Chief Compliance Officer

0001085146-19-002859.txt : 20191112 0001085146-19-002859.hdr.sgml : 20191112 20191112122737 ACCESSION NUMBER: 0001085146-19-002859 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 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: 191207902 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 09-30-2019 09-30-2019 false NorthRock Partners, LLC

650 THIRD AVENUE SOUTH SUITE 1500 MINNEAPOLIS MN 55402

13F HOLDINGS REPORT 028-16755 N James Lund Chief Compliance Officer 612-367-8803 /s/ James Lund Minneapolis MN 11-10-2019 0 207 733527 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 1329 8084 SH SOLE 8084 0 0 ABBOTT LABS COM 002824100 1082 12931 SH SOLE 12931 0 0 ABBVIE INC COM 00287Y109 1776 23454 SH SOLE 23454 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 248 1289 SH SOLE 1289 0 0 AES CORP COM 00130H105 611 37398 SH SOLE 37398 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 289 1729 SH SOLE 1729 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1135 56047 SH SOLE 56047 0 0 ALLSTATE CORP COM 020002101 591 5436 SH SOLE 5436 0 0 ALPHABET INC CAP STK CL C 02079K107 702 576 SH SOLE 576 0 0 ALPHABET INC CAP STK CL A 02079K305 1730 1417 SH SOLE 1417 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 193 21100 SH SOLE 21100 0 0 ALTRIA GROUP INC COM 02209S103 10900 262939 SH SOLE 262939 0 0 AMAZON COM INC COM 023135106 2012 1159 SH SOLE 1159 0 0 AMERICAN EXPRESS CO COM 025816109 361 3053 SH SOLE 3053 0 0 AMERIPRISE FINL INC COM 03076C106 10785 73315 SH SOLE 73315 0 0 AMGEN INC COM 031162100 274 1414 SH SOLE 1414 0 0 APPLE INC COM 037833100 11304 50473 SH SOLE 50473 0 0 ARES CAP CORP COM 04010L103 2354 126327 SH SOLE 126327 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 329 7391 SH SOLE 7391 0 0 AT&T INC COM 00206R102 5074 134092 SH SOLE 134092 0 0 AURORA CANNABIS INC COM 05156X108 61 13879 SH SOLE 13879 0 0 BANK AMER CORP COM 060505104 299 10234 SH SOLE 10234 0 0 BANK MONTREAL QUE COM 063671101 396 5370 SH SOLE 5370 0 0 BAXTER INTL INC COM 071813109 1356 15499 SH SOLE 15499 0 0 BCE INC COM NEW 05534B760 481 9877 SH SOLE 9877 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 312 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3020 14517 SH SOLE 14517 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 218 4461 SH SOLE 4461 0 0 BOEING CO COM 097023105 2402 6314 SH SOLE 6314 0 0 BP PLC SPONSORED ADR 055622104 379 9966 SH SOLE 9966 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 266 5255 SH SOLE 5255 0 0 BROADCOM INC COM 11135F101 576 2088 SH SOLE 2088 0 0 CELCUITY INC COM 15102K100 220 12930 SH SOLE 12930 0 0 CELGENE CORP COM 151020104 311 3135 SH SOLE 3135 0 0 CENTERPOINT ENERGY INC COM 15189T107 541 17942 SH SOLE 17942 0 0 CENTURYLINK INC COM 156700106 134 10719 SH SOLE 10719 0 0 CHEVRON CORP NEW COM 166764100 2642 22277 SH SOLE 22277 0 0 CISCO SYS INC COM 17275R102 1694 34291 SH SOLE 34291 0 0 CITIGROUP INC COM NEW 172967424 766 11088 SH SOLE 11088 0 0 CITIZENS FINL GROUP INC COM 174610105 634 17911 SH SOLE 17911 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 593 52132 SH SOLE 52132 0 0 CME GROUP INC COM 12572Q105 234 1109 SH SOLE 1109 0 0 COCA COLA CO COM 191216100 906 16636 SH SOLE 16636 0 0 COCA COLA EUROPEAN PARTNERS SHS G25839104 353 6359 SH SOLE 6359 0 0 COLGATE PALMOLIVE CO COM 194162103 301 4101 SH SOLE 4101 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 320 15400 SH SOLE 15400 0 0 COMCAST CORP NEW CL A 20030N101 717 15899 SH SOLE 15899 0 0 COSTCO WHSL CORP NEW COM 22160K105 304 1055 SH SOLE 1055 0 0 CUMMINS INC COM 231021106 576 3540 SH SOLE 3540 0 0 CVS HEALTH CORP COM 126650100 334 5295 SH SOLE 5295 0 0 DISNEY WALT CO COM DISNEY 254687106 1391 10677 SH SOLE 10677 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 223 2326 SH SOLE 2326 0 0 EATON CORP PLC SHS G29183103 593 7132 SH SOLE 7132 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 1222 5559 SH SOLE 5559 0 0 ENBRIDGE INC COM 29250N105 585 16681 SH SOLE 16681 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 2158 75498 SH SOLE 75498 0 0 EXXON MOBIL CORP COM 30231G102 1377 19508 SH SOLE 19508 0 0 FACEBOOK INC CL A 30303M102 320 1799 SH SOLE 1799 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 676 15213 SH SOLE 15213 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 212 1594 SH SOLE 1594 0 0 FORD MTR CO DEL COM 345370860 120 13089 SH SOLE 13089 0 0 FS KKR CAPITAL CORP COM 302635107 6755 1122220 SH SOLE 1122220 0 0 GENERAL ELECTRIC CO COM 369604103 307 34351 SH SOLE 34351 0 0 GENERAL MLS INC COM 370334104 274 4972 SH SOLE 4972 0 0 GILEAD SCIENCES INC COM 375558103 735 11596 SH SOLE 11596 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 216 1042 SH SOLE 1042 0 0 HAWKINS INC COM 420261109 929 21856 SH SOLE 21856 0 0 HOME DEPOT INC COM 437076102 1256 5415 SH SOLE 5415 0 0 HONEYWELL INTL INC COM 438516106 1705 10079 SH SOLE 10079 0 0 HUNTINGTON BANCSHARES INC COM 446150104 522 36608 SH SOLE 36608 0 0 ILLINOIS TOOL WKS INC COM 452308109 459 2910 SH SOLE 2910 0 0 INTEL CORP COM 458140100 3590 69673 SH SOLE 69673 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1247 8577 SH SOLE 8577 0 0 ISHARES GOLD TRUST ISHARES 464285105 244 17283 SH SOLE 17283 0 0 ISHARES INC MIN VOL GBL ETF 464286525 20772 219227 SH SOLE 219227 0 0 ISHARES INC CORE MSCI EMKT 46434G103 553 11281 SH SOLE 11281 0 0 ISHARES TR CORE S&P TTL STK 464287150 9156 136519 SH SOLE 136519 0 0 ISHARES TR SELECT DIVID ETF 464287168 1344 13181 SH SOLE 13181 0 0 ISHARES TR CORE S&P500 ETF 464287200 27299 91448 SH SOLE 91448 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 283 6919 SH SOLE 6919 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 726 4029 SH SOLE 4029 0 0 ISHARES TR S&P 500 VAL ETF 464287408 265 2226 SH SOLE 2226 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 3973 46846 SH SOLE 46846 0 0 ISHARES TR MSCI EAFE ETF 464287465 287 4400 SH SOLE 4400 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 11276 125707 SH SOLE 125707 0 0 ISHARES TR RUS MD CP GR ETF 464287481 14854 105088 SH SOLE 105088 0 0 ISHARES TR RUS MID CAP ETF 464287499 10536 188318 SH SOLE 188318 0 0 ISHARES TR CORE S&P MCP ETF 464287507 423 2188 SH SOLE 2188 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 25907 201989 SH SOLE 201989 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 31152 195151 SH SOLE 195151 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 647 4276 SH SOLE 4276 0 0 ISHARES TR US HLTHCARE ETF 464287762 623 3298 SH SOLE 3298 0 0 ISHARES TR U.S. FINLS ETF 464287788 270 2097 SH SOLE 2097 0 0 ISHARES TR CORE S&P SCP ETF 464287804 9674 124279 SH SOLE 124279 0 0 ISHARES TR DOW JONES US ETF 464287846 1262 8556 SH SOLE 8556 0 0 ISHARES TR SP SMCP600VL ETF 464287879 8168 54382 SH SOLE 54382 0 0 ISHARES TR S&P SML 600 GWT 464287887 9145 51269 SH SOLE 51269 0 0 ISHARES TR JPMORGAN USD EMG 464288281 3662 32309 SH SOLE 32309 0 0 ISHARES TR INTL SEL DIV ETF 464288448 6175 200871 SH SOLE 200871 0 0 ISHARES TR MSCI KLD400 SOC 464288570 332 2992 SH SOLE 2992 0 0 ISHARES TR MBS ETF 464288588 4520 41740 SH SOLE 41740 0 0 ISHARES TR MSCI USA ESG SLC 464288802 945 7645 SH SOLE 7645 0 0 ISHARES TR U.S. MED DVC ETF 464288810 495 2002 SH SOLE 2002 0 0 ISHARES TR EAFE VALUE ETF 464288877 2736 57767 SH SOLE 57767 0 0 ISHARES TR EAFE GRWTH ETF 464288885 6595 81915 SH SOLE 81915 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 26385 280212 SH SOLE 280212 0 0 ISHARES TR MIN VOL EAFE ETF 46429B689 7640 104260 SH SOLE 104260 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 436 7541 SH SOLE 7541 0 0 JOHNSON & JOHNSON COM 478160104 3148 24330 SH SOLE 24330 0 0 JPMORGAN CHASE & CO COM 46625H100 2807 23847 SH SOLE 23847 0 0 KIMBERLY CLARK CORP COM 494368103 588 4125 SH SOLE 4125 0 0 KRAFT HEINZ CO COM 500754106 3762 134683 SH SOLE 134683 0 0 LOCKHEED MARTIN CORP COM 539830109 617 1582 SH SOLE 1582 0 0 LOWES COS INC COM 548661107 342 3114 SH SOLE 3114 0 0 LRAD CORP COM 50213V109 735 219257 SH SOLE 219257 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 721 8056 SH SOLE 8056 0 0 MAGNA INTL INC COM 559222401 649 12168 SH SOLE 12168 0 0 MCDONALDS CORP COM 580135101 1612 7509 SH SOLE 7509 0 0 MEDTRONIC PLC SHS G5960L103 544 4984 SH SOLE 4984 0 0 MERCK & CO INC COM 58933Y105 636 7507 SH SOLE 7507 0 0 MICROSOFT CORP COM 594918104 3565 25643 SH SOLE 25643 0 0 MONDELEZ INTL INC CL A 609207105 19925 358341 SH SOLE 358341 0 0 NETFLIX INC COM 64110L106 361 1350 SH SOLE 1350 0 0 NEXTERA ENERGY INC COM 65339F101 459 1969 SH SOLE 1969 0 0 NIKE INC CL B 654106103 545 5798 SH SOLE 5798 0 0 NORDSTROM INC COM 655664100 227 6753 SH SOLE 6753 0 0 NORTHROP GRUMMAN CORP COM 666807102 325 866 SH SOLE 866 0 0 NOVARTIS A G SPONSORED ADR 66987V109 297 3414 SH SOLE 3414 0 0 OCCIDENTAL PETE CORP COM 674599105 351 7833 SH SOLE 7833 0 0 OLD REP INTL CORP COM 680223104 353 14976 SH SOLE 14976 0 0 ORACLE CORP COM 68389X105 280 5085 SH SOLE 5085 0 0 OTTER TAIL CORP COM 689648103 561 10441 SH SOLE 10441 0 0 PEPSICO INC COM 713448108 1632 11901 SH SOLE 11901 0 0 PFIZER INC COM 717081103 1001 27860 SH SOLE 27860 0 0 PHILIP MORRIS INTL INC COM 718172109 21713 282167 SH SOLE 282167 0 0 PHILLIPS 66 COM 718546104 211 2058 SH SOLE 2058 0 0 PNC FINL SVCS GROUP INC COM 693475105 648 4623 SH SOLE 4623 0 0 PROCTER & GAMBLE CO COM 742718109 2833 22777 SH SOLE 22777 0 0 RAYTHEON CO COM NEW 755111507 324 1650 SH SOLE 1650 0 0 REGIONS FINL CORP NEW COM 7591EP100 343 21688 SH SOLE 21688 0 0 RESEARCH FRONTIERS INC COM 760911107 113 35461 SH SOLE 35461 0 0 RESMED INC COM 761152107 204 1510 SH SOLE 1510 0 0 SABRE CORP COM 78573M104 424 18916 SH SOLE 18916 0 0 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 202 2843 SH SOLE 2843 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 4913 97116 SH SOLE 97116 0 0 SOUTHERN CO COM 842587107 1376 22281 SH SOLE 22281 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 92574 310562 SH SOLE 310562 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 620 1751 SH SOLE 1751 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 7538 126500 SH SOLE 126500 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 9023 147287 SH SOLE 147287 0 0 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 3681 70184 SH SOLE 70184 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 13401 344585 SH SOLE 344585 0 0 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 20377 637573 SH SOLE 637573 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 2409 23479 SH SOLE 23479 0 0 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 313 8521 SH SOLE 8521 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 7409 137917 SH SOLE 137917 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 10365 201962 SH SOLE 201962 0 0 STARBUCKS CORP COM 855244109 857 9691 SH SOLE 9691 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 521 11151 SH SOLE 11151 0 0 TARGET CORP COM 87612E106 14613 136685 SH SOLE 136685 0 0 TEXAS INSTRS INC COM 882508104 971 7515 SH SOLE 7515 0 0 TILE SHOP HLDGS INC COM 88677Q109 198 62055 SH SOLE 62055 0 0 TOTAL S A SPONSORED ADS 89151E109 652 12392 SH SOLE 12392 0 0 UNION PACIFIC CORP COM 907818108 356 2200 SH SOLE 2200 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1355 9922 SH SOLE 9922 0 0 UNITEDHEALTH GROUP INC COM 91324P102 881 4052 SH SOLE 4052 0 0 US BANCORP DEL COM NEW 902973304 228 4082 SH SOLE 4082 0 0 V F CORP COM 918204108 353 3972 SH SOLE 3972 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 9542 92934 SH SOLE 92934 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 5640 66799 SH SOLE 66799 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 3866 65714 SH SOLE 65714 0 0 VANGUARD GROUP DIV APP ETF 921908844 4874 40761 SH SOLE 40761 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1319 4839 SH SOLE 4839 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 383 3386 SH SOLE 3386 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 463 3125 SH SOLE 3125 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1525 16358 SH SOLE 16358 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 362 1986 SH SOLE 1986 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 317 2464 SH SOLE 2464 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 233 1710 SH SOLE 1710 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 4910 42206 SH SOLE 42206 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 11061 66521 SH SOLE 66521 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 10170 67349 SH SOLE 67349 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 296 3957 SH SOLE 3957 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 11452 229490 SH SOLE 229490 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1044 25922 SH SOLE 25922 0 0 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 250 4659 SH SOLE 4659 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 592 7298 SH SOLE 7298 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 4750 71241 SH SOLE 71241 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 793 7055 SH SOLE 7055 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 485 9384 SH SOLE 9384 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 208 5069 SH SOLE 5069 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 24922 280869 SH SOLE 280869 0 0 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 4851 81674 SH SOLE 81674 0 0 VANGUARD WHITEHALL FDS INC INTL DVD ETF 921946810 771 11579 SH SOLE 11579 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 275 1641 SH SOLE 1641 0 0 VERB TECHNOLOGY CO INC *W EXP 03/14/202 92337U112 19 52500 SH SOLE 52500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3050 50535 SH SOLE 50535 0 0 VISA INC COM CL A 92826C839 351 2041 SH SOLE 2041 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 418 7553 SH SOLE 7553 0 0 WALMART INC COM 931142103 294 2476 SH SOLE 2476 0 0 WEC ENERGY GROUP INC COM 92939U106 292 3069 SH SOLE 3069 0 0 WELLS FARGO CO NEW COM 949746101 354 7024 SH SOLE 7024 0 0 WHIRLPOOL CORP COM 963320106 729 4604 SH SOLE 4604 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 3918 94847 SH SOLE 94847 0 0 WISDOMTREE TR US MIDCAP DIVID 97717W505 217 5988 SH SOLE 5988 0 0 WRAP TECHNOLOGIES INC COM 98212N107 122 30000 SH SOLE 30000 0 0 XCEL ENERGY INC COM 98389B100 310 4747 SH SOLE 4747 0 0