0001085146-19-000654.txt : 20190213 0001085146-19-000654.hdr.sgml : 20190213 20190213132338 ACCESSION NUMBER: 0001085146-19-000654 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190213 DATE AS OF CHANGE: 20190213 EFFECTIVENESS DATE: 20190213 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: 19595844 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 12-31-2018 12-31-2018 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 02-12-2019 0 99 335431 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 1252 6585 SH SOLE 6585 0 0 ABBOTT LABS COM 002824100 2526 34930 SH SOLE 34930 0 0 AFLAC INC COM 001055102 250 5493 SH SOLE 5493 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 551 25331 SH SOLE 25331 0 0 ALPHABET INC CAP STK CL C 02079K107 270 260 SH SOLE 260 0 0 ALPHABET INC CAP STK CL A 02079K305 738 710 SH SOLE 710 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 182 20900 SH SOLE 20900 0 0 AMAZON COM INC COM 023135106 1412 939 SH SOLE 939 0 0 AMERIPRISE FINL INC COM 03076C106 6088 58329 SH SOLE 58329 0 0 APPLE INC COM 037833100 2000 12685 SH SOLE 12685 0 0 AT&T INC COM 00206R102 484 16999 SH SOLE 16999 0 0 ATRICURE INC COM 04963C209 406 13260 SH SOLE 13260 0 0 AXOGEN INC COM 05463X106 1759 86468 SH SOLE 86468 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 306 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1679 8217 SH SOLE 8217 0 0 BEST BUY INC COM 086516101 295 5574 SH SOLE 5574 0 0 BOEING CO COM 097023105 1167 3614 SH SOLE 3614 0 0 BP PLC SPONSORED ADR 055622104 443 11696 SH SOLE 11696 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 232 4480 SH SOLE 4480 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 682 40000 SH SOLE 40000 0 0 CELGENE CORP COM 151020104 579 8992 SH SOLE 8992 0 0 CHEVRON CORP NEW COM 166764100 905 8259 SH SOLE 8259 0 0 CHRISTOPHER & BANKS CORP COM 171046105 19 40900 SH SOLE 40900 0 0 CISCO SYS INC COM 17275R102 622 14323 SH SOLE 14323 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 16959 1628127 SH SOLE 1628127 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 291 15400 SH SOLE 15400 0 0 COMCAST CORP NEW CL A 20030N101 213 6252 SH SOLE 6252 0 0 CVS HEALTH CORP COM 126650100 276 4219 SH SOLE 4219 0 0 DELAWARE INV MN MUN INC FD I COM 24610V103 137 11557 SH SOLE 11557 0 0 DISNEY WALT CO COM DISNEY 254687106 358 3238 SH SOLE 3238 0 0 DOCUSIGN INC COM 256163106 200 5000 SH SOLE 5000 0 0 EXXON MOBIL CORP COM 30231G102 671 9854 SH SOLE 9854 0 0 FACEBOOK INC CL A 30303M102 376 2865 SH SOLE 2865 0 0 FLEXION THERAPEUTICS INC COM 33938J106 173 14557 SH SOLE 14557 0 0 FS KKR CAPITAL CORP COM 302635107 5794 1118809 SH SOLE 1118809 0 0 GENERAL ELECTRIC CO COM 369604103 191 25384 SH SOLE 25384 0 0 GENERAL MLS INC COM 370334104 229 5881 SH SOLE 5881 0 0 GENIUS BRANDS INTL INC COM PAR 37229T301 41 19000 SH SOLE 19000 0 0 HAWKINS INC COM 420261109 603 14720 SH SOLE 14720 0 0 HONEYWELL INTL INC COM 438516106 969 7339 SH SOLE 7339 0 0 INTEL CORP COM 458140100 217 4611 SH SOLE 4611 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 29972 1422715 SH SOLE 1422715 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 302 7737 SH SOLE 7737 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 236 1565 SH SOLE 1565 0 0 ISHARES TR MSCI EAFE ETF 464287465 294 5015 SH SOLE 5015 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 16972 222271 SH SOLE 222271 0 0 ISHARES TR RUS MD CP GR ETF 464287481 16437 144420 SH SOLE 144420 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 37779 340123 SH SOLE 340123 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 36418 278002 SH SOLE 278002 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 221 1647 SH SOLE 1647 0 0 ISHARES TR CORE S&P SCP ETF 464287804 651 9164 SH SOLE 9164 0 0 ISHARES TR SP SMCP600VL ETF 464287879 13907 105326 SH SOLE 105326 0 0 ISHARES TR S&P SML 600 GWT 464287887 14201 88042 SH SOLE 88042 0 0 ISHARES TR MBS ETF 464288588 4846 46305 SH SOLE 46305 0 0 ISHARES TR MSCI USA ESG SLC 464288802 581 5625 SH SOLE 5625 0 0 ISHARES TR EAFE VALUE ETF 464288877 3919 86680 SH SOLE 86680 0 0 ISHARES TR EAFE GRWTH ETF 464288885 7131 103235 SH SOLE 103235 0 0 ISHARES TR MIN VOL USA ETF 46429B697 281 5358 SH SOLE 5358 0 0 JPMORGAN CHASE & CO COM 46625H100 202 2168 SH SOLE 2168 0 0 LRAD CORP COM 50213V109 646 256081 SH SOLE 256081 0 0 MCDONALDS CORP COM 580135101 321 1808 SH SOLE 1808 0 0 MEDTRONIC PLC SHS G5960L103 275 3334 SH SOLE 3334 0 0 MERCK & CO INC COM 58933Y105 277 3562 SH SOLE 3562 0 0 MICROSOFT CORP COM 594918104 4117 40510 SH SOLE 40510 0 0 NETFLIX INC COM 64110L106 357 1337 SH SOLE 1337 0 0 NEUROTROPE INC COM NEW 64129T207 255 71500 SH SOLE 71500 0 0 NEW RELIC INC COM 64829B100 806 9954 SH SOLE 9954 0 0 NEXTERA ENERGY INC COM 65339F101 234 1361 SH SOLE 1361 0 0 OPTIMIZERX CORP COM NEW 68401U204 142 12900 SH SOLE 12900 0 0 OTTER TAIL CORP COM 689648103 577 11632 SH SOLE 11632 0 0 PENTAIR PLC SHS G7S00T104 324 8597 SH SOLE 8597 0 0 PFIZER INC COM 717081103 365 8393 SH SOLE 8393 0 0 PROCTER AND GAMBLE CO COM 742718109 453 4953 SH SOLE 4953 0 0 PROVIDENCE SVC CORP COM 743815102 580 9653 SH SOLE 9653 0 0 RAYTHEON CO COM NEW 755111507 250 1618 SH SOLE 1618 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 71077 282662 SH SOLE 282662 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 588 1909 SH SOLE 1909 0 0 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 352 11364 SH SOLE 11364 0 0 SPS COMM INC COM 78463M107 223 2695 SH SOLE 2695 0 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DIV YLD 921946406 216 2797 SH SOLE 2797 0 0 VERICEL CORP COM 92346J108 485 27874 SH SOLE 27874 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 355 6310 SH SOLE 6310 0 0 WISDOMTREE TR EMG MKTS SMCAP 97717W281 834 19926 SH SOLE 19926 0 0 WRAP TECHNOLOGIES INC COM 98212N107 79 25000 SH SOLE 25000 0 0 XCEL ENERGY INC COM 98389B100 247 4977 SH SOLE 4977 0 0