NorthRock Partners, LLC
- SEC CIK
- 0001632097
- Latest filing
- Aug 11, 2026
Holdings in Q1 2023
Holdings as of Mar 31, 2023, filed May 4, 2023. Long positions only; changes compare share counts with Q4 2022.
- Positions
- 322
- −20 vs. Q4 2022
- Portfolio value
- $939.3M
- +$60.8M (+6.9%) vs. Q4 2022
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| SPYSPDR S&P 500 ETF Trust | ETF | 419,660 | $171.8M | 18.3% | +8,886+2.2% | Added | History |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | 2,247,866 | $91.5M | 9.7% | +115,521+5.4% | Added | – |
| AAPLApple Inc. | Stock | 388,065 | $64.0M | 6.8% | −4,837−1.2% | Reduced | History |
| State Street SPDR Portfolio S&P 500 Growth ETF78464A409 | ETF | 1,017,164 | $56.3M | 6.0% | +106,158+11.7% | Added | – |
| State Street SPDR S&P 400 Mid Cap Value ETF78464A839 | ETF | 681,477 | $45.0M | 4.8% | +21,325+3.2% | Added | – |
| State Street SPDR S&P 600 Small Cap Value ETF78464A300 | ETF | 453,487 | $34.5M | 3.7% | +5,689+1.3% | Added | – |
| MDLZMondelez International, Inc. | Stock | 468,840 | $32.7M | 3.5% | −19,748−4.0% | Reduced | History |
| SPDR Series Trust78464A821 | ST STR SP400GRW | 470,825 | $32.2M | 3.4% | +28,360+6.4% | Added | – |
| SPDR Series Trust78464A201 | ST STR SP600GRWO | 369,190 | $27.2M | 2.9% | +7,573+2.1% | Added | – |
| iShares Russell 1000 Growth ETF464287614 | ETF | 96,668 | $23.6M | 2.5% | +597+0.6% | Added | – |
| iShares MSCI Eafe ETF464287465 | ETF | 317,491 | $22.7M | 2.4% | −7,387−2.3% | Reduced | – |
| TGTTarget Corp | Stock | 98,561 | $16.3M | 1.7% | +29,577+42.9% | Added | History |
| MSFTMicrosoft Corp | Stock | 53,498 | $15.4M | 1.6% | −3,859−6.7% | Reduced | History |
| PMPhilip Morris International Inc. | Stock | 139,751 | $13.6M | 1.4% | −1,442−1.0% | Reduced | History |
| AMPAmeriprise Financial Inc | COM | 29,931 | $9.17M | 1.0% | +2,750+10.1% | Added | History |
| First Tr Exchng Traded FD VI33740F755 | FT LADD BUFF ETF | 338,139 | $7.94M | 0.8% | +31,194+10.2% | Added | – |
| ATIAti Inc | Stock | 198,736 | $7.84M | 0.8% | +80,525+68.1% | Added | History |
| AMZNAmazon Com Inc | Stock | 64,436 | $6.66M | 0.7% | +373+0.6% | Added | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 32,587 | $6.65M | 0.7% | +1,359+4.4% | Added | – |
| iShares Russell Mid-Cap Growth ETF464287481 | ETF | 71,419 | $6.50M | 0.7% | −328−0.5% | Reduced | – |
| KHCKraft Heinz Co | Stock | 160,217 | $6.20M | 0.7% | −4,833−2.9% | Reduced | History |
| MOAltria Group, Inc. | Stock | 137,584 | $6.14M | 0.7% | −3,392−2.4% | Reduced | History |
| GOOGLAlphabet Inc. | Stock | 56,981 | $5.91M | 0.6% | −5,071−8.2% | Reduced | History |
| BRK.BBerkshire Hathaway Inc | Stock | 17,361 | $5.36M | 0.6% | −447−2.5% | Reduced | History |
| NVDANVIDIA Corp | Stock | 18,165 | $5.05M | 0.5% | −5,050−21.8% | Reduced | History |
| TSLATesla, Inc. | Stock | 22,190 | $4.60M | 0.5% | +3,372+17.9% | Added | History |
| iShares Russell 2000 ETF464287655 | ETF | 25,176 | $4.49M | 0.5% | −728−2.8% | Reduced | – |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 28,157 | $4.34M | 0.5% | +788+2.9% | Added | – |
| MCDMcDonalds Corp | Stock | 15,185 | $4.25M | 0.5% | +1,361+9.8% | Added | History |
| ABBVAbbVie Inc. | Stock | 26,335 | $4.20M | 0.4% | +885+3.5% | Added | History |
| JPMJPMorgan Chase & Co | Stock | 28,717 | $3.74M | 0.4% | −820−2.8% | Reduced | History |
| JNJJohnson & Johnson | Stock | 23,527 | $3.65M | 0.4% | −1,650−6.6% | Reduced | History |
| Invesco QQQ Trust Series I46090E103 | ETF | 10,498 | $3.37M | 0.4% | −255−2.4% | Reduced | – |
| UNHUnitedHealth Group Inc | Stock | 6,836 | $3.23M | 0.3% | −909−11.7% | Reduced | History |
| PGProcter & Gamble Co | Stock | 19,578 | $2.91M | 0.3% | −153−0.8% | Reduced | History |
| ESTAEstablishment Labs Holdings Inc. | COM | 42,931 | $2.91M | 0.3% | 00.0% | Unchanged | History |
| iShares Russell 1000 Value ETF464287598 | ETF | 18,438 | $2.81M | 0.3% | −796−4.1% | Reduced | – |
| iShares Tr464287622 | RUS 1000 ETF | 12,032 | $2.71M | 0.3% | −2,271−15.9% | Reduced | – |
| METAMeta Platforms, Inc. | Stock | 11,839 | $2.51M | 0.3% | −1,994−14.4% | Reduced | History |
| ITWIllinois Tool Works Inc | Stock | 9,561 | $2.33M | 0.2% | +1,123+13.3% | Added | History |
| BABoeing Co | Stock | 10,697 | $2.27M | 0.2% | −421−3.8% | Reduced | History |
| COSTCostco Wholesale Corp | Stock | 4,562 | $2.27M | 0.2% | +262+6.1% | Added | History |
| MRKMerck & Co., Inc. | Stock | 20,232 | $2.15M | 0.2% | −453−2.2% | Reduced | History |
| VVisa Inc. | Stock | 9,252 | $2.09M | 0.2% | −1,385−13.0% | Reduced | History |
| XOMExxonMobil Holdings Corp | COM | 18,909 | $2.07M | 0.2% | −2,135−10.1% | Reduced | History |
| PEPPepsiCo Inc | Stock | 11,121 | $2.03M | 0.2% | −829−6.9% | Reduced | History |
| SYYSysco Corp | Stock | 25,366 | $1.96M | 0.2% | +746+3.0% | Added | History |
| iShares Tr464288885 | EAFE GRWTH ETF | 20,698 | $1.94M | 0.2% | +200+1.0% | Added | – |
| HONHoneywell International Inc | COM | 9,847 | $1.88M | 0.2% | −542−5.2% | Reduced | History |
| UPSUnited Parcel Service Inc | Stock | 9,683 | $1.88M | 0.2% | −342−3.4% | Reduced | History |
| CVXChevron Corp | Stock | 11,021 | $1.80M | 0.2% | −1,590−12.6% | Reduced | History |
| iShares S&P Small-Cap 600 Growth ETF464287887 | ETF | 15,997 | $1.76M | 0.2% | −48−0.3% | Reduced | – |
| NFLXNetflix Inc | Stock | 5,015 | $1.73M | 0.2% | −525−9.5% | Reduced | History |
| HDHome Depot, Inc. | Stock | 5,693 | $1.68M | 0.2% | −1,157−16.9% | Reduced | History |
| MDYSPDR S&P Midcap 400 ETF Trust | ETF | 3,606 | $1.65M | 0.2% | −391−9.8% | Reduced | History |
| SPDR Series Trust78464A763 | ST STR SP DIV | 13,068 | $1.62M | 0.2% | +100+0.8% | Added | – |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 11,307 | $1.59M | 0.2% | −35−0.3% | Reduced | – |
| MAMastercard Inc | Stock | 4,304 | $1.56M | 0.2% | −907−17.4% | Reduced | History |
| GOOGAlphabet Inc. | Stock | 14,909 | $1.55M | 0.2% | −1,113−6.9% | Reduced | History |
| TMOThermo Fisher Scientific Inc. | Stock | 2,680 | $1.54M | 0.2% | +27+1.0% | Added | History |
| LLYEli Lilly & Co | Stock | 4,396 | $1.51M | 0.2% | −786−15.2% | Reduced | History |
| BMOBank of Montreal | COM | 16,880 | $1.50M | 0.2% | +16+0.1% | Added | History |
| WFCWells Fargo & Company | Stock | 39,606 | $1.48M | 0.2% | +4,873+14.0% | Added | History |
| WMTWalmart Inc. | Stock | 9,917 | $1.46M | 0.2% | +1,293+15.0% | Added | History |
| Vanguard Morningstar Growth ETF922908736 | ETF | 5,853 | $1.46M | 0.2% | −295−4.8% | Reduced | – |
| CSCOCisco Systems, Inc. | Stock | 27,727 | $1.45M | 0.2% | −171−0.6% | Reduced | History |
| INTCIntel Corp | Stock | 43,531 | $1.42M | 0.2% | +1,794+4.3% | Added | History |
| ABTAbbott Laboratories | Stock | 13,745 | $1.39M | 0.1% | −2,651−16.2% | Reduced | History |
| SFIXStitch Fix, Inc. | Stock | 257,379 | $1.32M | 0.1% | +50,943+24.7% | Added | History |
| iShares Core S&P 500 ETF464287200 | ETF | 3,143 | $1.29M | 0.1% | −750−19.3% | Reduced | – |
| VZVerizon Communications Inc | Stock | 33,193 | $1.29M | 0.1% | +1,912+6.1% | Added | History |
| TSNTyson Foods, Inc. | Stock | 21,389 | $1.27M | 0.1% | −3,236−13.1% | Reduced | History |
| EWEdwards Lifesciences Corp | Stock | 15,183 | $1.26M | 0.1% | +958+6.7% | Added | History |
| HWKNHawkins Inc | COM | 28,577 | $1.25M | 0.1% | −2,305−7.5% | Reduced | History |
| RTXRTX Corp | Stock | 12,568 | $1.23M | 0.1% | −581−4.4% | Reduced | History |
| CRMSalesforce, Inc. | Stock | 6,015 | $1.20M | 0.1% | +988+19.7% | Added | History |
| XELXcel Energy Inc | Stock | 17,786 | $1.20M | 0.1% | −80−0.4% | Reduced | History |
| DISWalt Disney Co | Stock | 11,839 | $1.19M | 0.1% | +723+6.5% | Added | History |
| Vanguard S&P 500 ETF922908363 | ETF | 3,145 | $1.18M | 0.1% | −8,906−73.9% | Reduced | – |
| SYKStryker Corp | Stock | 4,097 | $1.17M | 0.1% | +91+2.3% | Added | History |
| iShares Tr464287846 | DOW JONES US ETF | 11,632 | $1.16M | 0.1% | 00.0% | Unchanged | – |
| SBUXStarbucks Corp | Stock | 11,056 | $1.15M | 0.1% | −619−5.3% | Reduced | History |
| CATCaterpillar Inc | Stock | 5,001 | $1.14M | 0.1% | −877−14.9% | Reduced | History |
| PFEPfizer Inc | Stock | 27,800 | $1.13M | 0.1% | −6,730−19.5% | Reduced | History |
| SPDR Ser Tr78464A813 | S&P 600 SML CAP | 13,450 | $1.13M | 0.1% | +915+7.3% | Added | – |
| KOCoca Cola Co | Stock | 17,738 | $1.10M | 0.1% | −4,725−21.0% | Reduced | History |
| BACBank of America Corp | Stock | 37,166 | $1.06M | 0.1% | −15,744−29.8% | Reduced | History |
| AMCRAmcor plc | ORD | 91,988 | $1.05M | 0.1% | −1,310−1.4% | Reduced | History |
| WBAWalgreens Boots Alliance, Inc. | COM | 29,700 | $1.03M | 0.1% | +4,427+17.5% | Added | History |
| WECWec Energy Group, Inc. | Stock | 10,698 | $1.01M | 0.1% | +55+0.5% | Added | History |
| Vanguard Real Estate ETF922908553 | ETF | 11,866 | $985.4K | 0.1% | −2,812−19.2% | Reduced | – |
| Vanguard Scottsdale FDS92206C714 | VNG RUS1000VAL | 14,644 | $978.4K | 0.1% | −70−0.5% | Reduced | – |
| CENTACentral Garden & Pet Co | CL A NON-VTG | 24,574 | $960.1K | 0.1% | 00.0% | Unchanged | History |
| State Street SPDR Portfolio Developed World Ex-US ETF78463X889 | ETF | 29,170 | $936.9K | 0.1% | +96+0.3% | Added | – |
| ORCLOracle Corp | Stock | 9,890 | $918.9K | 0.1% | −699−6.6% | Reduced | History |
| DEDeere & Co | Stock | 2,207 | $911.2K | 0.1% | −259−10.5% | Reduced | History |
| ADBEAdobe Inc. | Stock | 2,359 | $909.2K | 0.1% | −476−16.8% | Reduced | History |
| iShares Tr464287762 | US HLTHCARE ETF | 3,312 | $904.4K | 0.1% | +127+4.0% | Added | – |
| AVGOBroadcom Inc. | Stock | 1,380 | $885.2K | 0.1% | −195−12.4% | Reduced | History |
| MMM3M Co | Stock | 8,276 | $869.9K | 0.1% | +967+13.2% | Added | History |
Options (5)
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 |
|---|---|---|---|
| Aon PLCG0403H958 | PUT | $31.5K | – |
| Raytheon Technologies Corp75513E901 | CALL | – | $19.6K |
| iShares Tr464287902 | CALL | – | $10.6K |
| iShares Tr464287958 | PUT | $10.6K | – |
| Select Sector SPDR Tr81369Y905 | CALL | – | $3.21K |
Sold out since Q4 2022 (40)
Positions held at the end of Q4 2022 that are gone from this filing.
| Security | Class | Shares in Q4 2022 | Value in Q4 2022 | % of portfolio in Q4 2022 | History |
|---|---|---|---|---|---|
| iShares Tr464288687 | PFD AND INCM SEC | 42,478 | $1.30M | 0.1% | – |
| NFENew Fortress Energy Inc. | COM CL A | 26,950 | $1.14M | 0.1% | History |
| PRUPrudential Financial Inc | Stock | 4,722 | $469.7K | 0.1% | History |
| AIGAmerican International Group, Inc. | Stock | 6,852 | $433.3K | <0.1% | History |
| MROMarathon Oil Corp | COM | 15,005 | $406.2K | <0.1% | History |
| FMCFMC Corp | COM NEW | 3,122 | $389.6K | <0.1% | History |
| DGDollar General Corp | COM | 1,562 | $384.8K | <0.1% | History |
| METMetlife Inc | Stock | 5,039 | $364.7K | <0.1% | History |
| CSGPCostar Group, Inc. | COM | 4,561 | $352.5K | <0.1% | History |
| PXDPioneer Natural Resources Co | COM | 1,408 | $321.6K | <0.1% | History |
| iShares S&P Mid-Cap 400 Value ETF464287705 | ETF | 2,966 | $299.0K | <0.1% | – |
| EPAMEPAM Systems, Inc. | COM | 830 | $272.0K | <0.1% | History |
| iShares S&P Mid-Cap 400 Growth ETF464287606 | ETF | 3,785 | $258.5K | <0.1% | – |
| PNCPNC Financial Services Group, Inc. | Stock | 1,622 | $256.2K | <0.1% | History |
| Vanguard Scottsdale FDS92206C680 | VNG RUS1000GRW | 4,645 | $256.0K | <0.1% | – |
| APDAir Products & Chemicals, Inc. | Stock | 822 | $253.4K | <0.1% | History |
| Dimensional U.S. Targeted Value ETF25434V609 | ETF | 5,694 | $250.2K | <0.1% | – |
| CNCCentene Corp | Stock | 3,037 | $249.1K | <0.1% | History |
| NDAQNasdaq, Inc. | COM | 4,026 | $247.0K | <0.1% | History |
| HPQHP Inc | Stock | 9,147 | $245.8K | <0.1% | History |
| iShares Tr464288588 | MBS ETF | 2,574 | $245.0K | <0.1% | – |
| NSCNorfolk Southern Corp | Stock | 993 | $244.7K | <0.1% | History |
| DVNDevon Energy Corp | Stock | 3,933 | $241.9K | <0.1% | History |
| GPCGenuine Parts Co | Stock | 1,386 | $240.4K | <0.1% | History |
| PEGPublic Service Enterprise Group Inc | COM | 3,912 | $239.7K | <0.1% | History |
| CMICummins Inc | Stock | 963 | $233.3K | <0.1% | History |
| DTEDte Energy Co | COM | 1,965 | $230.9K | <0.1% | History |
| RJFRaymond James Financial Inc | COM | 2,106 | $225.0K | <0.1% | History |
| DDDuPont de Nemours, Inc. | COM | 3,198 | $219.5K | <0.1% | History |
| TELTE Connectivity plc | REG SHS | 1,904 | $218.6K | <0.1% | History |
| DOWDow Inc. | Stock | 4,226 | $212.9K | <0.1% | History |
| UNMUnum Group | Stock | 5,187 | $212.8K | <0.1% | History |
| DLRDigital Realty Trust, Inc. | COM | 2,100 | $210.6K | <0.1% | History |
| ONOn Semiconductor Corp | Stock | 3,315 | $206.8K | <0.1% | History |
| IQVIQVIA Holdings Inc. | Stock | 998 | $204.4K | <0.1% | History |
| NVSNovartis AG | ADR | 2,230 | $202.3K | <0.1% | History |
| CEGConstellation Energy Corp | Stock | 2,335 | $201.3K | <0.1% | History |
| SHWSherwin Williams Co | COM | 843 | $200.1K | <0.1% | History |
| SRNESorrento Therapeutics, Inc. | COM NEW | 19,055 | $16.9K | <0.1% | History |
| CBUSCibus, Inc. | COM | 52,448 | $7.74K | <0.1% | History |