Chief Compliance Officer

0001214659-20-001238.txt : 20200212 0001214659-20-001238.hdr.sgml : 20200212 20200212164556 ACCESSION NUMBER: 0001214659-20-001238 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16755 FILM NUMBER: 20604850 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001632097 XXXXXXXX 12-31-2019 12-31-2019 true 1 RESTATEMENT 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 02-12-2020 0 280 946664 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 1399 7930 SH SOLE 39983 0 0 ABBOTT LABS COM 002824100 1005 11570 SH SOLE 37540 0 0 ABBVIE INC COM 00287Y109 3241 36605 SH SOLE 36601 0 0 ALPHABET INC CAP STK CL C 02079K107 1419 1061 SH SOLE 20483 0 0 ALPHABET INC CAP STK CL A 02079K305 2977 2223 SH SOLE 38101 0 0 AMAZON COM INC COM 023135106 4726 2558 SH SOLE 55511 0 0 AMETEK INC NEW COM 031100100 336 3369 SH SOLE 3371 0 0 ANSYS INC COM 03662Q105 456 1771 SH SOLE 1771 0 0 APPLE INC COM 037833100 32771 111599 SH SOLE 245858 0 0 BROADCOM INC COM 11135F101 484 1532 SH SOLE 1533 0 0 COCA COLA CO COM 191216100 1765 31888 SH SOLE 45025 0 0 COMCAST CORP NEW CL A 20030N101 1023 22748 SH SOLE 39984 0 0 COSTCO WHSL CORP NEW COM 22160K105 997 3392 SH SOLE 3393 0 0 DANAHER CORPORATION COM 235851102 545 3551 SH SOLE 12132 0 0 ECOLAB INC COM 278865100 493 2555 SH SOLE 2548 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 1478 6335 SH SOLE 6336 0 0 EPAM SYS INC COM 29414B104 406 1914 SH SOLE 1916 0 0 EQUINIX INC COM 29444U700 211 361 SH SOLE 361 0 0 FACEBOOK INC CL A 30303M102 1593 7761 SH SOLE 13322 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 388 2790 SH SOLE 2791 0 0 FORTIVE CORP COM 34959J108 213 2788 SH SOLE 2782 0 0 INTERCONTINENTAL EXCHANGE IN COM 45866F104 350 3782 SH SOLE 10311 0 0 KLA CORPORATION COM NEW 482480100 210 1179 SH SOLE 1177 0 0 LILLY ELI & CO COM 532457108 619 4710 SH SOLE 10659 0 0 MARSH & MCLENNAN COS INC COM 571748102 304 2729 SH SOLE 2729 0 0 MASTERCARD INC CL A 57636Q104 746 2498 SH SOLE 14623 0 0 MICROSOFT CORP COM 594918104 6940 44008 SH SOLE 70228 0 0 NVIDIA CORP COM 67066G104 1057 4492 SH SOLE 4490 0 0 PAYPAL HLDGS INC COM 70450Y103 492 4548 SH SOLE 4547 0 0 ROSS STORES INC COM 778296103 508 4364 SH SOLE 9904 0 0 SALESFORCE COM INC COM 79466L302 588 3615 SH SOLE 3613 0 0 STRYKER CORP COM 863667101 704 3353 SH SOLE 3345 0 0 TRANSDIGM GROUP INC COM 893641100 350 625 SH SOLE 591 0 0 UNILEVER PLC SPON ADR NEW 904767704 208 3638 SH SOLE 3637 0 0 UNITEDHEALTH GROUP INC COM 91324P102 3498 11899 SH SOLE 1347680 0 0 V F CORP COM 918204108 731 7335 SH SOLE 7331 0 0 VERISK ANALYTICS INC COM 92345Y106 206 1379 SH SOLE 1377 0 0 VISA INC COM CL A 92826C839 967 5146 SH SOLE 8256 0 0 WASTE CONNECTIONS INC COM 94106B101 509 5606 SH SOLE 5609 0 0 YUM BRANDS INC COM 988498101 239 2373 SH SOLE 2373 0 0 ALTRIA GROUP INC COM 02209S103 20008 400882 SH SOLE 508765 0 0 KRAFT HEINZ CO COM 500754106 5396 167943 SH SOLE 644746 0 0 MONDELEZ INTL INC CL A 609207105 53251 966794 SH SOLE 25016837 0 0 PHILIP MORRIS INTL INC COM 718172109 35826 421037 SH SOLE 484195 0 0 AMERICAN EXPRESS CO COM 025816109 547 4394 SH SOLE 8874 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 136121 422920 SH SOLE 4142531 0 0 ISHARES TR INTL SEL DIV ETF 464288448 3773 112392 SH SOLE 112381 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 7342 7261 SH SOLE 136600 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 4987 39583 SH SOLE 39584 0 0 AT&T INC COM 00206R102 6950 177840 SH SOLE 256727 0 0 AMGEN INC COM 031162100 618 2564 SH SOLE 2565 0 0 BCE INC COM NEW 05534B760 760 12633 SH SOLE 16204 0 0 BP PLC SPONSORED ADR 055622104 921 24404 SH SOLE 31782 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 229 5393 SH SOLE 5395 0 0 CDN IMPERIAL BK COMM TORONTO COM 136069101 725 6709 SH SOLE 88101 0 0 CHEVRON CORP NEW COM 166764100 3650 30288 SH SOLE 51691 0 0 DOMINION ENERGY INC COM 25746U109 784 9466 SH SOLE 9470 0 0 DUKE ENERGY CORP NEW COM NEW 26441C204 886 9714 SH SOLE 9716 0 0 ENBRIDGE INC COM 29250N105 734 14217 SH SOLE 18445 0 0 EXXON MOBIL CORP COM 30231G102 2351 33692 SH SOLE 49493 0 0 GILEAD SCIENCES INC COM 375558103 807 12419 SH SOLE 13377 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 786 16727 SH SOLE 16554 0 0 HUNTINGTON BANCSHARES INC COM 446150104 601 39854 SH SOLE 46763 0 0 KIMBERLY CLARK CORP COM 494368103 776 5642 SH SOLE 5602 0 0 NATIONAL GRID PLC SPONSORED ADR NE 636274409 482 7691 SH SOLE 7575 0 0 OCCIDENTAL PETE CORP COM 674599105 350 8493 SH SOLE 8343 0 0 PNC FINL SVCS GROUP INC COM 693475105 1061 6647 SH SOLE 15561 0 0 PPL CORP COM 69351T106 542 15106 SH SOLE 14944 0 0 PEPSICO INC COM 713448108 2709 19821 SH SOLE 39610 0 0 PFIZER INC COM 717081103 1345 34329 SH SOLE 87917 0 0 REALTY INCOME CORP COM 756109104 237 3219 SH SOLE 3211 0 0 REGIONS FINL CORP NEW COM 7591EP100 324 18881 SH SOLE 18728 0 0 SOUTHERN CO COM 842587107 2290 35950 SH SOLE 48564 0 0 UNITED PARCEL SERVICE INC CL B 911312106 594 5074 SH SOLE 5073 0 0 VENTAS INC COM 92276F100 319 5525 SH SOLE 19788 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3884 63257 SH SOLE 107385 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 371 19193 SH SOLE 19169 0 0 WELLTOWER INC COM 95040Q104 372 4549 SH SOLE 4552 0 0 AMCOR PLC ORD G0250X107 142 13100 SH SOLE 13114 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 862 9124 SH SOLE 9123 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 1525 18020 SH SOLE 18016 0 0 ISHARES INC CORE MSCI EMKT 46434G103 540 10045 SH SOLE 17870 0 0 ISHARES TR CORE S&P500 ETF 464287200 11917 36867 SH SOLE 36867 0 0 ISHARES TR RUS MID CAP ETF 464287499 5013 84083 SH SOLE 84075 0 0 ISHARES TR CORE S&P SCP ETF 464287804 4612 55003 SH SOLE 82925 0 0 ISHARES TR CORE HIGH DV ETF 46429B663 10906 111206 SH SOLE 111203 0 0 ISHARES TR MIN VOL EAFE ETF 46429B689 2951 39589 SH SOLE 39588 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 2241 1425 SH SOLE 26722 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 5512 30257 SH SOLE 30256 0 0 AMERIPRISE FINL INC COM 03076C106 9988 59959 SH SOLE 59956 0 0 BOEING CO COM 097023105 2925 8979 SH SOLE 8978 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 899 14005 SH SOLE 274237 0 0 CATERPILLAR INC DEL COM 149123101 390 2641 SH SOLE 2644 0 0 CISCO SYS INC COM 17275R102 1678 34987 SH SOLE 43877 0 0 DISNEY WALT CO COM DISNEY 254687106 1873 12950 SH SOLE 29896 0 0 INTEL CORP COM 458140100 5034 84110 SH SOLE 101120 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2336 17428 SH SOLE 17424 0 0 ORACLE CORP COM 68389X105 427 8060 SH SOLE 45701 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 270 3332 SH SOLE 3334 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 12346 130273 SH SOLE 872359 0 0 ISHARES TR RUS MD CP GR ETF 464287481 16278 106685 SH SOLE 930554 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 29111 213299 SH SOLE 2164853 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 35176 199955 SH SOLE 2194030 0 0 ISHARES TR SP SMCP600VL ETF 464287879 9162 56978 SH SOLE 653248 0 0 ISHARES TR S&P SML 600 GWT 464287887 10525 54449 SH SOLE 769287 0 0 SPDR SERIES TRUST S&P 600 SMCP VAL 78464A300 24731 376366 SH SOLE 376364 0 0 ISHARES TR MSCI EAFE ETF 464287465 210 3024 SH SOLE 3023 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1168 7050 SH SOLE 7048 0 0 AON PLC SHS CL A G0408V102 295 1416 SH SOLE 19714 0 0 ASHLAND GLOBAL HLDGS INC COM 044186104 161 2104 SH SOLE 73303 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3922 17316 SH SOLE 17316 0 0 CITIGROUP INC COM NEW 172967424 810 10139 SH SOLE 10138 0 0 HOME DEPOT INC COM 437076102 988 4524 SH SOLE 12610 0 0 JPMORGAN CHASE & CO COM 46625H100 3682 26413 SH SOLE 30127 0 0 JOHNSON & JOHNSON COM 478160104 4473 30664 SH SOLE 43794 0 0 TARGET CORP COM 87612E106 17295 134896 SH SOLE 513513 0 0 TESLA INC COM 88160R101 370 884 SH SOLE 884 0 0 US BANCORP DEL COM NEW 902973304 312 5262 SH SOLE 16275 0 0 EATON CORP PLC SHS G29183103 318 3357 SH SOLE 3355 0 0 NORDSTROM INC COM 655664100 292 7134 SH SOLE 8211 0 0 STARBUCKS CORP COM 855244109 1129 12841 SH SOLE 115847 0 0 UNION PACIFIC CORP COM 907818108 364 2013 SH SOLE 11234 0 0 WELLS FARGO CO NEW COM 949746101 564 10483 SH SOLE 20449 0 0 BAXTER INTL INC COM 071813109 1386 16575 SH SOLE 16535 0 0 MOHAWK GROUP HLDGS INC COM 608189106 135 22920 SH SOLE 22892 0 0 WRAP TECHNOLOGIES INC COM 98212N107 351 54930 SH SOLE 55000 0 0 CAMPBELL SOUP CO COM 134429109 2819 57042 SH SOLE 2281271 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 207 18384 SH SOLE 18374 0 0 CONSTELLATION BRANDS INC CL A 21036P108 252 1328 SH SOLE 1292 0 0 SPDR SERIES TRUST S&P 600 SMCP GRW 78464A201 16941 262570 SH SOLE 262566 0 0 SPDR SERIES TRUST PRTFLO S&P500 GW 78464A409 30398 725316 SH SOLE 725305 0 0 SPDR SERIES TRUST PRTFLO S&P500 VL 78464A508 32843 940791 SH SOLE 940793 0 0 SPDR SERIES TRUST S&P 400 MDCP GRW 78464A821 16933 296602 SH SOLE 296599 0 0 NETFLIX INC COM 64110L106 1321 4083 SH SOLE 40470 0 0 BOOKING HLDGS INC COM 09857L108 216 105 SH SOLE 105 0 0 LOCKHEED MARTIN CORP COM 539830109 709 1821 SH SOLE 149260 0 0 LOWES COS INC COM 548661107 474 3958 SH SOLE 3960 0 0 MERCK & CO INC COM 58933Y105 809 8895 SH SOLE 25243 0 0 NOVARTIS A G SPONSORED ADR 66987V109 505 5333 SH SOLE 5338 0 0 TEXAS INSTRS INC COM 882508104 585 4560 SH SOLE 22385 0 0 TOTAL S A SPONSORED ADS 89151E109 302 5461 SH SOLE 5459 0 0 UNITED TECHNOLOGIES CORP COM 913017109 1603 10704 SH SOLE 19078 0 0 AMERICAN ELEC PWR CO INC COM 025537101 297 3143 SH SOLE 3141 0 0 GENERAL MLS INC COM 370334104 273 5097 SH SOLE 5094 0 0 ISHARES TR EAFE VALUE ETF 464288877 22526 451152 SH SOLE 451154 0 0 ISHARES TR EAFE GRWTH ETF 464288885 7088 81971 SH SOLE 81974 0 0 KELLOGG CO COM 487836108 1187 17163 SH SOLE 17160 0 0 PROCTER & GAMBLE CO COM 742718109 3401 27230 SH SOLE 339557 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 376 8534 SH SOLE 8524 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 206 978 SH SOLE 980 0 0 ILLINOIS TOOL WKS INC COM 452308109 812 4520 SH SOLE 197765 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1604 27205 SH SOLE 873363 0 0 CVS HEALTH CORP COM 126650100 373 5021 SH SOLE 5023 0 0 FORD MTR CO DEL COM 345370860 148 15914 SH SOLE 15967 0 0 HONEYWELL INTL INC COM 438516106 1801 10175 SH SOLE 20034 0 0 ISHARES TR CORE S&P MCP ETF 464287507 363 1764 SH SOLE 33039 0 0 KIMCO RLTY CORP COM 49446R109 213 10285 SH SOLE 10186 0 0 MAGNA INTL INC COM 559222401 299 4199 SH SOLE 5458 0 0 ONEOK INC NEW COM 682680103 262 3462 SH SOLE 10350 0 0 VANGUARD GROUP DIV APP ETF 921908844 6464 51853 SH SOLE 51856 0 0 WALMART INC COM 931142103 461 3879 SH SOLE 139618 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 362 1822 SH SOLE 1823 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 336 2451 SH SOLE 2452 0 0 POLYMET MINING CORP COM 731916102 46 180711 SH SOLE 182633 0 0 CONAGRA BRANDS INC COM 205887102 209 6104 SH SOLE 6096 0 0 MCDONALDS CORP COM 580135101 2026 10253 SH SOLE 25543 0 0 QUALCOMM INC COM 747525103 272 3083 SH SOLE 3079 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1421 15314 SH SOLE 15314 0 0 GENERAL ELECTRIC CO COM 369604103 841 75358 SH SOLE 75287 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 361 1570 SH SOLE 1571 0 0 MEDTRONIC PLC SHS G5960L103 416 3667 SH SOLE 32506 0 0 BEST BUY INC COM 086516101 39 444 SH SOLE 10096 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1158 56050 SH SOLE 56063 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 331 2054 SH SOLE 12627 0 0 WEC ENERGY GROUP INC COM 92939U106 277 3003 SH SOLE 3000 0 0 FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 317 6990 SH SOLE 13999 0 0 MONGODB INC CL A 60937P106 186 1413 SH SOLE 168801 0 0 NIKE INC CL B 654106103 687 6781 SH SOLE 15466 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 42 1990 SH SOLE 32228 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 421 8444 SH SOLE 14316 0 0 ISHARES INC MSCI PAC JP ETF 464286665 16 346 SH SOLE 16089 0 0 ISHARES TR S&P 500 VAL ETF 464287408 27 208 SH SOLE 19444 0 0 ISHARES INC MSCI JPN ETF NEW 46434G822 45 760 SH SOLE 19961 0 0 NORTHROP GRUMMAN CORP COM 666807102 226 657 SH SOLE 8610 0 0 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 159 2713 SH SOLE 52866 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 438 2262 SH SOLE 2264 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 667 3145 SH SOLE 3143 0 0 ROYAL BK CDA MONTREAL QUE COM 780087102 45 438 SH SOLE 29113 0 0 CHUBB LIMITED COM H1467J104 158 1015 SH SOLE 28439 0 0 ATMOS ENERGY CORP COM 049560105 18 161 SH SOLE 11663 0 0 INTL PAPER CO COM 460146103 58 1260 SH SOLE 37932 0 0 PRICE T ROWE GROUP INC COM 74144T108 47 386 SH SOLE 30910 0 0 CENTERPOINT ENERGY INC COM 15189T107 180 6601 SH SOLE 11923 0 0 ISHARES TR GRWT ALLOCAT ETF 464289867 208 4348 SH SOLE 4356 0 0 GRACO INC COM 384109104 26 500 SH SOLE 11221 0 0 SPDR SERIES TRUST S&P 400 MDCP VAL 78464A839 26654 486564 SH SOLE 486560 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 582 4883 SH SOLE 63707 0 0 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 299 7501 SH SOLE 7508 0 0 SPDR SERIES TRUST PRTFLO S&P500 HI 78468R788 19711 499518 SH SOLE 499526 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1159 3918 SH SOLE 3917 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 3083 14501 SH SOLE 14500 0 0 CMS ENERGY CORP COM 125896100 28 446 SH SOLE 20566 0 0 CONOCOPHILLIPS COM 20825C104 148 2276 SH SOLE 10408 0 0 NEXTERA ENERGY INC COM 65339F101 508 2098 SH SOLE 6043 0 0 XCEL ENERGY INC COM 98389B100 316 4977 SH SOLE 11653 0 0 ISHARES TR MBS ETF 464288588 4526 2214 SH SOLE 46820 0 0 VANGUARD WHITEHALL FDS INC HIGH DIV YLD 921946406 9299 5183 SH SOLE 99228 0 0 VANGUARD WHITEHALL FDS INC INTL HIGH ETF 921946794 1829 28677 SH SOLE 28671 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 1334 29998 SH SOLE 30007 0 0 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 1545 23445 SH SOLE 23449 0 0 COLGATE PALMOLIVE CO COM 194162103 310 4503 SH SOLE 4505 0 0 RAYTHEON CO COM NEW 755111507 319 1452 SH SOLE 1452 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 320 2251 SH SOLE 2253 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 3330 13600 SH SOLE 13602 0 0 HEIDRICK & STRUGGLES INTL IN COM 422819102 24 738 SH SOLE 23896 0 0 BANK MONTREAL QUE COM 063671101 1588 15779 SH SOLE 20492 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 319 1664 SH SOLE 3204 0 0 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 1377 24337 SH SOLE 24329 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 56 196 SH SOLE 10525 0 0 SALLY BEAUTY HLDGS INC COM 79546E104 1354 74192 SH SOLE 1093653 0 0 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 229 149 SH SOLE 2827 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 14658 17062 SH SOLE 320259 0 0 ISHARES TR U.S. FINLS ETF 464287788 490 3556 SH SOLE 3553 0 0 PHILLIPS 66 COM 718546104 202 1813 SH SOLE 1811 0 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 1692 33518 SH SOLE 33519 0 0 ISHARES INC MIN VOL GBL ETF 464286525 6738 70312 SH SOLE 70309 0 0 ISHARES TR CORE S&P TTL STK 464287150 3384 46554 SH SOLE 46554 0 0 ISHARES TR JPMORGAN USD EMG 464288281 1225 564 SH SOLE 10693 0 0 SPDR SERIES TRUST BLMBRG BRC CNVRT 78464A359 1312 23640 SH SOLE 23631 0 0 VANGUARD BD INDEX FD INC LONG TERM BOND 921937793 2763 27536 SH SOLE 27532 0 0 ISHARES TR DOW JONES US ETF 464287846 1417 8876 SH SOLE 8873 0 0 ISHARES GOLD TRUST ISHARES 464285105 213 14690 SH SOLE 14716 0 0 VANGUARD MUN BD FD INC TAX EXEMPT BD 922907746 250 4669 SH SOLE 4669 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 11114 67926 SH SOLE 67928 0 0 ISHARES TR MSCI USA ESG SLC 464288802 764 5701 SH SOLE 5702 0 0 ISHARES TR MODERT ALLOC ETF 464289875 438 10915 SH SOLE 10906 0 0 SPDR SERIES TRUST S&P DIVID ETF 78464A763 3267 30371 SH SOLE 30369 0 0 VANGUARD WHITEHALL FDS INC INTL DVD ETF 921946810 391 5426 SH SOLE 5427 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 460 2897 SH SOLE 2895 0 0 ISHARES TR SELECT DIVID ETF 464287168 1492 14121 SH SOLE 14118 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 1868 66335 SH SOLE 66324 0 0 W P CAREY INC COM 92936U109 316 3948 SH SOLE 3896 0 0 AES CORP COM 00130H105 318 15980 SH SOLE 15978 0 0 CITIZENS FINL GROUP INC COM 174610105 317 7806 SH SOLE 7800 0 0 CUMMINS INC COM 231021106 280 1565 SH SOLE 1567 0 0 LAMAR ADVERTISING CO NEW CL A 512816109 259 2902 SH SOLE 2903 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 874039100 271 4664 SH SOLE 4635 0 0 WHIRLPOOL CORP COM 963320106 316 2142 SH SOLE 2144 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 688 1833 SH SOLE 1825 0 0 ALLSTATE CORP COM 020002101 736 6545 SH SOLE 17060 0 0 BANK AMER CORP COM 060505104 1671 47445 SH SOLE 47437 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 269 5995 SH SOLE 5992 0 0 ISHARES TR U.S. TECH ETF 464287721 456 1960 SH SOLE 1961 0 0 NUVEEN AMT-FREE MUN VALUE FD COM 670695105 234 14436 SH SOLE 14454 0 0 VANGUARD WORLD FD MEGA CAP INDEX 921910873 413 348 SH SOLE 3693 0 0 KITE RLTY GROUP TR COM NEW 49803T300 195 9985 SH SOLE 10000 0 0 HAWKINS INC COM 420261109 1018 22222 SH SOLE 22232 0 0 VANGUARD STAR FD VG TL INTL STK F 921909768 319 5728 SH SOLE 5727 0 0 ISHARES TR CORE MSCI TOTAL 46432F834 544 8788 SH SOLE 8783 0 0 EATON VANCE SR FLTNG RTE TR COM 27828Q105 260 19188 SH SOLE 19000 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 359 6418 SH SOLE 6415 0 0 RESMED INC COM 761152107 241 1555 SH SOLE 1553 0 0 MGE ENERGY INC COM 55277P104 261 3311 SH SOLE 3311 0 0 ISHARES TR US HLTHCARE ETF 464287762 804 3727 SH SOLE 3729 0 0 ISHARES TR U.S. MED DVC ETF 464288810 523 1979 SH SOLE 1977 0 0 GRAPHIC PACKAGING HLDG CO COM 388689101 529 31772 SH SOLE 31643 0 0 OTTER TAIL CORP COM 689648103 538 10489 SH SOLE 10495 0 0 SEALED AIR CORP NEW COM 81211K100 90 2260 SH SOLE 38862 0 0 STERLING BANCORP DEL COM 85917A100 235 11148 SH SOLE 11144 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 202 1116 SH SOLE 1115 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 846 7059 SH SOLE 7055 0 0 GABELLI EQUITY TR INC COM 362397101 219 35961 SH SOLE 36000 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 340 1 SH SOLE 1 0 0 RESEARCH FRONTIERS INC COM 760911107 107 35548 SH SOLE 35461 0 0 CENTRAL GARDEN & PET CO CL A NON-VTG 153527205 587 19993 SH SOLE 20000 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 320 15377 SH SOLE 15400 0 0 VANGUARD INDEX FDS LARGE CAP ETF 922908637 511 3456 SH SOLE 3459 0 0 NUVEEN PFD & INCM SECURTIES COM 67072C105 208 20738 SH SOLE 20600 0 0 FLAHERTY & CRUMRIN PFD & INM COM 338478100 434 20009 SH SOLE 20000 0 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 452 25125 SH SOLE 25148 0 0