0001085146-19-002209.txt : 20190812 0001085146-19-002209.hdr.sgml : 20190812 20190812172204 ACCESSION NUMBER: 0001085146-19-002209 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190812 DATE AS OF CHANGE: 20190812 EFFECTIVENESS DATE: 20190812 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: 191017509 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 06-30-2019 06-30-2019 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 08-09-2019 0 76 349708 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 975 5648 SH SOLE 5648 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1286 51047 SH SOLE 51047 0 0 ALPHABET INC CAP STK CL C 02079K107 242 225 SH SOLE 225 0 0 ALPHABET INC CAP STK CL A 02079K305 347 322 SH SOLE 322 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 206 20900 SH SOLE 20900 0 0 AMAZON COM INC COM 023135106 721 381 SH SOLE 381 0 0 AMERIPRISE FINL INC COM 03076C106 10601 73027 SH SOLE 73027 0 0 APPLE INC COM 037833100 2268 11271 SH SOLE 11271 0 0 AT&T INC COM 00206R102 425 12703 SH SOLE 12703 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 318 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1560 7323 SH SOLE 7323 0 0 BOEING CO COM 097023105 2451 6741 SH SOLE 6741 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 394 20000 SH SOLE 20000 0 0 CELCUITY INC COM 15102K100 323 12930 SH SOLE 12930 0 0 CELGENE CORP COM 151020104 780 8435 SH SOLE 8435 0 0 CHEVRON CORP NEW COM 166764100 585 4702 SH SOLE 4702 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 689 56532 SH SOLE 56532 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 315 15400 SH SOLE 15400 0 0 COMCAST CORP NEW CL A 20030N101 275 6513 SH SOLE 6513 0 0 DISNEY WALT CO COM DISNEY 254687106 632 4526 SH SOLE 4526 0 0 FS KKR CAPITAL CORP COM 302635107 6832 1111159 SH SOLE 1111159 0 0 GENERAL MLS INC COM 370334104 207 3962 SH SOLE 3962 0 0 HAWKINS INC COM 420261109 949 21856 SH SOLE 21856 0 0 HESS CORP COM 42809H107 638 10040 SH SOLE 10040 0 0 HOME DEPOT INC COM 437076102 291 1399 SH SOLE 1399 0 0 HONEYWELL INTL INC COM 438516106 1239 7091 SH SOLE 7091 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 256 5972 SH SOLE 5972 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 273 1525 SH SOLE 1525 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 20802 233366 SH SOLE 233366 0 0 ISHARES TR RUS MD CP GR ETF 464287481 21771 152597 SH SOLE 152597 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 45822 358887 SH SOLE 358887 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 44371 280747 SH SOLE 280747 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 271 1738 SH SOLE 1738 0 0 ISHARES TR CORE S&P SCP ETF 464287804 652 8332 SH SOLE 8332 0 0 ISHARES TR SP SMCP600VL ETF 464287879 16351 110082 SH SOLE 110082 0 0 ISHARES TR S&P SML 600 GWT 464287887 16942 92455 SH SOLE 92455 0 0 ISHARES TR MBS ETF 464288588 4469 41535 SH SOLE 41535 0 0 ISHARES TR MSCI USA ESG SLC 464288802 690 5673 SH SOLE 5673 0 0 ISHARES TR EAFE VALUE ETF 464288877 4133 85947 SH SOLE 85947 0 0 ISHARES TR EAFE GRWTH ETF 464288885 8297 102710 SH SOLE 102710 0 0 JOHNSON & JOHNSON COM 478160104 241 1734 SH SOLE 1734 0 0 LOCKHEED MARTIN CORP COM 539830109 350 964 SH SOLE 964 0 0 LRAD CORP COM 50213V109 329 100000 SH SOLE 100000 0 0 MCDONALDS CORP COM 580135101 707 3408 SH SOLE 3408 0 0 MERCK & CO INC COM 58933Y105 301 3573 SH SOLE 3573 0 0 MICROSOFT CORP COM 594918104 1679 12525 SH SOLE 12525 0 0 NETFLIX INC COM 64110L106 491 1337 SH SOLE 1337 0 0 NEUROTROPE INC COM NEW 64129T207 834 104000 SH SOLE 104000 0 0 NEXTERA ENERGY INC COM 65339F101 203 992 SH SOLE 992 0 0 OTTER TAIL CORP COM 689648103 551 10442 SH SOLE 10442 0 0 PROCTER AND GAMBLE CO COM 742718109 490 1601 SH SOLE 1601 0 0 PROVIDENCE SVC CORP COM 743815102 554 9653 SH SOLE 9653 0 0 RAYTHEON CO COM NEW 755111507 279 1601 SH SOLE 1601 0 0 SALLY BEAUTY HLDGS INC COM 79546E104 188 14100 SH SOLE 14100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 90728 308228 SH SOLE 308228 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 623 1751 SH SOLE 1751 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 379 6250 SH SOLE 6250 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 307 7914 SH SOLE 7914 0 0 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 254 8095 SH SOLE 8095 0 0 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 311 8520 SH SOLE 8520 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 201 3719 SH SOLE 3719 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 275 5360 SH SOLE 5360 0 0 STARBUCKS CORP COM 855244109 639 7606 SH SOLE 7606 0 0 TARGET CORP COM 87612E106 23657 273135 SH SOLE 273135 0 0 TILE SHOP HLDGS INC COM 88677Q109 248 62055 SH SOLE 62055 0 0 UNITEDHEALTH GROUP INC COM 91324P102 658 2703 SH SOLE 2703 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 348 3106 SH SOLE 3106 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 467 3120 SH SOLE 3120 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 306 3465 SH SOLE 3465 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 334 1793 SH SOLE 1793 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 287 2187 SH SOLE 2187 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 787 7055 SH SOLE 7055 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 361 8667 SH SOLE 8667 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 237 4142 SH SOLE 4142 0 0 WRAP TECHNOLOGIES INC COM 98212N107 156 25000 SH SOLE 25000 0 0 XCEL ENERGY INC COM 98389B100 299 4977 SH SOLE 4977 0 0