Chief Compliance Officer

0001214659-24-002180.txt : 20240208 0001214659-24-002180.hdr.sgml : 20240208 20240208162845 ACCESSION NUMBER: 0001214659-24-002180 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240208 DATE AS OF CHANGE: 20240208 EFFECTIVENESS DATE: 20240208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NorthRock Partners, LLC CENTRAL INDEX KEY: 0001632097 ORGANIZATION NAME: 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: 24609496 BUSINESS ADDRESS: STREET 1: 225 SOUTH 6TH STREET STREET 2: SUITE 1400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-367-8800 MAIL ADDRESS: STREET 1: 225 SOUTH 6TH STREET STREET 2: SUITE 1400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001632097 XXXXXXXX 12-31-2023 12-31-2023 false NorthRock Partners, LLC

225 SOUTH 6TH STREET SUITE 1400 MINNEAPOLIS MN 55402

13F HOLDINGS REPORT 028-16755 N Kate Shoemaker Chief Compliance Officer 612-230-0338 /s/ Kate Shoemaker Minneapolis MN 02-07-2024 0 387 1071681851 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 701768 6419 SH SOLE 0 0 6419 ABBOTT LABS COM 002824100 2014645 18303 SH SOLE 0 0 18303 ABBVIE INC COM 00287Y109 3651641 23564 SH SOLE 0 0 23564 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 1328896 3787 SH SOLE 0 0 3787 ADOBE INC COM 00724F101 2127556 3566 SH SOLE 0 0 3566 ADVANCED MICRO DEVICES INC COM 007903107 1422871 9652 SH SOLE 0 0 9652 ADVANCED MICRO DEVICES INC CALL 007903907 100 100 SH Call SOLE 0 0 100 AFLAC INC COM 001055102 256670 3111 SH SOLE 0 0 3111 AGILENT TECHNOLOGIES INC COM 00846U101 244829 1761 SH SOLE 0 0 1761 AIR PRODS & CHEMS INC COM 009158106 350249 1279 SH SOLE 0 0 1279 ALDEYRA THERAPEUTICS INC COM 01438T106 41948 11951 SH SOLE 0 0 11951 ALEXANDRIA REAL ESTATE EQ IN COM 015271109 281232 2218 SH SOLE 0 0 2218 ALLSTATE CORP COM 020002101 509904 3643 SH SOLE 0 0 3643 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COM 74340W103 615180 4615 SH SOLE 0 0 4615 PRUDENTIAL FINL INC COM 744320102 380966 3673 SH SOLE 0 0 3673 QUALCOMM INC COM 747525103 809900 5600 SH SOLE 0 0 5600 QUANTA SVCS INC COM 74762E102 244387 1132 SH SOLE 0 0 1132 RAYMOND JAMES FINL INC COM 754730109 266997 2395 SH SOLE 0 0 2395 REGENERON PHARMACEUTICALS COM 75886F107 299497 341 SH SOLE 0 0 341 REPUBLIC SVCS INC COM 760759100 248000 1504 SH SOLE 0 0 1504 RESMED INC COM 761152107 354877 2063 SH SOLE 0 0 2063 ROCKWELL AUTOMATION INC COM 773903109 207711 669 SH SOLE 0 0 669 ROPER TECHNOLOGIES INC COM 776696106 727802 1335 SH SOLE 0 0 1335 ROSS STORES INC COM 778296103 276780 2000 SH SOLE 0 0 2000 RTX CORPORATION COM 75513E101 866996 10304 SH SOLE 0 0 10304 S&P GLOBAL INC COM 78409V104 798144 1812 SH SOLE 0 0 1812 SALESFORCE INC COM 79466L302 2392779 9093 SH SOLE 0 0 9093 SCHLUMBERGER LTD COM STK 806857108 769344 14784 SH SOLE 0 0 14784 SCHWAB CHARLES CORP COM 808513105 306072 4449 SH SOLE 0 0 4449 SCHWAB STRATEGIC TR US LRG CAP ETF 808524201 5942209 105358 SH SOLE 0 0 105358 SCHWAB STRATEGIC TR US MID-CAP ETF 808524508 1453418 19297 SH SOLE 0 0 19297 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 851468 23038 SH SOLE 0 0 23038 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 749637 15869 SH SOLE 0 0 15869 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 229165 3010 SH SOLE 0 0 3010 SELECT SECTOR SPDR TR ENERGY 81369Y506 461120 5500 SH SOLE 0 0 5500 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 281160 1461 SH SOLE 0 0 1461 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 251629 1845 SH SOLE 0 0 1845 SEMPRA COM 816851109 208090 2785 SH SOLE 0 0 2785 SERVICENOW INC COM 81762P102 601756 852 SH SOLE 0 0 852 SHERWIN WILLIAMS CO COM 824348106 294122 943 SH SOLE 0 0 943 SIMON PPTY GROUP INC NEW COM 828806109 345444 2422 SH SOLE 0 0 2422 SOUTHERN CO COM 842587107 675071 9627 SH SOLE 0 0 9627 SPDR GOLD TR GOLD SHS 78463V107 341047 1784 SH SOLE 0 0 1784 SPDR S&P 500 ETF TR TR UNIT 78462F103 170227153 358139 SH SOLE 0 0 358139 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1027461 2025 SH SOLE 0 0 2025 SPDR SER TR PRTFLO S&P500 VL 78464A508 91897759 1970786 SH SOLE 0 0 1970786 SPDR SER TR PRTFLO S&P500 GW 78464A409 56412789 867089 SH SOLE 0 0 867089 SPDR SER TR S&P 400 MDCP VAL 78464A839 44938092 612402 SH SOLE 0 0 612402 SPDR SER TR S&P 400 MDCP GRW 78464A821 31496536 416235 SH SOLE 0 0 416235 SPDR SER TR S&P 600 SMCP VAL 78464A300 29911537 359039 SH SOLE 0 0 359039 SPDR SER TR S&P 600 SMCP GRW 78464A201 24456833 292441 SH SOLE 0 0 292441 SPDR SER TR S&P DIVID ETF 78464A763 1532035 12259 SH SOLE 0 0 12259 SPDR SER TR PORTFOLIO S&P600 78468R853 1506248 35710 SH SOLE 0 0 35710 SPDR SER TR PORTFOLI S&P1500 78464A805 400967 6860 SH SOLE 0 0 6860 SPDR SER TR PRTFLO S&P500 HI 78468R788 368190 9395 SH SOLE 0 0 9395 SSGA ACTIVE ETF TR MULT ASS RLRTN 78467V103 366594 13468 SH SOLE 0 0 13468 SSGA ACTIVE ETF TR SPDR TR TACTIC 78467V848 288676 7172 SH SOLE 0 0 7172 STARBUCKS CORP COM 855244109 1187841 12372 SH SOLE 0 0 12372 STARWOOD PPTY TR INC COM 85571B105 360276 17140 SH SOLE 0 0 17140 STERIS PLC SHS USD G8473T100 229084 1042 SH SOLE 0 0 1042 STIFEL FINL CORP COM 860630102 240919 3484 SH SOLE 0 0 3484 STRYKER CORPORATION COM 863667101 1346555 4497 SH SOLE 0 0 4497 SYNOPSYS INC COM 871607107 455177 884 SH SOLE 0 0 884 SYSCO CORP COM 871829107 290619 3974 SH SOLE 0 0 3974 TARGA RES CORP COM 87612G101 223082 2568 SH SOLE 0 0 2568 TARGET CORP COM 87612E106 17641869 123872 SH SOLE 0 0 123872 TE CONNECTIVITY LTD SHS H84989104 223255 1589 SH SOLE 0 0 1589 TESLA INC COM 88160R101 5369849 21611 SH SOLE 0 0 21611 TEXAS INSTRS INC COM 882508104 458026 2687 SH SOLE 0 0 2687 THE CIGNA GROUP COM 125523100 604911 2020 SH SOLE 0 0 2020 THERMO FISHER SCIENTIFIC INC COM 883556102 1390080 2619 SH SOLE 0 0 2619 TIDAL ETF TR II TSLA OPTION INCM 88634T709 125732 10539 SH SOLE 0 0 10539 TJX COS INC NEW COM 872540109 586688 6254 SH SOLE 0 0 6254 T-MOBILE US INC COM 872590104 643648 4015 SH SOLE 0 0 4015 TRANE TECHNOLOGIES PLC SHS G8994E103 262436 1076 SH SOLE 0 0 1076 TRANSDIGM GROUP INC COM 893641100 237374 235 SH SOLE 0 0 235 TRAVELERS COMPANIES INC COM 89417E109 260209 1366 SH SOLE 0 0 1366 TRUIST FINL CORP COM 89832Q109 260791 7064 SH SOLE 0 0 7064 TYSON FOODS INC CL A 902494103 1407749 26191 SH SOLE 0 0 26191 UNION PAC CORP COM 907818108 1112423 4529 SH SOLE 0 0 4529 UNITED PARCEL SERVICE INC CL B 911312106 1444000 9184 SH SOLE 0 0 9184 UNITED RENTALS INC COM 911363109 385338 672 SH SOLE 0 0 672 UNITEDHEALTH GROUP INC COM 91324P102 3530400 6706 SH SOLE 0 0 6706 UNUM GROUP COM 91529Y106 200627 4437 SH SOLE 0 0 4437 US BANCORP DEL COM NEW 902973304 813207 18789 SH SOLE 0 0 18789 VALERO ENERGY CORP COM 91913Y100 268771 2067 SH SOLE 0 0 2067 VANECK ETF TRUST CLO ETF 92189H748 389341 7469 SH SOLE 0 0 7469 VANECK ETF TRUST CALL 92189F906 200 200 SH Call SOLE 0 0 200 VANGUARD INDEX FDS TOTAL STK MKT 922908769 6310946 26604 SH SOLE 0 0 26604 VANGUARD INDEX FDS GROWTH ETF 922908736 1977853 6362 SH SOLE 0 0 6362 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 1729247 10517 SH SOLE 0 0 10517 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1453464 3328 SH SOLE 0 0 3328 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 453052 2063 SH SOLE 0 0 2063 VANGUARD INDEX FDS SM CP VAL ETF 922908611 409437 2275 SH SOLE 0 0 2275 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 389740 2688 SH SOLE 0 0 2688 VANGUARD INDEX FDS MID CAP ETF 922908629 367406 1579 SH SOLE 0 0 1579 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 339567 3843 SH SOLE 0 0 3843 VANGUARD INDEX FDS SML CP GRW ETF 922908595 320587 1326 SH SOLE 0 0 1326 VANGUARD INDEX FDS VALUE ETF 922908744 204294 1367 SH SOLE 0 0 1367 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 912893 22212 SH SOLE 0 0 22212 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 453836 8185 SH SOLE 0 0 8185 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 974611 13435 SH SOLE 0 0 13435 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 226444 2902 SH SOLE 0 0 2902 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 214527 3678 SH SOLE 0 0 3678 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 3627378 21287 SH SOLE 0 0 21287 VANGUARD TAX-MANAGED FDS VAN FTSE DEV MKT 921943858 1042313 21760 SH SOLE 0 0 21760 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 464792 4143 SH SOLE 0 0 4143 VANGUARD WORLD FDS INF TECH ETF 92204A702 703102 1453 SH SOLE 0 0 1453 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 428446 1709 SH SOLE 0 0 1709 VERISK ANALYTICS INC COM 92345Y106 329388 1379 SH SOLE 0 0 1379 VERIZON COMMUNICATIONS INC COM 92343V104 1115366 29585 SH SOLE 0 0 29585 VERTEX PHARMACEUTICALS INC COM 92532F100 834531 2051 SH SOLE 0 0 2051 VISA INC COM CL A 92826C839 3653566 14033 SH SOLE 0 0 14033 VISA INC CALL 92826C909 26035 100 SH Call SOLE 0 0 100 WABTEC COM 929740108 315347 2485 SH SOLE 0 0 2485 WALMART INC COM 931142103 1996069 12661 SH SOLE 0 0 12661 WARNER BROS DISCOVERY INC COM SER A 934423104 139610 12268 SH SOLE 0 0 12268 WASTE MGMT INC DEL COM 94106L109 724688 4046 SH SOLE 0 0 4046 WATERS CORP COM 941848103 277870 844 SH SOLE 0 0 844 WEC ENERGY GROUP INC COM 92939U106 587276 6977 SH SOLE 0 0 6977 WELLS FARGO CO NEW COM 949746101 1635621 33231 SH SOLE 0 0 33231 WELLTOWER INC COM 95040Q104 264018 2928 SH SOLE 0 0 2928 WRAP TECHNOLOGIES INC COM 98212N107 114985 37092 SH SOLE 0 0 37092 XCEL ENERGY INC COM 98389B100 993006 16040 SH SOLE 0 0 16040 ZOETIS INC CL A 98978V103 820005 4155 SH SOLE 0 0 4155