NorthRock Partners, LLC

SEC CIK: 0001632097
Latest filing: Aug 11, 2026

SEC filings (opens in a new tab)

Holdings in Q1 2024

Holdings as of Mar 31, 2024, filed Apr 22, 2025. Long positions only; changes compare share counts with Q4 2023.

Positions: 804; +61 vs. Q4 2023
Portfolio value: $2.60B; +$218.1M (+9.1%) vs. Q4 2023
Filed: Apr 22, 2025; AmendedSEC

Holdings of NorthRock Partners, LLC in Q1 2024
Security	Class	Shares	Value	% of portfolio	Share change	Action	History
SPYSPDR S&P 500 ETF Trust	ETF	689,337	$361.7M	13.9%	+10,052+1.5%	Added	History
State Street SPDR Portfolio S&P 500 Value ETF78464A508	ETF	4,069,717	$203.9M	7.8%	+141,330+3.6%	Added	–
iShares Tr46436E718	0-3 MTH TREASURY	1,588,861	$160.0M	6.1%	+69,141+4.5%	Added	–
State Street SPDR Portfolio S&P 500 Growth ETF78464A409	ETF	1,861,476	$136.2M	5.2%	+38,377+2.1%	Added	–
AAPLApple Inc.	Stock	718,762	$123.3M	4.7%	+16,523+2.4%	Added	History
State Street SPDR S&P 400 Mid Cap Value ETF78464A839	ETF	1,207,116	$91.7M	3.5%	+58,076+5.1%	Added	–
Vanguard S&P 500 ETF922908363	ETF	166,707	$80.1M	3.1%	−7,532−4.3%	Reduced	–
SPDR Series Trust78464A821	ST STR SP400GRW	888,334	$77.5M	3.0%	+47,551+5.7%	Added	–
State Street SPDR S&P 600 Small Cap Value ETF78464A300	ETF	692,577	$57.5M	2.2%	+17,508+2.6%	Added	–
MSFTMicrosoft Corp	Stock	133,809	$56.3M	2.2%	+8,093+6.4%	Added	History
SPDR Series Trust78464A201	ST STR SP600GRWO	584,552	$51.0M	2.0%	+17,172+3.0%	Added	–
iShares Russell 1000 Growth ETF464287614	ETF	129,513	$43.7M	1.7%	−5,769−4.3%	Reduced	–
MDLZMondelez International, Inc.	Stock	584,315	$41.1M	1.6%	−23,437−3.9%	Reduced	History
iShares MSCI Eafe ETF464287465	ETF	462,341	$36.9M	1.4%	−17,145−3.6%	Reduced	–
NVDANVIDIA Corp	Stock	85,640	$35.7M	1.4%	+1,572+1.9%	Added	History
iShares Tr464287622	RUS 1000 ETF	108,586	$31.3M	1.2%	−2,571−2.3%	Reduced	–
AMZNAmazon Com Inc	Stock	147,442	$26.6M	1.0%	+5,655+4.0%	Added	History
PMPhilip Morris International Inc.	Stock	246,168	$22.9M	0.9%	−8,063−3.2%	Reduced	History
ATIAti Inc	Stock	433,284	$22.2M	0.9%	+234,398+117.9%	Added	History
TGTTarget Corp	Stock	117,699	$20.9M	0.8%	−24,201−17.1%	Reduced	History
Invesco QQQ Trust Series I46090E103	ETF	40,754	$18.1M	0.7%	−7,565−15.7%	Reduced	–
GOOGLAlphabet Inc.	Stock	115,267	$17.4M	0.7%	+4,867+4.4%	Added	History
First Tr Exchng Traded FD VI33740F755	FT LADD BUFF ETF	621,133	$17.4M	0.7%	+61,648+11.0%	Added	–
BRK.BBerkshire Hathaway Inc	Stock	41,069	$17.3M	0.7%	+1,857+4.7%	Added	History
iShares Tr464288885	EAFE GRWTH ETF	148,115	$15.4M	0.6%	−23,591−13.7%	Reduced	–
METAMeta Platforms, Inc.	Stock	30,940	$15.0M	0.6%	+1,843+6.3%	Added	History
Vanguard Morningstar Total Stock Market ETF922908769	ETF	57,363	$14.9M	0.6%	+1,526+2.7%	Added	–
iShares Tr464288877	EAFE VALUE ETF	261,876	$14.2M	0.5%	−42,497−14.0%	Reduced	–
iShares Inc46434G764	MSCI EMRG CHN	237,957	$13.7M	0.5%	−41,956−15.0%	Reduced	–
ABBVAbbVie Inc.	Stock	74,157	$13.5M	0.5%	+1,299+1.8%	Added	History
AMPAmeriprise Financial Inc	COM	28,829	$12.6M	0.5%	−4,398−13.2%	Reduced	History
KDPKeurig Dr Pepper Inc.	COM	402,977	$12.4M	0.5%	−4,926−1.2%	Reduced	History
MOAltria Group, Inc.	Stock	267,411	$11.9M	0.5%	−8,349−3.0%	Reduced	History
iShares Core S&P 500 ETF464287200	ETF	22,424	$11.8M	0.5%	+12,700+130.6%	Added	–
iShares Russell Mid-Cap Growth ETF464287481	ETF	101,052	$11.5M	0.4%	−1,542−1.5%	Reduced	–
KHCKraft Heinz Co	Stock	306,138	$11.4M	0.4%	−7,340−2.3%	Reduced	History
JPMJPMorgan Chase & Co	Stock	57,420	$10.8M	0.4%	+6,538+12.8%	Added	History
TSLATesla, Inc.	Stock	57,795	$10.2M	0.4%	+593+1.0%	Added	History
GOOGAlphabet Inc.	Stock	66,073	$10.1M	0.4%	+6,063+10.1%	Added	History
LLYEli Lilly & Co	Stock	12,339	$9.60M	0.4%	+622+5.3%	Added	History
Schwab U.S. Large-Cap ETF808524201	ETF	151,322	$9.38M	0.4%	−41,783−21.6%	Reduced	–
CAHCardinal Health Inc	Stock	83,500	$9.34M	0.4%	−4,312−4.9%	Reduced	History
PGProcter & Gamble Co	Stock	50,181	$8.14M	0.3%	+3,054+6.5%	Added	History
COSTCostco Wholesale Corp	Stock	10,966	$8.03M	0.3%	+171+1.6%	Added	History
iShares S&P 500 Growth ETF464287309	ETF	93,212	$7.87M	0.3%	+11,517+14.1%	Added	–
Vanguard Dividend Appreciation ETF921908844	ETF	42,340	$7.73M	0.3%	+268+0.6%	Added	–
iShares MSCI USA Quality Factor ETF46432F339	ETF	45,930	$7.55M	0.3%	−8,256−15.2%	Reduced	–
JNJJohnson & Johnson	Stock	46,519	$7.36M	0.3%	−3,723−7.4%	Reduced	History
SPDR Series Trust78464A763	ST STR SP DIV	55,625	$7.30M	0.3%	−3,363−5.7%	Reduced	–
iShares Russell Midcap ETF464287499	ETF	85,807	$7.22M	0.3%	−30,285−26.1%	Reduced	–
VVisa Inc.	Stock	25,001	$6.98M	0.3%	+2,343+10.3%	Added	History
MCDMcDonalds Corp	Stock	23,276	$6.56M	0.3%	+559+2.5%	Added	History
CVXChevron Corp	Stock	41,090	$6.48M	0.2%	+2,416+6.2%	Added	History
UNHUnitedHealth Group Inc	Stock	12,952	$6.41M	0.2%	+287+2.3%	Added	History
HDHome Depot, Inc.	Stock	16,696	$6.40M	0.2%	+691+4.3%	Added	History
iShares MSCI USA Min Vol Factor ETF46429B697	ETF	73,990	$6.18M	0.2%	−6,320−7.9%	Reduced	–
PEPPepsiCo Inc	Stock	34,599	$6.10M	0.2%	+586+1.7%	Added	History
SYKStryker Corp	Stock	16,450	$5.90M	0.2%	+241+1.5%	Added	History
XOMExxonMobil Holdings Corp	COM	50,399	$5.86M	0.2%	+2,624+5.5%	Added	History
CRMSalesforce, Inc.	Stock	19,428	$5.86M	0.2%	+1,819+10.3%	Added	History
State Street Technology Select Sector SPDR ETF81369Y803	ETF	28,042	$5.84M	0.2%	−911−3.1%	Reduced	–
MRKMerck & Co., Inc.	Stock	43,340	$5.75M	0.2%	+6,554+17.8%	Added	History
AVGOBroadcom Inc.	Stock	4,331	$5.74M	0.2%	+344+8.6%	Added	History
iShares Russell 1000 Value ETF464287598	ETF	31,462	$5.64M	0.2%	−380−1.2%	Reduced	–
ABTAbbott Laboratories	Stock	48,803	$5.55M	0.2%	+1,982+4.2%	Added	History
NFLXNetflix Inc	Stock	9,080	$5.51M	0.2%	+194+2.2%	Added	History
SPDR Series Trust78464A672	ST INTER ETF	190,800	$5.38M	0.2%	−94,682−33.2%	Reduced	–
URBNUrban Outfitters Inc	COM	117,573	$5.11M	0.2%	−14,200−10.8%	Reduced	History
SPDR Index Shs FDS78463X434	ST STR MSCI EAFE	66,881	$5.09M	0.2%	−28,377−29.8%	Reduced	–
AMDAdvanced Micro Devices Inc	Stock	26,958	$4.87M	0.2%	+1,942+7.8%	Added	History
iShares Core S&P Small Cap ETF464287804	ETF	43,955	$4.86M	0.2%	−1,498−3.3%	Reduced	–
MAMastercard Inc	Stock	9,982	$4.81M	0.2%	+607+6.5%	Added	History
iShares Russell 2000 ETF464287655	ETF	21,931	$4.61M	0.2%	−219−1.0%	Reduced	–
WMTWalmart Inc.	Stock	75,305	$4.53M	0.2%	−14,086−15.8%	ReducedConverted for a 3-for-1 split	History
iShares Tr464287432	20 YR TR BD ETF	44,549	$4.22M	0.2%	−11,910−21.1%	Reduced	–
BABoeing Co	Stock	21,824	$4.21M	0.2%	+1,004+4.8%	Added	History
AXPAmerican Express Co	Stock	17,735	$4.04M	0.2%	+900+5.3%	Added	History
DISWalt Disney Co	Stock	31,923	$3.91M	0.2%	+829+2.7%	Added	History
ORCLOracle Corp	Stock	30,714	$3.86M	0.1%	+2,078+7.3%	Added	History
PGRProgressive Corp	Stock	18,574	$3.84M	0.1%	−1,678−8.3%	Reduced	History
iShares Tr464288588	MBS ETF	39,453	$3.65M	0.1%	−11,422−22.5%	Reduced	–
HWKNHawkins Inc	COM	45,830	$3.52M	0.1%	00.0%	Unchanged	History
CATCaterpillar Inc	Stock	9,555	$3.50M	0.1%	+296+3.2%	Added	History
BACBank of America Corp	Stock	89,655	$3.42M	0.1%	+7,941+9.7%	Added	History
WisdomTree Tr97717Y527	FLOATNG RAT TREA	68,009	$3.42M	0.1%	−16,498−19.5%	Reduced	–
iShares Core S&P Mid-Cap ETF464287507	ETF	54,826	$3.33M	0.1%	+13,641+33.1%	AddedConverted for a 5-for-1 split	–
Vanguard Morningstar Growth ETF922908736	ETF	9,594	$3.30M	0.1%	+819+9.3%	Added	–
Vanguard Information Technology ETF92204A702	ETF	6,260	$3.28M	0.1%	+2,836+82.8%	Added	–
ITWIllinois Tool Works Inc	Stock	12,154	$3.28M	0.1%	+162+1.4%	Added	History
Vanguard Index FDS922908652	EXTEND MKT ETF	18,600	$3.26M	0.1%	−13−0.1%	Reduced	–
SBUXStarbucks Corp	Stock	34,502	$3.15M	0.1%	+5,639+19.5%	Added	History
ADBEAdobe Inc.	Stock	6,141	$3.10M	0.1%	+374+6.5%	Added	History
WFCWells Fargo & Company	Stock	52,124	$3.02M	0.1%	+57+0.1%	Added	History
AMGNAmgen Inc	Stock	10,499	$2.99M	0.1%	+79+0.8%	Added	History
iShares S&P Small-Cap 600 Growth ETF464287887	ETF	22,780	$2.98M	0.1%	−895−3.8%	Reduced	–
iShares Tr464287457	1 3 YR TREAS BD	36,266	$2.97M	0.1%	+1,599+4.6%	Added	–
IBMInternational Business Machines Corp	Stock	14,875	$2.84M	0.1%	+328+2.3%	Added	History
KOCoca Cola Co	Stock	46,004	$2.84M	0.1%	+1,383+3.1%	Added	History
CSCOCisco Systems, Inc.	Stock	55,564	$2.77M	0.1%	+763+1.4%	Added	History
RTXRTX Corp	Stock	26,260	$2.56M	0.1%	+1,088+4.3%	Added	History

Options (10)

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 Q1 2024
Security	Class	Puts	Calls
AAPLApple Inc.	Stock	$1.71M	–
MSFTMicrosoft Corp	Stock	–	$1.22M
MCDMcDonalds Corp	Stock	–	$56.4K
Invesco QQQ Trust Series I46090E103	ETF	–	$44.4K
iShares Tr464287432	20 YR TR BD ETF	–	$28.4K
VVisa Inc.	Stock	–	$27.9K
TSMTaiwan Semiconductor Manufacturing Co Ltd	ADR	–	$27.2K
iShares Russell 2000 ETF464287655	ETF	–	$21.0K
AMDAdvanced Micro Devices Inc	Stock	–	$18.0K
VanEck ETF Trust92189F106	GOLD MINERS ETF	–	$6.32K

Sold out since Q4 2023 (24)

Positions held at the end of Q4 2023 that are gone from this filing.

Positions of NorthRock Partners, LLC sold out since Q4 2023
Security	Class	Shares in Q4 2023	Value in Q4 2023	% of portfolio in Q4 2023	History
CMICummins Inc	Stock	1,438	$344.5K	<0.1%	History
NEMNEWMONT Corp	Stock	7,804	$323.0K	<0.1%	History
EPAMEPAM Systems, Inc.	COM	820	$243.8K	<0.1%	History
PEGPublic Service Enterprise Group Inc	COM	3,938	$240.8K	<0.1%	History
CERTCertara, Inc.	COM	12,030	$211.6K	<0.1%	History
iShares Tr46435G243	ESG AWRE 1 5 YR	3,939	$96.4K	<0.1%	–
MPTMedical Properties Trust Inc	COM	11,349	$57.2K	<0.1%	History
BDNBrandywine Realty Trust	SH BEN INT NEW	10,552	$57.0K	<0.1%	History
iShares Tr464288372	GLB INFRASTR ETF	955	$44.9K	<0.1%	–
ALDXAldeyra Therapeutics, Inc.	COM	11,951	$41.9K	<0.1%	History
J P Morgan Exchange Traded F46641Q373	BETABUILDERS I	426	$24.3K	<0.1%	–
iShares Tr464289511	10+ YR INVST GRD	330	$17.4K	<0.1%	–
Polymet MNG Corp731916409	COM NEW	19,262	$15.2K	<0.1%	–
Vanguard Scottsdale FDS92206C573	TOTAL CORP BND	171	$13.3K	<0.1%	–
Invesco Exch Traded FD Tr II46138E545	MSCI GBL TIMBR	369	$11.8K	<0.1%	–
iShares Inc46434G772	MSCI TAIWAN ETF	217	$9.99K	<0.1%	–
iShares Tr46429B655	FLTG RATE NT ETF	194	$9.82K	<0.1%	–
VanEck ETF Trust92189F700	AGRIBUSINESS ETF	115	$8.76K	<0.1%	–
iShares Tr46434V696	CORE MSCI PAC	90	$5.36K	<0.1%	–
ProShares Tr74347X864	ULTRPRO S&P500	89	$4.87K	<0.1%	–
Direxion Shs ETF Tr25459W565	7 10YR TRES BULL	162	$4.54K	<0.1%	–
iShares Tr464289180	MSCI EURO FL ETF	156	$3.26K	<0.1%	–
iShares Tr464288174	GL TIMB FORE ETF	32	$2.60K	<0.1%	–
iShares Tr464288307	MRGSTR MD CP GRW	7	$451	<0.1%	–