NorthRock Partners, LLC
- SEC CIK
- 0001632097
- Latest filing
- Aug 11, 2026
Holdings in Q3 2021
Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.
- Positions
- 279
- +28 vs. Q2 2021
- Portfolio value
- $1.22B
- +$26.3M (+2.2%) vs. Q2 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| SPYSPDR S&P 500 ETF Trust | ETF | 537,463 | $234.0M | 19.1% | −3,450−0.6% | Reduced | History |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | 2,837,616 | $112.5M | 9.2% | +3,378+0.1% | Added | – |
| State Street SPDR Portfolio S&P 500 Growth ETF78464A409 | ETF | 1,281,810 | $83.7M | 6.8% | −5,306−0.4% | Reduced | – |
| State Street SPDR S&P 400 Mid Cap Value ETF78464A839 | ETF | 943,201 | $63.4M | 5.2% | −7,480−0.8% | Reduced | – |
| AAPLApple Inc. | Stock | 427,003 | $60.6M | 5.0% | +13,692+3.3% | Added | History |
| State Street SPDR S&P 600 Small Cap Value ETF78464A300 | ETF | 703,558 | $58.6M | 4.8% | −3,472−0.5% | Reduced | – |
| SPDR Series Trust78464A201 | ST STR SP600GRWO | 541,566 | $47.9M | 3.9% | +10,762+2.0% | Added | – |
| SPDR Series Trust78464A821 | ST STR SP400GRW | 603,007 | $46.4M | 3.8% | +12,687+2.1% | Added | – |
| MDLZMondelez International, Inc. | Stock | 706,103 | $41.3M | 3.4% | −15,574−2.2% | Reduced | History |
| TGTTarget Corp | Stock | 174,169 | $39.8M | 3.3% | −80,461−31.6% | Reduced | History |
| iShares Russell 1000 Growth ETF464287614 | ETF | 119,602 | $33.4M | 2.7% | −5,111−4.1% | Reduced | – |
| PMPhilip Morris International Inc. | Stock | 281,362 | $27.1M | 2.2% | −11,775−4.0% | Reduced | History |
| JPMorgan Ultra-Short Income ETF46641Q837 | ETF | 430,572 | $21.8M | 1.8% | +249,905+138.3% | Added | – |
| MOAltria Group, Inc. | Stock | 302,249 | $14.0M | 1.1% | −7,288−2.4% | Reduced | History |
| MSFTMicrosoft Corp | Stock | 45,529 | $12.9M | 1.1% | +7,514+19.8% | Added | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 55,419 | $12.3M | 1.0% | −704−1.3% | Reduced | – |
| AMPAmeriprise Financial Inc | COM | 43,219 | $11.4M | 0.9% | −5,446−11.2% | Reduced | History |
| iShares Russell Mid-Cap Growth ETF464287481 | ETF | 95,350 | $10.8M | 0.9% | −2,233−2.3% | Reduced | – |
| AMZNAmazon Com Inc | Stock | 2,937 | $9.81M | 0.8% | +586+24.9% | Added | History |
| QCLSQ/C Technologies, Inc. | COM | 1,354,004 | $9.75M | 0.8% | −94,176−6.5% | Reduced | History |
| OBDCBlue Owl Capital Corp | COM | 638,737 | $9.34M | 0.8% | −38,050−5.6% | Reduced | History |
| ABBVAbbVie Inc. | Stock | 68,582 | $7.50M | 0.6% | +3,529+5.4% | Added | History |
| GOOGLAlphabet Inc. | Stock | 2,701 | $7.33M | 0.6% | +364+15.6% | Added | History |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 43,724 | $6.81M | 0.6% | −3,068−6.6% | Reduced | – |
| iShares Russell 1000 Value ETF464287598 | ETF | 34,874 | $5.78M | 0.5% | −2,571−6.9% | Reduced | – |
| JNJJohnson & Johnson | Stock | 32,167 | $5.21M | 0.4% | +1,738+5.7% | Added | History |
| Vanguard S&P 500 ETF922908363 | ETF | 12,984 | $5.12M | 0.4% | +296+2.3% | Added | – |
| INTCIntel Corp | Stock | 90,725 | $4.87M | 0.4% | +2,345+2.7% | Added | History |
| TSLATesla, Inc. | Stock | 5,957 | $4.62M | 0.4% | +720+13.7% | Added | History |
| BRK.BBerkshire Hathaway Inc | Stock | 16,919 | $4.62M | 0.4% | +1,148+7.3% | Added | History |
| iShares S&P Small-Cap 600 Growth ETF464287887 | ETF | 35,179 | $4.58M | 0.4% | −255−0.7% | Reduced | – |
| Invesco QQQ Trust Series I46090E103 | ETF | 11,790 | $4.35M | 0.4% | −315−2.6% | Reduced | – |
| JPMJPMorgan Chase & Co | Stock | 25,918 | $4.30M | 0.4% | +1,740+7.2% | Added | History |
| KHCKraft Heinz Co | Stock | 114,598 | $4.22M | 0.3% | −1,266−1.1% | Reduced | History |
| iShares Tr464288885 | EAFE GRWTH ETF | 37,448 | $3.99M | 0.3% | 00.0% | Unchanged | – |
| PGProcter & Gamble Co | Stock | 25,526 | $3.75M | 0.3% | +702+2.8% | Added | History |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 20,054 | $3.66M | 0.3% | 00.0% | Unchanged | – |
| IBMInternational Business Machines Corp | Stock | 26,751 | $3.55M | 0.3% | +1,706+6.8% | Added | History |
| BABoeing Co | Stock | 14,308 | $3.35M | 0.3% | +2,231+18.5% | Added | History |
| ABTAbbott Laboratories | Stock | 26,620 | $3.22M | 0.3% | +1,645+6.6% | Added | History |
| METAMeta Platforms, Inc. | Stock | 9,245 | $3.19M | 0.3% | +4,249+85.0% | Added | History |
| ESTAEstablishment Labs Holdings Inc. | COM | 42,931 | $3.07M | 0.3% | +38,931+973.3% | Added | History |
| MCDMcDonalds Corp | Stock | 11,199 | $2.71M | 0.2% | +740+7.1% | Added | History |
| Vanguard Morningstar Growth ETF922908736 | ETF | 8,743 | $2.67M | 0.2% | −454−4.9% | Reduced | – |
| DISWalt Disney Co | Stock | 14,972 | $2.57M | 0.2% | +1,183+8.6% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 6,392 | $2.52M | 0.2% | +2,412+60.6% | Added | History |
| PYPLPayPal Holdings, Inc. | Stock | 8,827 | $2.32M | 0.2% | +4,242+92.5% | Added | History |
| PEPPepsiCo Inc | Stock | 14,181 | $2.23M | 0.2% | +114+0.8% | Added | History |
| VZVerizon Communications Inc | Stock | 40,751 | $2.23M | 0.2% | +2,197+5.7% | Added | History |
| SPDR Series Trust78464A763 | ST STR SP DIV | 18,375 | $2.21M | 0.2% | −719−3.8% | Reduced | – |
| ATIAti Inc | Stock | 128,796 | $2.14M | 0.2% | −550.0% | Reduced | History |
| WFCWells Fargo & Company | Stock | 45,538 | $2.11M | 0.2% | +13,159+40.6% | Added | History |
| NVDANVIDIA Corp | Stock | 9,875 | $2.09M | 0.2% | −14,965−60.2% | ReducedConverted for a 4-for-1 split | History |
| NFLXNetflix Inc | Stock | 3,375 | $2.06M | 0.2% | +1,380+69.2% | Added | History |
| HONHoneywell International Inc | COM | 9,105 | $1.98M | 0.2% | +219+2.5% | Added | History |
| MRKMerck & Co., Inc. | Stock | 25,666 | $1.93M | 0.2% | +2,276+9.7% | Added | History |
| iShares Tr464287846 | DOW JONES US ETF | 17,598 | $1.90M | 0.2% | 00.0% | Unchanged | – |
| SPDR Ser Tr78464A813 | S&P 600 SML CAP | 20,005 | $1.90M | 0.2% | −70−0.3% | Reduced | – |
| EWEdwards Lifesciences Corp | Stock | 16,661 | $1.89M | 0.2% | +824+5.2% | Added | History |
| BACBank of America Corp | Stock | 43,734 | $1.88M | 0.2% | +5,703+15.0% | Added | History |
| BMOBank of Montreal | COM | 17,384 | $1.74M | 0.1% | +21+0.1% | Added | History |
| GOOGAlphabet Inc. | Stock | 649 | $1.73M | 0.1% | −26−3.9% | Reduced | History |
| Vanguard Ftse All-World Ex-US Index Fund922042775 | ETF | 27,735 | $1.70M | 0.1% | −524−1.9% | Reduced | – |
| BAXBaxter International Inc | Stock | 20,609 | $1.66M | 0.1% | +3,643+21.5% | Added | History |
| ITWIllinois Tool Works Inc | Stock | 8,014 | $1.66M | 0.1% | +376+4.9% | Added | History |
| SPDR Gold Tr78463V907 | CALL | 10,000 | $1.64M | 0.1% | +10,000 | New | – |
| SBUXStarbucks Corp | Stock | 13,713 | $1.51M | 0.1% | +1,116+8.9% | Added | History |
| Schwab Strategic Tr808524722 | 1000 INDEX ETF | 35,455 | $1.51M | 0.1% | 00.0% | Unchanged | – |
| HDHome Depot, Inc. | Stock | 4,153 | $1.48M | 0.1% | +732+21.4% | Added | History |
| MDYSPDR S&P Midcap 400 ETF Trust | ETF | 3,033 | $1.46M | 0.1% | −105−3.3% | Reduced | History |
| HWKNHawkins Inc | COM | 41,823 | $1.46M | 0.1% | −814−1.9% | Reduced | History |
| CSCOCisco Systems, Inc. | Stock | 25,354 | $1.39M | 0.1% | +2,434+10.6% | Added | History |
| ARCCAres Capital Corp | CEF | 65,703 | $1.36M | 0.1% | −19,891−23.2% | Reduced | History |
| MMM3M Co | Stock | 7,474 | $1.31M | 0.1% | +410+5.8% | Added | History |
| SOSouthern Co | Stock | 21,055 | $1.30M | 0.1% | −943−4.3% | Reduced | History |
| iShares Inc464286608 | MSCI EURZONE ETF | 0 | $1.26M | 0.1% | 0 | New | – |
| iShares Tr464288877 | EAFE VALUE ETF | 24,297 | $1.24M | 0.1% | −41,235−62.9% | Reduced | – |
| TAT&T Inc. | Stock | 44,502 | $1.20M | 0.1% | −3,737−7.7% | Reduced | History |
| RTXRTX Corp | Stock | 13,972 | $1.20M | 0.1% | +1,643+13.3% | Added | History |
| MDTMedtronic plc | Stock | 9,019 | $1.19M | 0.1% | +3,977+78.9% | Added | History |
| XOMExxonMobil Holdings Corp | COM | 19,882 | $1.19M | 0.1% | +3,193+19.1% | Added | History |
| SYKStryker Corp | Stock | 4,480 | $1.18M | 0.1% | +339+8.2% | Added | History |
| PFEPfizer Inc | Stock | 27,106 | $1.17M | 0.1% | −3,959−12.7% | Reduced | History |
| iShares Core S&P 500 ETF464287200 | ETF | 2,330 | $1.17M | 0.1% | −402−14.7% | Reduced | – |
| KOCoca Cola Co | Stock | 21,916 | $1.16M | 0.1% | +4,730+27.5% | Added | History |
| VVisa Inc. | Stock | 4,960 | $1.14M | 0.1% | +1,107+28.7% | Added | History |
| COSTCostco Wholesale Corp | Stock | 2,407 | $1.14M | 0.1% | +512+27.0% | Added | History |
| NKENIKE, Inc. | Stock | 7,620 | $1.11M | 0.1% | +1,217+19.0% | Added | History |
| QCOMQualcomm Inc | Stock | 8,344 | $1.10M | 0.1% | +2,544+43.9% | Added | History |
| Barrick Gold Corp067901908 | CALL | 60,000 | $1.08M | 0.1% | +60,000 | New | – |
| SNOWSnowflake Inc. | Stock | 3,569 | $1.08M | 0.1% | +1,514+73.7% | Added | History |
| CVXChevron Corp | Stock | 10,384 | $1.07M | 0.1% | +2,005+23.9% | Added | History |
| iShares Tr464287762 | US HLTHCARE ETF | 3,644 | $1.06M | 0.1% | −203−5.3% | Reduced | – |
| WRAPWrap Technologies, Inc. | COM | 176,384 | $1.06M | 0.1% | +37,186+26.7% | Added | History |
| Vanguard Scottsdale FDS92206C714 | VNG RUS1000VAL | 15,306 | $1.05M | 0.1% | +32+0.2% | Added | – |
| iShares Select Dividend ETF464287168 | ETF | 8,444 | $969.0K | 0.1% | −2,528−23.0% | Reduced | – |
| iShares Core MSCI Eafe ETF46432F842 | ETF | 12,674 | $942.0K | 0.1% | −7−0.1% | Reduced | – |
| AONAon plc | CL A | 1,452 | $926.0K | 0.1% | −1,629−52.9% | Reduced | History |
| iShares Tr464288802 | ESG OPTIMIZED | 8,076 | $919.0K | 0.1% | −1,595−16.5% | Reduced | – |
| iShares Core S&P Small Cap ETF464287804 | ETF | 8,272 | $903.0K | 0.1% | −47−0.6% | Reduced | – |
Options (4)
Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.
| Security | Class | Puts | Calls |
|---|---|---|---|
| Viacomcbs Inc92556H907 | CALL | – | $79.0K |
| Westrock Co96145D905 | CALL | – | $50.0K |
| Rite Aid Corp767754902 | CALL | – | $17.0K |
| Eros STX Global CorporationG3788M904 | CALL | – | $3.00K |
Sold out since Q2 2021 (10)
Positions held at the end of Q2 2021 that are gone from this filing.
| Security | Class | Shares in Q2 2021 | Value in Q2 2021 | % of portfolio in Q2 2021 | History |
|---|---|---|---|---|---|
| MNDTMandiant, Inc. | COM | 34,841 | $704.0K | 0.1% | History |
| PIPRPiper Sandler Companies | COM | 2,903 | $376.0K | <0.1% | History |
| CLColgate Palmolive Co | Stock | 3,893 | $317.0K | <0.1% | History |
| Invesco Exchange Traded FD T46137V134 | WILDERHIL CLAN | 2,535 | $236.0K | <0.1% | – |
| NIONIO Inc. | ADR | 4,216 | $224.0K | <0.1% | History |
| iShares Tr464288448 | INTL SEL DIV ETF | 6,331 | $205.0K | <0.1% | – |
| UTFCohen & Steers Infrastructure Fund Inc | COM | 7,010 | $201.0K | <0.1% | History |
| GSKGSK plc | SPONSORED ADR | 5,039 | $201.0K | <0.1% | History |
| Vanguard Morningstar Value ETF922908744 | ETF | 1,455 | $200.0K | <0.1% | – |
| SRAXSRAX, Inc. | CL A | 14,236 | $77.0K | <0.1% | History |