026110996823476SHSOLE 2347600ISHARES TRCORE S&P500 ETF4642872004241679SHSOLE 167900ISHARES TRS&P 500 GRWT ETF4642873092851987SHSOLE 198700ISHARES TRMSCI EAFE ETF4642874654406442SHSOLE 644200ISHARES TRRUS MDCP VAL ETF46428747315834186437SHSOLE 18643700ISHARES TRRUS MD CP GR ETF46428748115462136590SHSOLE 13659000ISHARES TRRUS MID CAP ETF4642874993101571SHSOLE 157100ISHARES TRRUS 1000 VAL ETF46428759835951303396SHSOLE 30339600ISHARES TRRUS 1000 GRW ETF46428761437234297512SHSOLE 29751200ISHARES TRCORE S&P SCP ETF464287804116115633SHSOLE 1563300ISHARES TRSP SMCP600VL ETF4642878791372092640SHSOLE 9264000ISHARES TRS&P SML 600 GWT4642878871366383146SHSOLE 8314600ISHARES TRMSCI USA ESG SLC4642888023082950SHSOLE 295000MCDONALDS CORPCOM5801351012611665SHSOLE 166500MICROSOFT CORPCOM594918104106314267SHSOLE 1426700MOSAIC CO NEWCOM61945C10340618798SHSOLE 1879800NETFLIX INCCOM64110L1062401326SHSOLE 132600NEW RELIC INCCOM64829B1003567147SHSOLE 714700PROCTER AND GAMBLE COCOM7427181094765215SHSOLE 521500PROVIDENCE SVC CORPCOM7438151024909064SHSOLE 906400SCHWAB STRATEGIC TRUS MID-CAP ETF80852450858611683SHSOLE 1168300SPDR S&P 500 ETF TRTR UNIT78462F10370715280091SHSOLE 28009100SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1075511681SHSOLE 168100SPDR SERIES TRUSTRUSSELL 3000 ETF78464A8057353916SHSOLE 391600TARGET CORPCOM87612E106587288350SHSOLE 8835000UNITED PARCEL SERVICE INCCL B9113121062221841SHSOLE 184100UNITEDHEALTH GROUP INCCOM91324P1024782432SHSOLE 243200VANGUARD INDEX FDSMCAP VL IDXVIP9229085123693495SHSOLE 349500VANGUARD INDEX FDSMCAP GR IDXVIP9229085383713050SHSOLE 305000VANGUARD INDEX FDSREIT ETF9229085532973584SHSOLE 358400VANGUARD INDEX FDSSML CP GRW ETF9229085953152065SHSOLE 206500VANGUARD INDEX FDSSM CP VAL ETF9229086113202490SHSOLE 249000VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7146636360SHSOLE 636000XCEL ENERGY INCCOM98389B1002495230SHSOLE 523000