0001085146-16-003736.txt : 20160513 0001085146-16-003736.hdr.sgml : 20160513 20160513134332 ACCESSION NUMBER: 0001085146-16-003736 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160513 DATE AS OF CHANGE: 20160513 EFFECTIVENESS DATE: 20160513 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: 161647417 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 03-31-2016 03-31-2016 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 05-12-2016 0 49 192547 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M COCOM88579Y101194611666SHSOLE 1166600ADOBE SYS INCCOM00724F1012372525SHSOLE 252500AMERIPRISE FINL INCCOM03076C1067287770SHSOLE 777000APPLE INCCOM0378331008908151SHSOLE 815100AT&T INCCOM00206R1022746992SHSOLE 699200AUTOMATIC DATA PROCESSING INCOM0530151032252491SHSOLE 249100BERKSHIRE HATHAWAY INC DELCL A0846701082131SHSOLE 100BEST BUY INCCOM0865161013039229SHSOLE 922900BOSTON SCIENTIFIC CORPCOM101137107563011SHSOLE 301100CELGENE CORPCOM1510201042022012SHSOLE 201200CHRISTOPHER & BANKS CORPCOM1710461057732000SHSOLE 3200000CLEARBRIDGE ENERGY MLP FD INCOM184692101219581617867SHSOLE 161786700DAKOTA PLAINS HLDGS INCCOM23425510740444600SHSOLE 44460000EATON VANCE FLTING RATE INCCOM27827910459650290SHSOLE 5029000EXXON MOBIL CORPCOM30231G1024675575SHSOLE 557500FORESTAR GROUP INCCOM34623310974256866SHSOLE 5686600GENERAL MLS INCCOM3703341042323654SHSOLE 365400GRAMERCY PPTY TRCOM3850021003619422589SHSOLE 42258900HAWKINS INCCOM42026110997426697SHSOLE 2669700ISHARES TRRUS 1000 GRW ETF46428761425776258489SHSOLE 25848900ISHARES TRRUS 1000 VAL ETF46428759824955252562SHSOLE 25256200ISHARES TRRUS MD CP GR ETF46428748111462124412SHSOLE 12441200ISHARES TRRUS MDCP VAL ETF46428747312124170947SHSOLE 17094700ISHARES TRSP SMCP600GR ETF4642878871027782802SHSOLE 8280200ISHARES TRSP SMCP600VL ETF4642878791003688606SHSOLE 8860600ISHARES TRTIPS BD ETF4642871762502181SHSOLE 218100MEDTRONIC PLCSHSG5960L1033134143SHSOLE 414300MERCK & CO INC NEWCOM58933Y1052063862SHSOLE 386200MICROSOFT CORPCOM5949181042414343SHSOLE 434300NEURALSTEM INCCOM64127R3022836000SHSOLE 3600000OASIS PETE INC NEWCOM67421510821830000SHSOLE 3000000PIPER JAFFRAY COSCOM7240781004929914SHSOLE 991400PROCTER & GAMBLE COCOM74271810998611970SHSOLE 1197000PROVIDENCE SVC CORPCOM743815102110121559SHSOLE 2155900QUMU CORPCOM74906310318540300SHSOLE 4030000SELECT SECTOR SPDR TRSBI INT-ENERGY81369Y5065218420SHSOLE 842000SPDR S&P 500 ETF TRTR UNIT78462F10352938257602SHSOLE 25760200SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y1072891100SHSOLE 110000TARGET CORPCOM87612E106331037210SHSOLE 3721000UNITED PARCEL SERVICE INCCL B9113121062232110SHSOLE 211000UNITEDHEALTH GROUP INCCOM91324P1023953070SHSOLE 307000VANGUARD INDEX FDSMCAP GR IDXVIP9229085383063050SHSOLE 305000VANGUARD INDEX FDSMCAP VL IDXVIP9229085123043495SHSOLE 349500VANGUARD INDEX FDSREIT ETF9229085532543026SHSOLE 302600VANGUARD INDEX FDSSM CP VAL ETF9229086112532490SHSOLE 249000VANGUARD INDEX FDSSML CP GRW ETF9229085952462065SHSOLE 206500VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF9220428582136151SHSOLE 615100VANGUARD SCOTTSDALE FDSVNG RUS1000VAL92206C7145516360SHSOLE 636000WELLS FARGO & CO NEWCOM9497461013156518SHSOLE 651800