0001085146-19-001497.txt : 20190514 0001085146-19-001497.hdr.sgml : 20190514 20190514104014 ACCESSION NUMBER: 0001085146-19-001497 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190514 DATE AS OF CHANGE: 20190514 EFFECTIVENESS DATE: 20190514 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: 19820998 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 03-31-2019 03-31-2019 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 05-09-2019 0 90 379497 INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 872 4199 SH SOLE 4199 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 1305 51047 SH SOLE 51047 0 0 ALPHABET INC CAP STK CL C 02079K107 251 214 SH SOLE 214 0 0 ALPHABET INC CAP STK CL A 02079K305 444 377 SH SOLE 377 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 210 20900 SH SOLE 20900 0 0 AMAZON COM INC COM 023135106 1051 590 SH SOLE 590 0 0 AMERICAN ELEC PWR CO INC COM 025537101 119 119325 SH SOLE 119325 0 0 AMERIPRISE FINL INC COM 03076C106 9350 72994 SH SOLE 72994 0 0 APPLE INC COM 037833100 2173 11419 SH SOLE 11419 0 0 AT&T INC COM 00206R102 410 13108 SH SOLE 13108 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 212 1314 SH SOLE 1314 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 301 1 SH SOLE 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1522 7573 SH SOLE 7573 0 0 BOEING CO COM 097023105 2412 6321 SH SOLE 6321 0 0 BP PLC SPONSORED ADR 055622104 356 8159 SH SOLE 8159 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 450 17500 SH SOLE 17500 0 0 CELGENE CORP COM 151020104 814 8619 SH SOLE 8619 0 0 CHEVRON CORP NEW COM 166764100 1025 8321 SH SOLE 8321 0 0 CISCO SYS INC COM 17275R102 774 14317 SH SOLE 14317 0 0 CLEARBRIDGE MLP AND MIDSTRM COM 184692101 22038 1738902 SH SOLE 1738902 0 0 COLUMBIA ETF TR I DIVERSIFID FXD 19761L508 306 15400 SH SOLE 15400 0 0 COMCAST CORP NEW CL A 20030N101 253 6324 SH SOLE 6324 0 0 DISNEY WALT CO COM DISNEY 254687106 462 4174 SH SOLE 4174 0 0 DOCUSIGN INC COM 256163106 259 5000 SH SOLE 5000 0 0 EXXON MOBIL CORP COM 30231G102 792 9797 SH SOLE 9797 0 0 FS KKR CAPITAL CORP COM 302635107 6958 1115433 SH SOLE 1115433 0 0 GENERAL MLS INC COM 370334104 204 3956 SH SOLE 3956 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 217 5126 SH SOLE 5126 0 0 HAWKINS INC COM 420261109 816 22176 SH SOLE 22176 0 0 HEIDRICK & STRUGGLES INTL IN COM 422819102 29 29092 SH SOLE 29092 0 0 HESS CORP COM 42809H107 607 10041 SH SOLE 10041 0 0 HOME DEPOT INC COM 437076102 302 1575 SH SOLE 1575 0 0 HONEYWELL INTL INC COM 438516106 1165 7336 SH SOLE 7336 0 0 INVESCO EXCH TRD SLF IDX FD BULSHS 2019 CB 46138J304 31922 1514613 SH SOLE 1514613 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 341 7948 SH SOLE 7948 0 0 ISHARES TR S&P 500 GRWT ETF 464287309 279 1620 SH SOLE 1620 0 0 ISHARES TR MSCI EAFE ETF 464287465 221 3406 SH SOLE 3406 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 20114 231466 SH SOLE 231466 0 0 ISHARES TR RUS MD CP GR ETF 464287481 21032 155016 SH SOLE 155016 0 0 ISHARES TR CORE S&P MCP ETF 464287507 201 1056 SH SOLE 1056 0 0 ISHARES TR RUS 1000 VAL ETF 464287598 43874 355175 SH SOLE 355175 0 0 ISHARES TR RUS 1000 GRW ETF 464287614 43693 288616 SH SOLE 288616 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 355 2316 SH SOLE 2316 0 0 ISHARES TR CORE S&P SCP ETF 464287804 675 8747 SH SOLE 8747 0 0 ISHARES TR SP SMCP600VL ETF 464287879 16103 109164 SH SOLE 109164 0 0 ISHARES TR S&P SML 600 GWT 464287887 16350 91617 SH SOLE 91617 0 0 ISHARES TR MBS ETF 464288588 4418 41535 SH SOLE 41535 0 0 ISHARES TR MSCI USA ESG SLC 464288802 675 5715 SH SOLE 5715 0 0 ISHARES TR EAFE VALUE ETF 464288877 4199 85932 SH SOLE 85932 0 0 ISHARES TR EAFE GRWTH ETF 464288885 7955 102710 SH SOLE 102710 0 0 JOHNSON & JOHNSON COM 478160104 239 1721 SH SOLE 1721 0 0 KINDER MORGAN INC DEL COM 49456B101 58 32132 SH SOLE 32132 0 0 LOCKHEED MARTIN CORP COM 539830109 292 967 SH SOLE 967 0 0 LRAD CORP COM 50213V109 285 100000 SH SOLE 100000 0 0 MCDONALDS CORP COM 580135101 348 1827 SH SOLE 1827 0 0 MEDTRONIC PLC SHS G5960L103 243 2644 SH SOLE 2644 0 0 MERCK & CO INC COM 58933Y105 293 3508 SH SOLE 3508 0 0 MICROSOFT CORP COM 594918104 4106 34844 SH SOLE 34844 0 0 NANO DIMENSION LTD SPONS ADR 63008G104 484 681800 SH SOLE 681800 0 0 NETFLIX INC COM 64110L106 476 1337 SH SOLE 1337 0 0 NEUROTROPE INC COM NEW 64129T207 390 71500 SH SOLE 71500 0 0 NEW RELIC INC COM 64829B100 957 9692 SH SOLE 9692 0 0 NEXTERA ENERGY INC COM 65339F101 245 1266 SH SOLE 1266 0 0 OPTIMIZERX CORP COM NEW 68401U204 127 10000 SH SOLE 10000 0 0 OTTER TAIL CORP COM 689648103 579 11632 SH SOLE 11632 0 0 PENTAIR PLC SHS G7S00T104 204 5242 SH SOLE 5242 0 0 PROCTER AND GAMBLE CO COM 742718109 467 4487 SH SOLE 4487 0 0 PROVIDENCE SVC CORP COM 743815102 644 9653 SH SOLE 9653 0 0 RAYTHEON CO COM NEW 755111507 233 1280 SH SOLE 1280 0 0 SALLY BEAUTY HLDGS INC COM 79546E104 232 12600 SH SOLE 12600 0 0 SNAP INC CL A 83304A106 232 21135 SH SOLE 21135 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 362 1396 SH SOLE 1396 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 81864 289810 SH SOLE 289810 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 635 1839 SH SOLE 1839 0 0 SPDR SERIES TRUST PORTFOLIO TL STK 78464A805 326 9264 SH SOLE 9264 0 0 STARBUCKS CORP COM 855244109 582 7811 SH SOLE 7811 0 0 TARGET CORP COM 87612E106 9116 113582 SH SOLE 113582 0 0 TILE SHOP HLDGS INC COM 88677Q109 286 50455 SH SOLE 50455 0 0 UNITEDHEALTH GROUP INC COM 91324P102 631 2558 SH SOLE 2558 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 338 3107 SH SOLE 3107 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 381 2665 SH SOLE 2665 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 298 3412 SH SOLE 3412 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 323 1794 SH SOLE 1794 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 282 2184 SH SOLE 2184 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 247 5813 SH SOLE 5813 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 803 7420 SH SOLE 7420 0 0 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 350 8529 SH SOLE 8529 0 0 VISA INC COM CL A 92826C839 213 1372 SH SOLE 1372 0 0 WRAP TECHNOLOGIES INC COM 98212N107 178 25000 SH SOLE 25000 0 0 XCEL ENERGY INC COM 98389B100 282 4977 SH SOLE 4977 0 0