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Livermore
Livermore
ZHEN

NorthRock Partners, LLC

SEC CIK
0001632097
Latest filing
Aug 11, 2026

Holdings in Q2 2023

Holdings as of Jun 30, 2023, filed Aug 2, 2023. Long positions only; changes compare share counts with Q1 2023.

Institution overview
Positions
311
−11 vs. Q1 2023
Portfolio value
$913.1M
−$26.2M (−2.8%) vs. Q1 2023
Filed
Aug 2, 2023
SEC
Holdings of NorthRock Partners, LLC in Q2 2023
SecurityClassSharesValue% of portfolioShare changeActionHistory
SPYSPDR S&P 500 ETF TrustETF372,030$164.9M18.1%−47,630−11.3%ReducedHistory
State Street SPDR Portfolio S&P 500 Value ETF78464A508ETF2,059,829$89.0M9.7%−188,037−8.4%Reduced–
AAPLApple Inc.Stock285,800$55.4M6.1%−102,265−26.4%ReducedHistory
State Street SPDR Portfolio S&P 500 Growth ETF78464A409ETF891,236$54.4M6.0%−125,928−12.4%Reduced–
State Street SPDR S&P 400 Mid Cap Value ETF78464A839ETF621,792$42.8M4.7%−59,685−8.8%Reduced–
iShares Tr46436E7180-3 MTH TREASURY324,120$32.6M3.6%+324,120New–
State Street SPDR S&P 600 Small Cap Value ETF78464A300ETF393,069$30.3M3.3%−60,418−13.3%Reduced–
SPDR Series Trust78464A821ST STR SP400GRW417,418$29.9M3.3%−53,407−11.3%Reduced–
iShares Russell 1000 Growth ETF464287614ETF89,288$24.6M2.7%−7,380−7.6%Reduced–
SPDR Series Trust78464A201ST STR SP600GRWO317,310$24.4M2.7%−51,880−14.1%Reduced–
MDLZMondelez International, Inc.Stock281,316$20.5M2.2%−187,524−40.0%ReducedHistory
iShares MSCI Eafe ETF464287465ETF247,765$18.0M2.0%−69,726−22.0%Reduced–
MSFTMicrosoft CorpStock49,243$16.8M1.8%−4,255−8.0%ReducedHistory
TGTTarget CorpStock126,156$16.6M1.8%+27,595+28.0%AddedHistory
PMPhilip Morris International Inc.Stock115,962$11.3M1.2%−23,789−17.0%ReducedHistory
AMPAmeriprise Financial IncCOM29,846$9.91M1.1%−85−0.3%ReducedHistory
ATIAti IncStock198,736$8.79M1.0%00.0%UnchangedHistory
KHCKraft Heinz CoStock242,857$8.62M0.9%+82,640+51.6%AddedHistory
AMZNAmazon Com IncStock55,460$7.23M0.8%−8,976−13.9%ReducedHistory
First Tr Exchng Traded FD VI33740F755FT LADD BUFF ETF268,286$6.72M0.7%−69,853−20.7%Reduced–
MOAltria Group, Inc.Stock144,814$6.56M0.7%+7,230+5.3%AddedHistory
GOOGLAlphabet Inc.Stock53,873$6.45M0.7%−3,108−5.5%ReducedHistory
iShares Russell Mid-Cap Growth ETF464287481ETF64,956$6.28M0.7%−6,463−9.0%Reduced–
Vanguard Morningstar Total Stock Market ETF922908769ETF27,721$6.11M0.7%−4,866−14.9%Reduced–
NVDANVIDIA CorpStock14,325$6.06M0.7%−3,840−21.1%ReducedHistory
TSLATesla, Inc.Stock21,432$5.61M0.6%−758−3.4%ReducedHistory
BRK.BBerkshire Hathaway IncStock15,732$5.36M0.6%−1,629−9.4%ReducedHistory
MCDMcDonalds CorpStock13,494$4.03M0.4%−1,691−11.1%ReducedHistory
Vanguard Dividend Appreciation ETF921908844ETF24,559$3.99M0.4%−3,598−12.8%Reduced–
JPMJPMorgan Chase & CoStock27,186$3.95M0.4%−1,531−5.3%ReducedHistory
Invesco QQQ Trust Series I46090E103ETF9,789$3.62M0.4%−709−6.8%Reduced–
JNJJohnson & JohnsonStock20,330$3.37M0.4%−3,197−13.6%ReducedHistory
METAMeta Platforms, Inc.Stock11,201$3.21M0.4%−638−5.4%ReducedHistory
ESTAEstablishment Labs Holdings Inc.COM42,931$2.95M0.3%00.0%UnchangedHistory
ABBVAbbVie Inc.Stock21,096$2.84M0.3%−5,239−19.9%ReducedHistory
UNHUnitedHealth Group IncStock5,850$2.81M0.3%−986−14.4%ReducedHistory
iShares Russell 1000 Value ETF464287598ETF17,163$2.71M0.3%−1,275−6.9%Reduced–
PGProcter & Gamble CoStock17,392$2.64M0.3%−2,186−11.2%ReducedHistory
MRKMerck & Co., Inc.Stock21,330$2.46M0.3%+1,098+5.4%AddedHistory
BABoeing CoStock11,635$2.46M0.3%+938+8.8%AddedHistory
ITWIllinois Tool Works IncStock9,323$2.33M0.3%−238−2.5%ReducedHistory
iShares Tr464287622RUS 1000 ETF9,330$2.27M0.2%−2,702−22.5%Reduced–
COSTCostco Wholesale CorpStock3,985$2.15M0.2%−577−12.6%ReducedHistory
VVisa Inc.Stock8,748$2.08M0.2%−504−5.4%ReducedHistory
NFLXNetflix IncStock4,605$2.03M0.2%−410−8.2%ReducedHistory
XOMExxonMobil Holdings CorpCOM18,848$2.02M0.2%−61−0.3%ReducedHistory
iShares Tr464288885EAFE GRWTH ETF20,606$1.97M0.2%−92−0.4%Reduced–
PEPPepsiCo IncStock10,571$1.96M0.2%−550−4.9%ReducedHistory
HONHoneywell International IncCOM9,327$1.94M0.2%−520−5.3%ReducedHistory
LLYEli Lilly & CoStock4,055$1.90M0.2%−341−7.8%ReducedHistory
CVXChevron CorpStock11,332$1.78M0.2%+311+2.8%AddedHistory
UPSUnited Parcel Service IncStock9,868$1.77M0.2%+185+1.9%AddedHistory
iShares S&P Small-Cap 600 Growth ETF464287887ETF15,127$1.74M0.2%−870−5.4%Reduced–
HDHome Depot, Inc.Stock5,449$1.69M0.2%−244−4.3%ReducedHistory
MAMastercard IncStock4,255$1.67M0.2%−49−1.1%ReducedHistory
GOOGAlphabet Inc.Stock13,785$1.67M0.2%−1,124−7.5%ReducedHistory
ABTAbbott LaboratoriesStock15,152$1.65M0.2%+1,407+10.2%AddedHistory
Vanguard Index FDS922908652EXTEND MKT ETF11,011$1.64M0.2%−296−2.6%Reduced–
WMTWalmart Inc.Stock9,977$1.57M0.2%+60+0.6%AddedHistory
Vanguard Morningstar Growth ETF922908736ETF5,528$1.56M0.2%−325−5.6%Reduced–
BMOBank of MontrealCOM16,831$1.52M0.2%−49−0.3%ReducedHistory
iShares Russell 2000 ETF464287655ETF7,618$1.43M0.2%−17,558−69.7%Reduced–
SPDR Series Trust78464A763ST STR SP DIV11,279$1.38M0.2%−1,789−13.7%Reduced–
EWEdwards Lifesciences CorpStock14,656$1.38M0.2%−527−3.5%ReducedHistory
SYYSysco CorpStock18,528$1.37M0.2%−6,838−27.0%ReducedHistory
TMOThermo Fisher Scientific Inc.Stock2,614$1.36M0.1%−66−2.5%ReducedHistory
WFCWells Fargo & CompanyStock31,184$1.33M0.1%−8,422−21.3%ReducedHistory
AVGOBroadcom Inc.Stock1,531$1.33M0.1%+151+10.9%AddedHistory
MDYSPDR S&P Midcap 400 ETF TrustETF2,734$1.31M0.1%−872−24.2%ReducedHistory
HWKNHawkins IncCOM27,169$1.30M0.1%−1,408−4.9%ReducedHistory
VZVerizon Communications IncStock33,795$1.26M0.1%+602+1.8%AddedHistory
SYKStryker CorpStock4,102$1.25M0.1%+5+0.1%AddedHistory
PGRProgressive CorpStock9,322$1.23M0.1%+7,116+322.6%AddedHistory
CRMSalesforce, Inc.Stock5,562$1.18M0.1%−453−7.5%ReducedHistory
ORCLOracle CorpStock9,741$1.16M0.1%−149−1.5%ReducedHistory
iShares Tr464287846DOW JONES US ETF10,562$1.14M0.1%−1,070−9.2%Reduced–
RTXRTX CorpStock11,628$1.14M0.1%−940−7.5%ReducedHistory
State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853ETF28,995$1.13M0.1%+28,995New–
DISWalt Disney CoStock12,427$1.11M0.1%+588+5.0%AddedHistory
ADBEAdobe Inc.Stock2,254$1.10M0.1%−105−4.5%ReducedHistory
PFEPfizer IncStock29,978$1.10M0.1%+2,178+7.8%AddedHistory
INTCIntel CorpStock32,553$1.09M0.1%−10,978−25.2%ReducedHistory
CSCOCisco Systems, Inc.Stock20,623$1.07M0.1%−7,104−25.6%ReducedHistory
BACBank of America CorpStock37,153$1.07M0.1%−130.0%ReducedHistory
CATCaterpillar IncStock4,287$1.05M0.1%−714−14.3%ReducedHistory
TSNTyson Foods, Inc.Stock19,843$1.01M0.1%−1,546−7.2%ReducedHistory
iShares Core S&P 500 ETF464287200ETF2,249$1.00M0.1%−894−28.4%Reduced–
KOCoca Cola CoStock16,340$984.0K0.1%−1,398−7.9%ReducedHistory
SBUXStarbucks CorpStock9,811$971.9K0.1%−1,245−11.3%ReducedHistory
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF29,716$967.0K0.1%+546+1.9%Added–
Vanguard Real Estate ETF922908553ETF11,450$956.7K0.1%−416−3.5%Reduced–
Vanguard Scottsdale FDS92206C714VNG RUS1000VAL13,698$948.0K0.1%−946−6.5%Reduced–
XELXcel Energy IncStock15,188$944.3K0.1%−2,598−14.6%ReducedHistory
ACNAccenture plcStock2,990$922.6K0.1%+712+31.3%AddedHistory
AMCRAmcor plcORD91,009$908.3K0.1%−979−1.1%ReducedHistory
LOWLowes Companies IncStock3,986$899.6K0.1%+55+1.4%AddedHistory
CMCSAComcast CorpStock21,012$873.1K0.1%−928−4.2%ReducedHistory
BAXBaxter International IncStock18,408$838.6K0.1%+799+4.5%AddedHistory
Vanguard S&P 500 ETF922908363ETF2,058$838.0K0.1%−1,087−34.6%Reduced–
WECWec Energy Group, Inc.Stock9,124$805.1K0.1%−1,574−14.7%ReducedHistory

Options (2)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of NorthRock Partners, LLC in Q2 2023
SecurityClassPutsCalls
Novo-Nordisk A S670100905CALL–$16.2K
DOXAmdocs LtdSHS–$385

Sold out since Q1 2023 (38)

Positions held at the end of Q1 2023 that are gone from this filing.

Positions of NorthRock Partners, LLC sold out since Q1 2023
SecurityClassShares in Q1 2023Value in Q1 2023% of portfolio in Q1 2023History
SFIXStitch Fix, Inc.Stock257,379$1.32M0.1%History
SPDR Ser Tr78464A813S&P 600 SML CAP13,450$1.13M0.1%–
WBAWalgreens Boots Alliance, Inc.COM29,700$1.03M0.1%History
CENTACentral Garden & Pet CoCL A NON-VTG24,574$960.1K0.1%History
OBDCBlue Owl Capital CorpCOM64,566$814.2K0.1%History
MSCIMSCI Inc.Stock871$487.5K0.1%History
UALUnited Airlines Holdings, Inc.COM7,337$324.7K<0.1%History
REGNRegeneron Pharmaceuticals, Inc.COM349$286.8K<0.1%History
APTVAptiv PLCSHS2,510$281.6K<0.1%History
ARCCAres Capital CorpCEF15,384$281.1K<0.1%History
iShares Tr464289875CORE 40 MODE ETF6,936$276.5K<0.1%–
FISFidelity National Information Services, Inc.Stock5,075$275.7K<0.1%History
GMGeneral Motors CoCOM7,258$266.2K<0.1%History
MRNAModerna, Inc.Stock1,681$258.2K<0.1%History
CDWCDW CorpCOM1,319$257.1K<0.1%History
STTState Street CorpCOM3,282$248.4K<0.1%History
SRESempraStock1,602$242.2K<0.1%History
IDXXIDEXX Laboratories IncCOM484$242.0K<0.1%History
COFCapital One Financial CorpStock2,477$238.2K<0.1%History
ETSYEtsy IncCOM2,105$234.3K<0.1%History
BBYBest Buy Co IncStock2,994$234.3K<0.1%History
MGMMGM Resorts InternationalStock5,197$230.9K<0.1%History
ULTAUlta Beauty, Inc.Stock418$228.1K<0.1%History
Schwab U.S. Large-Cap Growth ETF808524300ETF3,481$226.8K<0.1%–
PSXPhillips 66Stock2,186$221.6K<0.1%History
Vanguard Morningstar Value ETF922908744ETF1,593$220.0K<0.1%–
CMECME Group Inc.COM1,119$214.3K<0.1%History
APHAmphenol CorpCL A2,615$213.7K<0.1%History
JPMorgan Ultra-Short Income ETF46641Q837ETF4,178$210.2K<0.1%–
AVYAvery Dennison CorpCOM1,164$208.3K<0.1%History
HUMHumana IncStock428$207.7K<0.1%History
FIVEFive Below, IncCOM995$204.9K<0.1%History
TTTrane Technologies plcSHS1,112$204.6K<0.1%History
STXSeagate Technology Holdings plcORD SHS3,085$204.0K<0.1%History
MCKMcKesson CorpStock565$201.1K<0.1%History
EBAYeBay IncCOM4,525$200.8K<0.1%History
UPWheels Up Experience Inc.COMMON STOCK26,315$16.7K<0.1%History
Polymet MNG Corp731916144RIGHT 04/04/202319,262$52<0.1%–