0001085146-18-002575.txt : 20181113 0001085146-18-002575.hdr.sgml : 20181113 20181113083147 ACCESSION NUMBER: 0001085146-18-002575 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181113 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: 181175340 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 09-30-2018 09-30-2018 false 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 11-10-2018 0 65 347075 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 865 4107 SH SOLE 4107 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 749 25331 SH SOLE 25331 0 0 ALPHABET INC CAP STK CL C 02079K107 243 204 SH SOLE 204 0 0 ALPHABET INC CAP STK CL A 02079K305 337 279 SH SOLE 279 0 0 AMAZON COM INC COM 023135106 776 388 SH SOLE 388 0 0 AMERIPRISE FINL INC COM 03076C106 8275 56038 SH SOLE 56038 0 0 APPLE INC COM 037833100 2320 10277 SH SOLE 10277 0 0 AT&T INC COM 00206R102 324 9662 SH SOLE 9662 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 388 2560 SH SOLE 2560 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 320 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1582 7402 SH SOLE 7402 0 0 BEST BUY INC COM 086516101 332 4171 SH SOLE 4171 0 0 BOEING CO COM 097023105 2469 6636 SH SOLE 6636 0 0 CELGENE CORP COM 151020104 755 8435 SH SOLE 8435 0 0 CHRISTOPHER & BANKS CORP COM 171046105 31 40900 SH SOLE 40900 0 0 CLEARBRIDGE ENERGY MLP FD IN COM 184692101 22557 1552405 SH SOLE 1552405 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 294 15400 SH SOLE 15400 0 0 COMCAST CORP NEW CL A 20030N101 211 5909 SH SOLE 5909 0 0 CORPORATE CAP TR INC COM 219880101 7718 478313 SH SOLE 478313 0 0 DISNEY WALT CO COM DISNEY 254687106 372 3160 SH SOLE 3160 0 0 FACEBOOK INC CL A 30303M102 274 1675 SH SOLE 1675 0 0 GENERAL ELECTRIC CO COM 369604103 136 11789 SH SOLE 11789 0 0 HAWKINS INC COM 420261109 931 22481 SH SOLE 22481 0 0 HONEYWELL INTL INC COM 438516106 905 5447 SH SOLE 5447 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 31033 1471915 SH SOLE 1471915 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 273 1540 SH SOLE 1540 0 0 ISHARES TR MSCI EAFE ETF 464287465 234 3394 SH SOLE 3394 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 18939 208443 SH SOLE 208443 0 0 ISHARES TR RUS MD CP GR ETF 464287481 19067 140199 SH SOLE 140199 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 43089 338035 SH SOLE 338035 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 44003 281206 SH SOLE 281206 0 0 ISHARES TR CORE S&P SCP ETF 464287804 809 9229 SH SOLE 9229 0 0 ISHARES TR SP SMCP600VL ETF 464287879 16007 95449 SH SOLE 95449 0 0 ISHARES TR S&P SML 600 GWT 464287887 16203 80422 SH SOLE 80422 0 0 ISHARES TR MSCI USA ESG SLC 464288802 627 5225 SH SOLE 5225 0 0 JPMORGAN CHASE & CO COM 46625H100 217 1923 SH SOLE 1923 0 0 LOCKHEED MARTIN CORP COM 539830109 244 703 SH SOLE 703 0 0 MCDONALDS CORP COM 580135101 285 1696 SH SOLE 1696 0 0 MEDTRONIC PLC SHS G5960L103 254 2576 SH SOLE 2576 0 0 MERCK & CO INC COM 58933Y105 230 3211 SH SOLE 3211 0 0 MICROSOFT CORP COM 594918104 1070 9365 SH SOLE 9365 0 0 NETFLIX INC COM 64110L106 471 1262 SH SOLE 1262 0 0 NEW RELIC INC COM 64829B100 810 8599 SH SOLE 8599 0 0 NEXTERA ENERGY INC COM 65339F101 236 1405 SH SOLE 1405 0 0 OTTER TAIL CORP COM 689648103 573 11959 SH SOLE 11959 0 0 PENTAIR PLC SHS G7S00T104 217 5006 SH SOLE 5006 0 0 PROCTER AND GAMBLE CO COM 742718109 443 6523 SH SOLE 6523 0 0 PROVIDENCE SVC CORP COM 743815102 649 9653 SH SOLE 9653 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 83001 284179 SH SOLE 284179 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 646 1751 SH SOLE 1751 0 0 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 452 12461 SH SOLE 12461 0 0 STARBUCKS CORP COM 855244109 493 8672 SH SOLE 8672 0 0 TARGET CORP COM 87612E106 8619 97717 SH SOLE 97717 0 0 TILE SHOP HLDGS INC COM 88677Q109 397 55555 SH SOLE 55555 0 0 UNITEDHEALTH GROUP INC COM 91324P102 697 2624 SH SOLE 2624 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 348 3057 SH SOLE 3057 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 380 2665 SH SOLE 2665 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 307 3806 SH SOLE 3806 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 330 1760 SH SOLE 1760 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 297 2115 SH SOLE 2115 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 215 5200 SH SOLE 5200 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 607 5450 SH SOLE 5450 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 334 7691 SH SOLE 7691 0 0 WEB COM GROUP INC COM 94733A104 561 20125 SH SOLE 20125 0 0 XCEL ENERGY INC COM 98389B100 244 5125 SH SOLE 5125 0 0