NorthRock Partners, LLC
- SEC CIK
- 0001632097
- Latest filing
- Aug 11, 2026
Holdings in Q3 2023
Holdings as of Sep 30, 2023, filed Oct 24, 2023. Long positions only; changes compare share counts with Q2 2023.
- Positions
- 348
- +37 vs. Q2 2023
- Portfolio value
- $956.3M
- +$43.2M (+4.7%) vs. Q2 2023
| Security | Class | Shares | Value | % of portfolio | Share change | Action | History |
|---|---|---|---|---|---|---|---|
| SPYSPDR S&P 500 ETF Trust | ETF | 372,476 | $159.2M | 16.7% | +446+0.1% | Added | History |
| State Street SPDR Portfolio S&P 500 Value ETF78464A508 | ETF | 2,071,658 | $85.5M | 8.9% | +11,829+0.6% | Added | – |
| iShares Tr46436E718 | 0-3 MTH TREASURY | 546,865 | $55.1M | 5.8% | +222,745+68.7% | Added | – |
| State Street SPDR Portfolio S&P 500 Growth ETF78464A409 | ETF | 910,919 | $54.0M | 5.6% | +19,683+2.2% | Added | – |
| AAPLApple Inc. | Stock | 300,782 | $51.5M | 5.4% | +14,982+5.2% | Added | History |
| State Street SPDR S&P 400 Mid Cap Value ETF78464A839 | ETF | 630,470 | $40.9M | 4.3% | +8,678+1.4% | Added | – |
| SPDR Series Trust78464A821 | ST STR SP400GRW | 427,890 | $29.6M | 3.1% | +10,472+2.5% | Added | – |
| State Street SPDR S&P 600 Small Cap Value ETF78464A300 | ETF | 387,288 | $28.0M | 2.9% | −5,781−1.5% | Reduced | – |
| iShares Russell 1000 Growth ETF464287614 | ETF | 87,250 | $23.2M | 2.4% | −2,038−2.3% | Reduced | – |
| SPDR Series Trust78464A201 | ST STR SP600GRWO | 309,037 | $22.6M | 2.4% | −8,273−2.6% | Reduced | – |
| MDLZMondelez International, Inc. | Stock | 286,713 | $19.9M | 2.1% | +5,397+1.9% | Added | History |
| MSFTMicrosoft Corp | Stock | 58,015 | $18.3M | 1.9% | +8,772+17.8% | Added | History |
| iShares MSCI Eafe ETF464287465 | ETF | 242,804 | $16.7M | 1.7% | −4,961−2.0% | Reduced | – |
| TGTTarget Corp | Stock | 128,754 | $14.2M | 1.5% | +2,598+2.1% | Added | History |
| PMPhilip Morris International Inc. | Stock | 123,731 | $11.5M | 1.2% | +7,769+6.7% | Added | History |
| AMPAmeriprise Financial Inc | COM | 30,818 | $10.2M | 1.1% | +972+3.3% | Added | History |
| AMZNAmazon Com Inc | Stock | 64,853 | $8.24M | 0.9% | +9,393+16.9% | Added | History |
| KHCKraft Heinz Co | Stock | 243,603 | $8.19M | 0.9% | +746+0.3% | Added | History |
| ATIAti Inc | Stock | 198,736 | $8.18M | 0.9% | 00.0% | Unchanged | History |
| GOOGLAlphabet Inc. | Stock | 60,573 | $7.93M | 0.8% | +6,700+12.4% | Added | History |
| Schwab U.S. Large-Cap ETF808524201 | ETF | 149,323 | $7.56M | 0.8% | +136,846+1,096.8% | Added | – |
| MOAltria Group, Inc. | Stock | 165,900 | $6.98M | 0.7% | +21,086+14.6% | Added | History |
| NVDANVIDIA Corp | Stock | 15,310 | $6.66M | 0.7% | +985+6.9% | Added | History |
| First Tr Exchng Traded FD VI33740F755 | FT LADD BUFF ETF | 271,832 | $6.66M | 0.7% | +3,546+1.3% | Added | – |
| BRK.BBerkshire Hathaway Inc | Stock | 18,569 | $6.50M | 0.7% | +2,837+18.0% | Added | History |
| TSLATesla, Inc. | Stock | 25,361 | $6.35M | 0.7% | +3,929+18.3% | Added | History |
| Vanguard Morningstar Total Stock Market ETF922908769 | ETF | 28,727 | $6.10M | 0.6% | +1,006+3.6% | Added | – |
| iShares Russell Mid-Cap Growth ETF464287481 | ETF | 64,510 | $5.89M | 0.6% | −446−0.7% | Reduced | – |
| JPMJPMorgan Chase & Co | Stock | 32,539 | $4.72M | 0.5% | +5,353+19.7% | Added | History |
| JNJJohnson & Johnson | Stock | 26,474 | $4.12M | 0.4% | +6,144+30.2% | Added | History |
| METAMeta Platforms, Inc. | Stock | 13,446 | $4.04M | 0.4% | +2,245+20.0% | Added | History |
| MCDMcDonalds Corp | Stock | 13,790 | $3.63M | 0.4% | +296+2.2% | Added | History |
| Invesco QQQ Trust Series I46090E103 | ETF | 9,801 | $3.51M | 0.4% | +12+0.1% | Added | – |
| ABBVAbbVie Inc. | Stock | 23,089 | $3.44M | 0.4% | +1,993+9.4% | Added | History |
| Vanguard Dividend Appreciation ETF921908844 | ETF | 21,396 | $3.32M | 0.3% | −3,163−12.9% | Reduced | – |
| UNHUnitedHealth Group Inc | Stock | 6,543 | $3.30M | 0.3% | +693+11.8% | Added | History |
| COSTCostco Wholesale Corp | Stock | 5,533 | $3.13M | 0.3% | +1,548+38.8% | Added | History |
| VVisa Inc. | Stock | 13,448 | $3.09M | 0.3% | +4,700+53.7% | Added | History |
| PGProcter & Gamble Co | Stock | 21,177 | $3.09M | 0.3% | +3,785+21.8% | Added | History |
| LLYEli Lilly & Co | Stock | 5,174 | $2.78M | 0.3% | +1,119+27.6% | Added | History |
| MRKMerck & Co., Inc. | Stock | 26,078 | $2.68M | 0.3% | +4,748+22.3% | Added | History |
| XOMExxonMobil Holdings Corp | COM | 22,712 | $2.67M | 0.3% | +3,864+20.5% | Added | History |
| iShares Russell 1000 Value ETF464287598 | ETF | 17,237 | $2.62M | 0.3% | +74+0.4% | Added | – |
| MAMastercard Inc | Stock | 6,441 | $2.55M | 0.3% | +2,186+51.4% | Added | History |
| GOOGAlphabet Inc. | Stock | 18,834 | $2.48M | 0.3% | +5,049+36.6% | Added | History |
| BABoeing Co | Stock | 12,689 | $2.43M | 0.3% | +1,054+9.1% | Added | History |
| iShares Tr464287622 | RUS 1000 ETF | 9,382 | $2.20M | 0.2% | +52+0.6% | Added | – |
| ITWIllinois Tool Works Inc | Stock | 9,519 | $2.19M | 0.2% | +196+2.1% | Added | History |
| Schwab U.S. Mid-Cap ETF808524508 | ETF | 32,219 | $2.18M | 0.2% | +32,219 | New | – |
| ESTAEstablishment Labs Holdings Inc. | COM | 42,931 | $2.11M | 0.2% | 00.0% | Unchanged | History |
| PGRProgressive Corp | Stock | 14,949 | $2.08M | 0.2% | +5,627+60.4% | Added | History |
| CVXChevron Corp | Stock | 12,082 | $2.04M | 0.2% | +750+6.6% | Added | History |
| CRMSalesforce, Inc. | Stock | 9,585 | $1.94M | 0.2% | +4,023+72.3% | Added | History |
| WMTWalmart Inc. | Stock | 11,913 | $1.91M | 0.2% | +1,936+19.4% | Added | History |
| HDHome Depot, Inc. | Stock | 6,273 | $1.90M | 0.2% | +824+15.1% | Added | History |
| AVGOBroadcom Inc. | Stock | 2,261 | $1.88M | 0.2% | +730+47.7% | Added | History |
| NFLXNetflix Inc | Stock | 4,964 | $1.87M | 0.2% | +359+7.8% | Added | History |
| PEPPepsiCo Inc | Stock | 10,808 | $1.83M | 0.2% | +237+2.2% | Added | History |
| HONHoneywell International Inc | COM | 9,691 | $1.79M | 0.2% | +364+3.9% | Added | History |
| iShares Tr464287457 | 1 3 YR TREAS BD | 21,195 | $1.72M | 0.2% | +21,195 | New | – |
| UPSUnited Parcel Service Inc | Stock | 10,767 | $1.68M | 0.2% | +899+9.1% | Added | History |
| iShares S&P Small-Cap 600 Growth ETF464287887 | ETF | 14,687 | $1.61M | 0.2% | −440−2.9% | Reduced | – |
| KOCoca Cola Co | Stock | 28,556 | $1.60M | 0.2% | +12,216+74.8% | Added | History |
| iShares Russell 2000 ETF464287655 | ETF | 8,954 | $1.58M | 0.2% | +1,336+17.5% | Added | – |
| Vanguard Morningstar Growth ETF922908736 | ETF | 5,764 | $1.57M | 0.2% | +236+4.3% | Added | – |
| Vanguard Index FDS922908652 | EXTEND MKT ETF | 10,858 | $1.56M | 0.2% | −153−1.4% | Reduced | – |
| BACBank of America Corp | Stock | 55,672 | $1.52M | 0.2% | +18,519+49.8% | Added | History |
| ABTAbbott Laboratories | Stock | 15,684 | $1.52M | 0.2% | +532+3.5% | Added | History |
| CSCOCisco Systems, Inc. | Stock | 27,747 | $1.49M | 0.2% | +7,124+34.5% | Added | History |
| iShares Tr464288885 | EAFE GRWTH ETF | 17,208 | $1.49M | 0.2% | −3,398−16.5% | Reduced | – |
| HWKNHawkins Inc | COM | 24,178 | $1.42M | 0.1% | −2,991−11.0% | Reduced | History |
| BMOBank of Montreal | COM | 16,685 | $1.41M | 0.1% | −146−0.9% | Reduced | History |
| CATCaterpillar Inc | Stock | 5,178 | $1.41M | 0.1% | +891+20.8% | Added | History |
| TMOThermo Fisher Scientific Inc. | Stock | 2,745 | $1.39M | 0.1% | +131+5.0% | Added | History |
| Schwab International Equity ETF808524805 | ETF | 40,617 | $1.38M | 0.1% | +40,617 | New | – |
| ORCLOracle Corp | Stock | 12,860 | $1.36M | 0.1% | +3,119+32.0% | Added | History |
| SBUXStarbucks Corp | Stock | 14,905 | $1.36M | 0.1% | +5,094+51.9% | Added | History |
| WECWec Energy Group, Inc. | Stock | 16,158 | $1.30M | 0.1% | +7,034+77.1% | Added | History |
| SPDR Series Trust78464A763 | ST STR SP DIV | 11,300 | $1.30M | 0.1% | +21+0.2% | Added | – |
| State Street SPDR Portfolio S&P 600 Small Cap ETF78468R853 | ETF | 35,038 | $1.29M | 0.1% | +6,043+20.8% | Added | – |
| WFCWells Fargo & Company | Stock | 31,200 | $1.27M | 0.1% | +16+0.1% | Added | History |
| ADBEAdobe Inc. | Stock | 2,492 | $1.27M | 0.1% | +238+10.6% | Added | History |
| MDYSPDR S&P Midcap 400 ETF Trust | ETF | 2,734 | $1.25M | 0.1% | 00.0% | Unchanged | History |
| DISWalt Disney Co | Stock | 15,318 | $1.24M | 0.1% | +2,891+23.3% | Added | History |
| SYKStryker Corp | Stock | 4,327 | $1.18M | 0.1% | +225+5.5% | Added | History |
| ACNAccenture plc | Stock | 3,765 | $1.16M | 0.1% | +775+25.9% | Added | History |
| INTCIntel Corp | Stock | 32,307 | $1.15M | 0.1% | −246−0.8% | Reduced | History |
| Schwab U.S. Small-Cap ETF808524607 | ETF | 27,628 | $1.14M | 0.1% | +27,628 | New | – |
| XELXcel Energy Inc | Stock | 19,923 | $1.14M | 0.1% | +4,735+31.2% | Added | History |
| iShares Tr464288661 | 3 7 YR TREAS BD | 9,838 | $1.11M | 0.1% | +9,838 | New | – |
| iShares Tr464287846 | DOW JONES US ETF | 10,605 | $1.11M | 0.1% | +43+0.4% | Added | – |
| PFEPfizer Inc | Stock | 33,259 | $1.10M | 0.1% | +3,281+10.9% | Added | History |
| TSNTyson Foods, Inc. | Stock | 21,136 | $1.07M | 0.1% | +1,293+6.5% | Added | History |
| AMGNAmgen Inc | Stock | 3,864 | $1.04M | 0.1% | +1,864+93.2% | Added | History |
| CMCSAComcast Corp | Stock | 22,845 | $1.01M | 0.1% | +1,833+8.7% | Added | History |
| iShares Core S&P 500 ETF464287200 | ETF | 2,344 | $1.01M | 0.1% | +95+4.2% | Added | – |
| AMDAdvanced Micro Devices Inc | Stock | 9,739 | $1.00M | 0.1% | +2,691+38.2% | Added | History |
| VZVerizon Communications Inc | Stock | 30,852 | $999.9K | 0.1% | −2,943−8.7% | Reduced | History |
| iShares Inc46434G764 | MSCI EMRG CHN | 19,176 | $955.6K | 0.1% | +19,176 | New | – |
| DHRDanaher Corp | Stock | 4,281 | $941.5K | 0.1% | +1,204+39.1% | Added | History |
Options (6)
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 |
|---|---|---|---|
| Apple Inc037833950 | PUT | $2.11M | – |
| Cisco Sys Inc17275R952 | PUT | $144.1K | – |
| Advanced Micro Devices Inc007903907 | CALL | – | $10.3K |
| Dropbox Inc26210C904 | CALL | – | $8.17K |
| VanEck Vectors ETF Tr92189F906 | CALL | – | $5.38K |
| iShares Tr464287432 | 20 YR TR BD ETF | – | $831 |
Sold out since Q2 2023 (18)
Positions held at the end of Q2 2023 that are gone from this filing.
| Security | Class | Shares in Q2 2023 | Value in Q2 2023 | % of portfolio in Q2 2023 | History |
|---|---|---|---|---|---|
| SYYSysco Corp | Stock | 18,528 | $1.37M | 0.2% | History |
| CCitigroup Inc | Stock | 7,326 | $337.3K | <0.1% | History |
| EMREmerson Electric Co | Stock | 3,475 | $314.1K | <0.1% | History |
| FITBFifth Third Bancorp | COM | 9,242 | $242.2K | <0.1% | History |
| FTNTFortinet, Inc. | Stock | 3,078 | $232.7K | <0.1% | History |
| EXASExact Sciences Corp | COM | 2,415 | $226.8K | <0.1% | History |
| AZNAstraZeneca PLC | SPONSORED ADR | 3,155 | $225.8K | <0.1% | History |
| CAGConagra Brands Inc. | Stock | 6,630 | $223.6K | <0.1% | History |
| CLColgate Palmolive Co | Stock | 2,714 | $209.1K | <0.1% | History |
| DALDelta Air Lines, Inc. | COM NEW | 4,388 | $208.6K | <0.1% | History |
| Vanguard Scottsdale FDS92206C680 | VNG RUS1000GRW | 2,946 | $208.5K | <0.1% | – |
| JCIJohnson Controls International plc | Stock | 3,059 | $208.4K | <0.1% | History |
| DVNDevon Energy Corp | Stock | 4,296 | $207.7K | <0.1% | History |
| LNTAlliant Energy Corp | Stock | 3,940 | $206.8K | <0.1% | History |
| PWRQuanta Services, Inc. | COM | 1,047 | $205.8K | <0.1% | History |
| iShares Tr46434V456 | MSCI INTL QUALTY | 5,679 | $202.2K | <0.1% | – |
| CMGChipotle Mexican Grill Inc | COM | 94 | $201.1K | <0.1% | History |
| Polymet MNG Corp731916409 | COM NEW | 19,361 | $15.2K | <0.1% | – |