NorthRock Partners, LLC
- SEC CIK
- 0001632097
- Latest filing
- Aug 11, 2026
Holdings in Q4 2021
Holdings as of Dec 31, 2021, filed Feb 7, 2022. Long positions only; changes compare share counts with Q3 2021.
- Positions
- 333
- +54 vs. Q3 2021
- Portfolio value
- $1.33B
- +$111.6M (+9.1%) vs. Q3 2021
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| SPYSPDR S&P 500 ETF Trust | ETF | 549,123 | $260.8M | 19.5% | +11,660+2.2% | Added | History |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | 2,886,049 | $121.2M | 9.1% | +48,433+1.7% | Added | – |
| State Street SPDR Portfolio S&P 500 Growth ETF78464A409 | ETF | 1,291,408 | $93.6M | 7.0% | +9,598+0.7% | Added | – |
| AAPLApple Inc. | Stock | 443,478 | $78.7M | 5.9% | +16,475+3.9% | Added | History |
| State Street SPDR S&P 400 Mid Cap Value ETF78464A839 | ETF | 949,176 | $67.5M | 5.1% | +5,975+0.6% | Added | – |
| State Street SPDR S&P 600 Small Cap Value ETF78464A300 | ETF | 708,967 | $60.1M | 4.5% | +5,409+0.8% | Added | – |
| SPDR Series Trust78464A201 | ST STR SP600GRWO | 554,771 | $51.5M | 3.9% | +13,205+2.4% | Added | – |
| SPDR Series Trust78464A821 | ST STR SP400GRW | 618,558 | $50.4M | 3.8% | +15,551+2.6% | Added | – |
| MDLZMondelez International, Inc. | Stock | 706,268 | $46.8M | 3.5% | +1650.0% | Added | History |
| iShares Russell 1000 Growth ETF464287614 | ETF | 118,999 | $36.4M | 2.7% | −603−0.5% | Reduced | – |
| TGTTarget Corp | Stock | 146,634 | $33.9M | 2.5% | −27,535−15.8% | Reduced | History |
| PMPhilip Morris International Inc. | Stock | 283,339 | $26.9M | 2.0% | +1,977+0.7% | Added | History |
| MSFTMicrosoft Corp | Stock | 51,773 | $17.4M | 1.3% | +6,244+13.7% | Added | History |
| MOAltria Group, Inc. | Stock | 298,065 | $14.1M | 1.1% | −4,184−1.4% | Reduced | History |
| JPMorgan Ultra-Short Income ETF46641Q837 | ETF | 277,047 | $14.0M | 1.0% | −153,525−35.7% | Reduced | – |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 54,069 | $13.1M | 1.0% | −1,350−2.4% | Reduced | – |
| iShares Russell Mid-Cap Growth ETF464287481 | ETF | 94,012 | $10.8M | 0.8% | −1,338−1.4% | Reduced | – |
| AMZNAmazon Com Inc | Stock | 2,983 | $9.95M | 0.7% | +46+1.6% | Added | History |
| ABBVAbbVie Inc. | Stock | 71,003 | $9.61M | 0.7% | +2,421+3.5% | Added | History |
| OBDCBlue Owl Capital Corp | COM | 640,153 | $9.06M | 0.7% | +1,416+0.2% | Added | History |
| AMPAmeriprise Financial Inc | COM | 29,213 | $8.81M | 0.7% | −14,006−32.4% | Reduced | History |
| GOOGLAlphabet Inc. | Stock | 2,934 | $8.50M | 0.6% | +233+8.6% | Added | History |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 42,922 | $7.37M | 0.6% | −802−1.8% | Reduced | – |
| TSLATesla, Inc. | Stock | 6,728 | $7.11M | 0.5% | +771+12.9% | Added | History |
| iShares Russell 1000 Value ETF464287598 | ETF | 36,172 | $6.07M | 0.5% | +1,298+3.7% | Added | – |
| Vanguard S&P 500 ETF922908363 | ETF | 13,699 | $5.98M | 0.4% | +715+5.5% | Added | – |
| JNJJohnson & Johnson | Stock | 34,957 | $5.98M | 0.4% | +2,790+8.7% | Added | History |
| Invesco QQQ Trust Series I46090E103 | ETF | 13,767 | $5.48M | 0.4% | +1,977+16.8% | Added | – |
| BRK.BBerkshire Hathaway Inc | Stock | 17,694 | $5.29M | 0.4% | +775+4.6% | Added | History |
| PGProcter & Gamble Co | Stock | 30,083 | $4.92M | 0.4% | +4,557+17.9% | Added | History |
| iShares S&P Small-Cap 600 Growth ETF464287887 | ETF | 33,862 | $4.70M | 0.4% | −1,317−3.7% | Reduced | – |
| JPMJPMorgan Chase & Co | Stock | 28,645 | $4.54M | 0.3% | +2,727+10.5% | Added | History |
| iShares Tr464288885 | EAFE GRWTH ETF | 37,502 | $4.14M | 0.3% | +54+0.1% | Added | – |
| KHCKraft Heinz Co | Stock | 114,247 | $4.10M | 0.3% | −351−0.3% | Reduced | History |
| ABTAbbott Laboratories | Stock | 28,957 | $4.08M | 0.3% | +2,337+8.8% | Added | History |
| PEPPepsiCo Inc | Stock | 22,086 | $3.84M | 0.3% | +7,905+55.7% | Added | History |
| INTCIntel Corp | Stock | 73,735 | $3.80M | 0.3% | −16,990−18.7% | Reduced | History |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 20,054 | $3.67M | 0.3% | 00.0% | Unchanged | – |
| MCDMcDonalds Corp | Stock | 12,640 | $3.39M | 0.3% | +1,441+12.9% | Added | History |
| UNHUnitedHealth Group Inc | Stock | 6,647 | $3.34M | 0.3% | +255+4.0% | Added | History |
| METAMeta Platforms, Inc. | Stock | 9,279 | $3.12M | 0.2% | +34+0.4% | Added | History |
| NVDANVIDIA Corp | Stock | 10,474 | $3.08M | 0.2% | +599+6.1% | Added | History |
| BABoeing Co | Stock | 15,239 | $3.07M | 0.2% | +931+6.5% | Added | History |
| ESTAEstablishment Labs Holdings Inc. | COM | 42,931 | $2.90M | 0.2% | 00.0% | Unchanged | History |
| Vanguard Morningstar Growth ETF922908736 | ETF | 8,921 | $2.86M | 0.2% | +178+2.0% | Added | – |
| DISWalt Disney Co | Stock | 18,269 | $2.83M | 0.2% | +3,297+22.0% | Added | History |
| SPDR Series Trust78464A763 | ST STR SP DIV | 18,777 | $2.42M | 0.2% | +402+2.2% | Added | – |
| ITWIllinois Tool Works Inc | Stock | 9,650 | $2.38M | 0.2% | +1,636+20.4% | Added | History |
| GOOGAlphabet Inc. | Stock | 805 | $2.33M | 0.2% | +156+24.0% | Added | History |
| HONHoneywell International Inc | COM | 10,959 | $2.29M | 0.2% | +1,854+20.4% | Added | History |
| NFLXNetflix Inc | Stock | 3,743 | $2.25M | 0.2% | +368+10.9% | Added | History |
| BACBank of America Corp | Stock | 50,673 | $2.25M | 0.2% | +6,939+15.9% | Added | History |
| HDHome Depot, Inc. | Stock | 5,377 | $2.23M | 0.2% | +1,224+29.5% | Added | History |
| EWEdwards Lifesciences Corp | Stock | 17,044 | $2.21M | 0.2% | +383+2.3% | Added | History |
| IBMInternational Business Machines Corp | Stock | 15,949 | $2.13M | 0.2% | −10,802−40.4% | Reduced | History |
| COSTCostco Wholesale Corp | Stock | 3,729 | $2.12M | 0.2% | +1,322+54.9% | Added | History |
| VZVerizon Communications Inc | Stock | 39,979 | $2.08M | 0.2% | −772−1.9% | Reduced | History |
| iShares Tr464287846 | DOW JONES US ETF | 17,598 | $2.07M | 0.2% | 00.0% | Unchanged | – |
| ATIAti Inc | Stock | 129,046 | $2.06M | 0.2% | +250+0.2% | Added | History |
| CSCOCisco Systems, Inc. | Stock | 31,690 | $2.01M | 0.2% | +6,336+25.0% | Added | History |
| SPDR Ser Tr78464A813 | S&P 600 SML CAP | 20,055 | $1.99M | 0.1% | +50+0.2% | Added | – |
| MDYSPDR S&P Midcap 400 ETF Trust | ETF | 3,793 | $1.96M | 0.1% | +760+25.1% | Added | History |
| PFEPfizer Inc | Stock | 33,185 | $1.96M | 0.1% | +6,079+22.4% | Added | History |
| Vanguard Ftse All-World Ex-US Index Fund922042775 | ETF | 30,734 | $1.90M | 0.1% | +2,999+10.8% | Added | – |
| BAXBaxter International Inc | Stock | 21,542 | $1.85M | 0.1% | +933+4.5% | Added | History |
| VVisa Inc. | Stock | 8,392 | $1.82M | 0.1% | +3,432+69.2% | Added | History |
| BMOBank of Montreal | COM | 16,495 | $1.78M | 0.1% | −889−5.1% | Reduced | History |
| WFCWells Fargo & Company | Stock | 36,643 | $1.76M | 0.1% | −8,895−19.5% | Reduced | History |
| iShares MSCI Eafe ETF464287465 | ETF | 22,265 | $1.75M | 0.1% | +13,785+162.6% | Added | – |
| SBUXStarbucks Corp | Stock | 14,841 | $1.74M | 0.1% | +1,128+8.2% | Added | History |
| Schwab Strategic Tr808524722 | 1000 INDEX ETF | 35,201 | $1.64M | 0.1% | −254−0.7% | Reduced | – |
| HWKNHawkins Inc | COM | 40,372 | $1.59M | 0.1% | −1,451−3.5% | Reduced | History |
| KOCoca Cola Co | Stock | 25,280 | $1.50M | 0.1% | +3,364+15.3% | Added | History |
| MMM3M Co | Stock | 8,404 | $1.49M | 0.1% | +930+12.4% | Added | History |
| TMOThermo Fisher Scientific Inc. | Stock | 2,203 | $1.47M | 0.1% | +848+62.6% | Added | History |
| SYKStryker Corp | Stock | 5,417 | $1.45M | 0.1% | +937+20.9% | Added | History |
| SOSouthern Co | Stock | 20,746 | $1.42M | 0.1% | −309−1.5% | Reduced | History |
| MRKMerck & Co., Inc. | Stock | 18,020 | $1.38M | 0.1% | −7,646−29.8% | Reduced | History |
| TAT&T Inc. | Stock | 54,783 | $1.35M | 0.1% | +10,281+23.1% | Added | History |
| ARCCAres Capital Corp | CEF | 62,435 | $1.32M | 0.1% | −3,268−5.0% | Reduced | History |
| Vanguard Real Estate ETF922908553 | ETF | 11,103 | $1.29M | 0.1% | +4,802+76.2% | Added | – |
| XOMExxonMobil Holdings Corp | COM | 20,960 | $1.28M | 0.1% | +1,078+5.4% | Added | History |
| CVXChevron Corp | Stock | 10,860 | $1.27M | 0.1% | +476+4.6% | Added | History |
| PYPLPayPal Holdings, Inc. | Stock | 6,600 | $1.25M | 0.1% | −2,227−25.2% | Reduced | History |
| LOWLowes Companies Inc | Stock | 4,757 | $1.23M | 0.1% | +659+16.1% | Added | History |
| DHRDanaher Corp | Stock | 3,710 | $1.22M | 0.1% | +1,588+74.8% | Added | History |
| iShares Core S&P 500 ETF464287200 | ETF | 2,510 | $1.20M | 0.1% | +180+7.7% | Added | – |
| RTXRTX Corp | Stock | 13,766 | $1.19M | 0.1% | −206−1.5% | Reduced | History |
| QCOMQualcomm Inc | Stock | 6,341 | $1.16M | 0.1% | −2,003−24.0% | Reduced | History |
| ADBEAdobe Inc. | Stock | 2,042 | $1.16M | 0.1% | +1,474+259.5% | Added | History |
| iShares Tr464287762 | US HLTHCARE ETF | 3,847 | $1.16M | 0.1% | +203+5.6% | Added | – |
| iShares Tr464288877 | EAFE VALUE ETF | 22,644 | $1.14M | 0.1% | −1,653−6.8% | Reduced | – |
| iShares Tr464287234 | MSCI EMG MKT ETF | 23,306 | $1.14M | 0.1% | +18,920+431.4% | Added | – |
| NKENIKE, Inc. | Stock | 6,758 | $1.13M | 0.1% | −862−11.3% | Reduced | History |
| Vanguard Scottsdale FDS92206C714 | VNG RUS1000VAL | 15,275 | $1.13M | 0.1% | −31−0.2% | Reduced | – |
| LLYEli Lilly & Co | Stock | 3,943 | $1.09M | 0.1% | +1,166+42.0% | Added | History |
| WBAWalgreens Boots Alliance, Inc. | COM | 20,857 | $1.09M | 0.1% | +4,671+28.9% | Added | History |
| iShares Tr464288802 | ESG OPTIMIZED | 9,577 | $1.02M | 0.1% | +1,501+18.6% | Added | – |
| iShares Select Dividend ETF464287168 | ETF | 8,247 | $1.01M | 0.1% | −197−2.3% | Reduced | – |
| MAMastercard Inc | Stock | 2,787 | $1.00M | 0.1% | +218+8.5% | Added | History |
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 | – | $60.0K |
| Westrock Co96145D905 | CALL | – | $44.0K |
| Rite Aid Corp767754902 | CALL | – | $18.0K |
| Eros STX Global CorporationG3788M904 | CALL | – | $1.00K |
Sold out since Q3 2021 (29)
Positions held at the end of Q3 2021 that are gone from this filing.
| Security | Class | Shares in Q3 2021 | Value in Q3 2021 | % of portfolio in Q3 2021 | History |
|---|---|---|---|---|---|
| QCLSQ/C Technologies, Inc. | COM | 1,354,004 | $9.75M | 0.8% | History |
| SPDR Gold Tr78463V907 | CALL | 10,000 | $1.64M | 0.1% | – |
| Barrick Gold Corp067901908 | CALL | 60,000 | $1.08M | 0.1% | – |
| SNOWSnowflake Inc. | Stock | 3,569 | $1.08M | 0.1% | History |
| QUMUQumu Corp | COM | 230,100 | $776.0K | 0.1% | History |
| SMSISmith Micro Software, Inc. | COM NEW | 138,596 | $671.0K | 0.1% | History |
| APOApollo Global Management, Inc. | COM CL A | 10,000 | $616.0K | 0.1% | History |
| FANGDiamondback Energy, Inc. | Stock | 5,509 | $522.0K | <0.1% | History |
| PTPIPetros Pharmaceuticals, Inc. | COM | 115,295 | $431.0K | <0.1% | History |
| FEFirstenergy Corp | COM | 11,870 | $423.0K | <0.1% | History |
| SLBSLB Limited | Stock | 13,283 | $394.0K | <0.1% | History |
| UUnity Software Inc. | COM | 3,050 | $385.0K | <0.1% | History |
| XLRNAcceleron Pharma Inc | COM | 2,200 | $379.0K | <0.1% | History |
| REGNRegeneron Pharmaceuticals, Inc. | COM | 589 | $356.0K | <0.1% | History |
| TTWOTake Two Interactive Software Inc | COM | 2,113 | $326.0K | <0.1% | History |
| CCitigroup Inc | Stock | 4,578 | $321.0K | <0.1% | History |
| HMHCHoughton Mifflin Harcourt Co | COM | 20,651 | $277.0K | <0.1% | History |
| FSKFS KKR Capital Corp | COM | 12,447 | $274.0K | <0.1% | History |
| BNTXBioNTech SE | SPONSORED ADS | 1,000 | $273.0K | <0.1% | History |
| HALHalliburton Co | Stock | 12,464 | $269.0K | <0.1% | History |
| AEOAmerican Eagle Outfitters Inc | COM | 10,000 | $258.0K | <0.1% | History |
| TWTRTwitter, Inc. | COM | 3,569 | $216.0K | <0.1% | History |
| Paramount Global92556H206 | CL B | 5,432 | $215.0K | <0.1% | – |
| MODVModivCare Inc | COM | 1,179 | $214.0K | <0.1% | History |
| iShares S&P Mid-Cap 400 Value ETF464287705 | ETF | 2,058 | $212.0K | <0.1% | – |
| CRWDCrowdStrike Holdings, Inc. | Stock | 687 | $207.0K | <0.1% | History |
| PMCBPharmaCyte Biotech, Inc. | COM NEW | 37,164 | $118.0K | <0.1% | History |
| Polymet MNG Corp731916409 | COM NEW | 18,312 | $56.0K | <0.1% | – |
| ADILAdial Pharmaceuticals, Inc. | COM | 10,000 | $43.0K | <0.1% | History |