0001214659-20-001184.txt : 20200212
0001214659-20-001184.hdr.sgml : 20200212
20200211180717
ACCESSION NUMBER: 0001214659-20-001184
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200212
DATE AS OF CHANGE: 20200211
EFFECTIVENESS DATE: 20200212
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NorthRock Partners, LLC
CENTRAL INDEX KEY: 0001632097
IRS NUMBER: 274761668
STATE OF INCORPORATION: MN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16755
FILM NUMBER: 20598483
BUSINESS ADDRESS:
STREET 1: 650 THIRD AVENUE SOUTH
STREET 2: SUITE 1500
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
BUSINESS PHONE: 612-367-8800
MAIL ADDRESS:
STREET 1: 650 THIRD AVENUE SOUTH
STREET 2: SUITE 1500
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
13F-HR
1
primary_doc.xml
13F-HR
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0001632097
XXXXXXXX
12-31-2019
12-31-2019
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NorthRock Partners, LLC
650 THIRD AVENUE SOUTH
SUITE 1500
MINNEAPOLIS
MN
55402
13F HOLDINGS REPORT
028-16755
N
James Lund
Chief Compliance Officer
612-367-8803
/s/James Lund
Minneapolis
MN
02-10-2020
0
280
946664
INFORMATION TABLE
2
infotable.xml
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39983
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ABBVIE INC
COM
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36601
SH
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0
ALPHABET INC
CAP STK CL C
02079K107
1419
20483
SH
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20483
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0
ALPHABET INC
CAP STK CL A
02079K305
2977
38101
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0
AMAZON COM INC
COM
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4726
55511
SH
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0
AMETEK INC NEW
COM
031100100
336
3371
SH
SOLE
3371
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0
ANSYS INC
COM
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1771
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1771
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0
APPLE INC
COM
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245858
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245858
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0
BROADCOM INC
COM
11135F101
484
1533
SH
SOLE
1533
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0
COCA COLA CO
COM
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1765
45025
SH
SOLE
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0
COMCAST CORP NEW
CL A
20030N101
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39984
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0
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COM
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3393
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COM
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12132
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ECOLAB INC
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EDWARDS LIFESCIENCES CORP
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FACEBOOK INC
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COM NEW
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SALESFORCE COM INC
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588
3613
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STRYKER CORP
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704
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TRANSDIGM GROUP INC
COM
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UNILEVER PLC
SPON ADR NEW
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208
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V F CORP
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VERISK ANALYTICS INC
COM
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206
1377
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VISA INC
COM CL A
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WASTE CONNECTIONS INC
COM
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YUM BRANDS INC
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239
2373
SH
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ALTRIA GROUP INC
COM
02209S103
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KRAFT HEINZ CO
COM
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MONDELEZ INTL INC
CL A
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25016837
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PHILIP MORRIS INTL INC
COM
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AMERICAN EXPRESS CO
COM
025816109
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SPDR S&P 500 ETF TR
TR UNIT
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136121
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COM
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AMGEN INC
COM
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BCE INC
COM NEW
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BP PLC
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COM
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COM
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COM
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EXXON MOBIL CORP
COM
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GILEAD SCIENCES INC
COM
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GLAXOSMITHKLINE PLC
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COM
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COM
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COM
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COM
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REALTY INCOME CORP
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COM
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CL B
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SH
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VENTAS INC
COM
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SH
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VERIZON COMMUNICATIONS INC
COM
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COM
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AMCOR PLC
ORD
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COM
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SH
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BOEING CO
COM
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2925
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COM
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COM
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COM
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SH
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SHRT TRM CORP BD
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210
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RUSSELL 2000 ETF
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CL B NEW
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HOME DEPOT INC
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COM
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SH
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COM
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207
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252
1292
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COM
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COM
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105
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COM
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NOVARTIS A G
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COM
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COM
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COM
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GENERAL MLS INC
COM
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5094
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ISHARES TR
EAFE VALUE ETF
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22526
451154
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SOLE
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0
0
ISHARES TR
EAFE GRWTH ETF
464288885
7088
81974
SH
SOLE
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KELLOGG CO
COM
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1187
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SOLE
17160
0
0
PROCTER & GAMBLE CO
COM
742718109
3401
339557
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VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
376
8524
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SOLE
8524
0
0
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
206
980
SH
SOLE
980
0
0
ILLINOIS TOOL WKS INC
COM
452308109
812
197765
SH
SOLE
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0
0
WALGREENS BOOTS ALLIANCE INC
COM
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1604
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SH
SOLE
873363
0
0
CVS HEALTH CORP
COM
126650100
373
5023
SH
SOLE
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0
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COM
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15967
SH
SOLE
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0
0
HONEYWELL INTL INC
COM
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1801
20034
SH
SOLE
20034
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
363
33039
SH
SOLE
33039
0
0
KIMCO RLTY CORP
COM
49446R109
213
10186
SH
SOLE
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0
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MAGNA INTL INC
COM
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5458
SH
SOLE
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0
0
ONEOK INC NEW
COM
682680103
262
10350
SH
SOLE
10350
0
0
VANGUARD GROUP
DIV APP ETF
921908844
6464
51856
SH
SOLE
51856
0
0
WALMART INC
COM
931142103
461
139618
SH
SOLE
139618
0
0
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
362
1823
SH
SOLE
1823
0
0
VANGUARD INDEX FDS
SM CP VAL ETF
922908611
336
2452
SH
SOLE
2452
0
0
POLYMET MINING CORP
COM
731916102
46
182633
SH
SOLE
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0
0
CONAGRA BRANDS INC
COM
205887102
209
6096
SH
SOLE
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0
MCDONALDS CORP
COM
580135101
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SOLE
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0
QUALCOMM INC
COM
747525103
272
3079
SH
SOLE
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VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
1421
15314
SH
SOLE
15314
0
0
GENERAL ELECTRIC CO
COM
369604103
841
75287
SH
SOLE
75287
0
0
GOLDMAN SACHS GROUP INC
COM
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SH
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MEDTRONIC PLC
SHS
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BEST BUY INC
COM
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COM
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MOTOROLA SOLUTIONS INC
COM NEW
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WEC ENERGY GROUP INC
COM
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FIDELITY NATIONAL FINANCIAL
FNF GROUP COM
31620R303
317
13999
SH
SOLE
13999
0
0
MONGODB INC
CL A
60937P106
186
168801
SH
SOLE
168801
0
0
NIKE INC
CL B
654106103
687
15466
SH
SOLE
15466
0
0
MEDICAL PPTYS TRUST INC
COM
58463J304
42
32228
SH
SOLE
32228
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
421
14316
SH
SOLE
14316
0
0
ISHARES INC
MSCI PAC JP ETF
464286665
16
16089
SH
SOLE
16089
0
0
ISHARES TR
S&P 500 VAL ETF
464287408
27
19444
SH
SOLE
19444
0
0
ISHARES INC
MSCI JPN ETF NEW
46434G822
45
19961
SH
SOLE
19961
0
0
NORTHROP GRUMMAN CORP
COM
666807102
226
8610
SH
SOLE
8610
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EUROPE ETF
922042874
159
52866
SH
SOLE
52866
0
0
ISHARES TR
S&P 500 GRWT ETF
464287309
438
2264
SH
SOLE
2264
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
667
3143
SH
SOLE
3143
0
0
ROYAL BK CDA MONTREAL QUE
COM
780087102
45
29113
SH
SOLE
29113
0
0
CHUBB LIMITED
COM
H1467J104
158
28439
SH
SOLE
28439
0
0
ATMOS ENERGY CORP
COM
049560105
18
11663
SH
SOLE
11663
0
0
INTL PAPER CO
COM
460146103
58
37932
SH
SOLE
37932
0
0
PRICE T ROWE GROUP INC
COM
74144T108
47
30910
SH
SOLE
30910
0
0
CENTERPOINT ENERGY INC
COM
15189T107
180
11923
SH
SOLE
11923
0
0
ISHARES TR
GRWT ALLOCAT ETF
464289867
208
4356
SH
SOLE
4356
0
0
GRACO INC
COM
384109104
26
11221
SH
SOLE
11221
0
0
SPDR SERIES TRUST
S&P 400 MDCP VAL
78464A839
26654
486560
SH
SOLE
486560
0
0
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
582
63707
SH
SOLE
63707
0
0
SPDR SERIES TRUST
PORTFOLIO TL STK
78464A805
299
7508
SH
SOLE
7508
0
0
SPDR SERIES TRUST
PRTFLO S&P500 HI
78468R788
19711
499526
SH
SOLE
499526
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1159
3917
SH
SOLE
3917
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
3083
14500
SH
SOLE
14500
0
0
CMS ENERGY CORP
COM
125896100
28
20566
SH
SOLE
20566
0
0
CONOCOPHILLIPS
COM
20825C104
148
10408
SH
SOLE
10408
0
0
NEXTERA ENERGY INC
COM
65339F101
508
6043
SH
SOLE
6043
0
0
XCEL ENERGY INC
COM
98389B100
316
11653
SH
SOLE
11653
0
0
ISHARES TR
MBS ETF
464288588
4526
46820
SH
SOLE
46820
0
0
VANGUARD WHITEHALL FDS INC
HIGH DIV YLD
921946406
9299
99228
SH
SOLE
99228
0
0
VANGUARD WHITEHALL FDS INC
INTL HIGH ETF
921946794
1829
28671
SH
SOLE
28671
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
1334
30007
SH
SOLE
30007
0
0
VANGUARD SCOTTSDALE FDS
INTER TERM TREAS
92206C706
1545
23449
SH
SOLE
23449
0
0
COLGATE PALMOLIVE CO
COM
194162103
310
4505
SH
SOLE
4505
0
0
RAYTHEON CO
COM NEW
755111507
319
1452
SH
SOLE
1452
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
320
2253
SH
SOLE
2253
0
0
VANGUARD WORLD FDS
INF TECH ETF
92204A702
3330
13602
SH
SOLE
13602
0
0
HEIDRICK & STRUGGLES INTL IN
COM
422819102
24
23896
SH
SOLE
23896
0
0
BANK MONTREAL QUE
COM
063671101
1588
20492
SH
SOLE
20492
0
0
VANGUARD WORLD FDS
HEALTH CAR ETF
92204A504
319
3204
SH
SOLE
3204
0
0
VANGUARD CHARLOTTE FDS
INTL BD IDX ETF
92203J407
1377
24329
SH
SOLE
24329
0
0
SPDR DOW JONES INDL AVRG ETF
UT SER 1
78467X109
56
10525
SH
SOLE
10525
0
0
SALLY BEAUTY HLDGS INC
COM
79546E104
1354
1093653
SH
SOLE
1093653
0
0
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
229
2827
SH
SOLE
2827
0
0
WISDOMTREE TR
EMER MKT HIGH FD
97717W315
14658
320259
SH
SOLE
320259
0
0
ISHARES TR
U.S. FINLS ETF
464287788
490
3553
SH
SOLE
3553
0
0
PHILLIPS 66
COM
718546104
202
1811
SH
SOLE
1811
0
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
1692
33519
SH
SOLE
33519
0
0
ISHARES INC
MIN VOL GBL ETF
464286525
6738
70309
SH
SOLE
70309
0
0
ISHARES TR
CORE S&P TTL STK
464287150
3384
46554
SH
SOLE
46554
0
0
ISHARES TR
JPMORGAN USD EMG
464288281
1225
10693
SH
SOLE
10693
0
0
SPDR SERIES TRUST
BLMBRG BRC CNVRT
78464A359
1312
23631
SH
SOLE
23631
0
0
VANGUARD BD INDEX FD INC
LONG TERM BOND
921937793
2763
27532
SH
SOLE
27532
0
0
ISHARES TR
DOW JONES US ETF
464287846
1417
8873
SH
SOLE
8873
0
0
ISHARES GOLD TRUST
ISHARES
464285105
213
14716
SH
SOLE
14716
0
0
VANGUARD MUN BD FD INC
TAX EXEMPT BD
922907746
250
4669
SH
SOLE
4669
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
11114
67928
SH
SOLE
67928
0
0
ISHARES TR
MSCI USA ESG SLC
464288802
764
5702
SH
SOLE
5702
0
0
ISHARES TR
MODERT ALLOC ETF
464289875
438
10906
SH
SOLE
10906
0
0
SPDR SERIES TRUST
S&P DIVID ETF
78464A763
3267
30369
SH
SOLE
30369
0
0
VANGUARD WHITEHALL FDS INC
INTL DVD ETF
921946810
391
5427
SH
SOLE
5427
0
0
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
460
2895
SH
SOLE
2895
0
0
ISHARES TR
SELECT DIVID ETF
464287168
1492
14118
SH
SOLE
14118
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
1868
66324
SH
SOLE
66324
0
0
W P CAREY INC
COM
92936U109
316
3896
SH
SOLE
3896
0
0
AES CORP
COM
00130H105
318
15978
SH
SOLE
15978
0
0
CITIZENS FINL GROUP INC
COM
174610105
317
7800
SH
SOLE
7800
0
0
CUMMINS INC
COM
231021106
280
1567
SH
SOLE
1567
0
0
LAMAR ADVERTISING CO NEW
CL A
512816109
259
2903
SH
SOLE
2903
0
0
TAIWAN SEMICONDUCTOR MFG LTD
SPONSORED ADS
874039100
271
4635
SH
SOLE
4635
0
0
WHIRLPOOL CORP
COM
963320106
316
2144
SH
SOLE
2144
0
0
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
688
1825
SH
SOLE
1825
0
0
ALLSTATE CORP
COM
020002101
736
17060
SH
SOLE
17060
0
0
BANK AMER CORP
COM
060505104
1671
47437
SH
SOLE
47437
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
269
5992
SH
SOLE
5992
0
0
ISHARES TR
U.S. TECH ETF
464287721
456
1961
SH
SOLE
1961
0
0
NUVEEN AMT-FREE MUN VALUE FD
COM
670695105
234
14454
SH
SOLE
14454
0
0
VANGUARD WORLD FD
MEGA CAP INDEX
921910873
413
3693
SH
SOLE
3693
0
0
KITE RLTY GROUP TR
COM NEW
49803T300
195
10000
SH
SOLE
10000
0
0
HAWKINS INC
COM
420261109
1018
22232
SH
SOLE
22232
0
0
VANGUARD STAR FD
VG TL INTL STK F
921909768
319
5727
SH
SOLE
5727
0
0
ISHARES TR
CORE MSCI TOTAL
46432F834
544
8783
SH
SOLE
8783
0
0
EATON VANCE SR FLTNG RTE TR
COM
27828Q105
260
19000
SH
SOLE
19000
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
359
6415
SH
SOLE
6415
0
0
RESMED INC
COM
761152107
241
1553
SH
SOLE
1553
0
0
MGE ENERGY INC
COM
55277P104
261
3311
SH
SOLE
3311
0
0
ISHARES TR
US HLTHCARE ETF
464287762
804
3729
SH
SOLE
3729
0
0
ISHARES TR
U.S. MED DVC ETF
464288810
523
1977
SH
SOLE
1977
0
0
GRAPHIC PACKAGING HLDG CO
COM
388689101
529
31643
SH
SOLE
31643
0
0
OTTER TAIL CORP
COM
689648103
538
10495
SH
SOLE
10495
0
0
SEALED AIR CORP NEW
COM
81211K100
90
38862
SH
SOLE
38862
0
0
STERLING BANCORP DEL
COM
85917A100
235
11144
SH
SOLE
11144
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000GRW
92206C680
202
1115
SH
SOLE
1115
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000VAL
92206C714
846
7055
SH
SOLE
7055
0
0
GABELLI EQUITY TR INC
COM
362397101
219
36000
SH
SOLE
36000
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
340
1
SH
SOLE
1
0
0
RESEARCH FRONTIERS INC
COM
760911107
107
35461
SH
SOLE
35461
0
0
CENTRAL GARDEN & PET CO
CL A NON-VTG
153527205
587
20000
SH
SOLE
20000
0
0
COLUMBIA ETF TR I
DIVERSIFID FXD
19761L508
320
15400
SH
SOLE
15400
0
0
VANGUARD INDEX FDS
LARGE CAP ETF
922908637
511
3459
SH
SOLE
3459
0
0
NUVEEN PFD & INCM SECURTIES
COM
67072C105
208
20600
SH
SOLE
20600
0
0
FLAHERTY & CRUMRIN PFD & INM
COM
338478100
434
20000
SH
SOLE
20000
0
0
HANCOCK JOHN PREMUIM DIV FD
COM SH BEN INT
41013T105
452
25148
SH
SOLE
25148
0
0