Chief Legal and Compliance Officer

0001214659-22-001950.txt : 20220207 0001214659-22-001950.hdr.sgml : 20220207 20220207160239 ACCESSION NUMBER: 0001214659-22-001950 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220207 DATE AS OF CHANGE: 20220207 EFFECTIVENESS DATE: 20220207 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: 22597372 BUSINESS ADDRESS: STREET 1: 225 SOUTH 6TH STREET STREET 2: SUITE 1400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: 612-367-8800 MAIL ADDRESS: STREET 1: 225 SOUTH 6TH STREET STREET 2: SUITE 1400 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001632097 XXXXXXXX 12-31-2021 12-31-2021 false NorthRock Partners, LLC

225 SOUTH 6TH STREET SUITE 1400 MINNEAPOLIS MN 55402

13F HOLDINGS REPORT 028-16755 N Jeff Smith Chief Legal and Compliance Officer 612-876-9839 /s/ Jeff Smith Minneapolis MN 02-04-2022 0 337 1334913 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579Y101 1493 8404 SH SOLE 8404 0 0 ABBOTT LABS COM 002824100 4075 28957 SH SOLE 28957 0 0 ABBVIE INC COM 00287Y109 9614 71003 SH SOLE 71003 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 667 1608 SH SOLE 1608 0 0 ADOBE SYSTEMS INCORPORATED COM 00724F101 1158 2042 SH SOLE 2042 0 0 ADVANCED MICRO DEVICES INC COM 007903107 556 3863 SH SOLE 3863 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 235 1474 SH SOLE 1474 0 0 AIR PRODS & CHEMS INC COM 009158106 321 1056 SH SOLE 1056 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 247 2078 SH SOLE 2078 0 0 ALLEGHENY TECHNOLOGIES INC COM 01741R102 2056 129046 SH SOLE 129046 0 0 ALLSTATE CORP COM 020002101 634 5390 SH SOLE 5390 0 0 ALPHABET INC CAP STK CL A 02079K305 8501 2934 SH SOLE 2934 0 0 ALPHABET INC CAP STK CL C 02079K107 2331 805 SH SOLE 805 0 0 ALTRIA 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12640 SH SOLE 12640 0 0 MEDTRONIC PLC SHS G5960L103 820 7929 SH SOLE 7929 0 0 MERCADOLIBRE INC COM 58733R102 252 187 SH SOLE 187 0 0 MERCK & CO INC COM 58933Y105 1381 18020 SH SOLE 18020 0 0 META PLATFORMS INC CL A 30303M102 3121 9279 SH SOLE 9279 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 567 334 SH SOLE 334 0 0 MGM RESORTS INTERNATIONAL COM 552953101 207 4616 SH SOLE 4616 0 0 MICROCHIP TECHNOLOGY INC. 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808524797 282 3484 SH SOLE 3484 0 0 SEAGEN INC COM 81181C104 380 2457 SH SOLE 2457 0 0 SELECT SECTOR SPDR TR FINANCIAL 81369Y605 709 18167 SH SOLE 18167 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 299 1719 SH SOLE 1719 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 237 1682 SH SOLE 1682 0 0 SERVICENOW INC COM 81762P102 365 562 SH SOLE 562 0 0 SHERWIN WILLIAMS CO COM 824348106 224 637 SH SOLE 637 0 0 SHOPIFY INC CL A 82509L107 491 356 SH SOLE 356 0 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 116 25000 SH SOLE 25000 0 0 SOUTHERN CO COM 842587107 1423 20746 SH SOLE 20746 0 0 SPDR INDEX SHS FDS PORTFOLIO DEVLPD 78463X889 874 23966 SH SOLE 23966 0 0 SPDR INDEX SHS FDS PORTFOLIO EMG MK 78463X509 227 3907 SH SOLE 3907 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 260812 549123 SH SOLE 549123 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 1964 3793 SH SOLE 3793 0 0 SPDR SER TR PRTFLO S&P500 VL 78464A508 121214 2886049 SH SOLE 2886049 0 0 SPDR SER TR PRTFLO S&P500 GW 78464A409 93588 1291408 SH SOLE 1291408 0 0 SPDR SER TR S&P 400 MDCP VAL 78464A839 67486 949176 SH SOLE 949176 0 0 SPDR SER TR S&P 600 SMCP VAL 78464A300 60064 708967 SH SOLE 708967 0 0 SPDR SER TR S&P 600 SMCP GRW 78464A201 51494 554771 SH SOLE 554771 0 0 SPDR SER TR S&P 400 MDCP GRW 78464A821 50431 618558 SH SOLE 618558 0 0 SPDR SER TR S&P DIVID ETF 78464A763 2425 18777 SH SOLE 18777 0 0 SPDR SER TR S&P 600 SML CAP 78464A813 1994 20055 SH SOLE 20055 0 0 SPDR SER TR PORTFOLI S&P1500 78464A805 470 8040 SH SOLE 8040 0 0 SPDR SER TR SPDR S&P 500 ETF 78468R796 250 2125 SH SOLE 2125 0 0 STARBUCKS CORP COM 855244109 1736 14841 SH SOLE 14841 0 0 STERLING BANCORP DEL COM 85917A100 289 11210 SH SOLE 11210 0 0 STITCH FIX INC COM CL A 860897107 600 31697 SH SOLE 31697 0 0 STRYKER CORPORATION COM 863667101 1449 5417 SH SOLE 5417 0 0 SYNOPSYS INC COM 871607107 208 564 SH SOLE 564 0 0 SYSCO CORP COM 871829107 287 3657 SH SOLE 3657 0 0 TARGET CORP COM 87612E106 33937 146634 SH SOLE 146634 0 0 TESLA INC COM 88160R101 7110 6728 SH SOLE 6728 0 0 TEXAS INSTRS INC COM 882508104 670 3553 SH SOLE 3553 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1470 2203 SH SOLE 2203 0 0 TJX COS INC NEW COM 872540109 270 3557 SH SOLE 3557 0 0 TRIMBLE INC COM 896239100 229 2629 SH SOLE 2629 0 0 TRUIST FINL CORP COM 89832Q109 737 12581 SH SOLE 12581 0 0 TYSON FOODS INC CL A 902494103 842 9658 SH SOLE 9658 0 0 UBER TECHNOLOGIES INC COM 90353T100 328 7812 SH SOLE 7812 0 0 ULTA BEAUTY INC COM 90384S303 278 674 SH SOLE 674 0 0 UNION PAC CORP COM 907818108 885 3514 SH SOLE 3514 0 0 UNITED PARCEL SERVICE INC CL B 911312106 900 4198 SH SOLE 4198 0 0 UNITEDHEALTH GROUP INC COM 91324P102 3338 6647 SH SOLE 6647 0 0 US BANCORP DEL COM NEW 902973304 397 7071 SH SOLE 7071 0 0 V F CORP COM 918204108 235 3212 SH SOLE 3212 0 0 VALERO ENERGY CORP COM 91913Y100 223 2967 SH SOLE 2967 0 0 VANGUARD INDEX FDS TOTAL STK MKT 922908769 13054 54069 SH SOLE 54069 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 5981 13699 SH SOLE 13699 0 0 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 3667 20054 SH SOLE 20054 0 0 VANGUARD INDEX FDS GROWTH ETF 922908736 2863 8921 SH SOLE 8921 0 0 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 1288 11103 SH SOLE 11103 0 0 VANGUARD INDEX FDS MCAP VL IDXVIP 922908512 651 4329 SH SOLE 4329 0 0 VANGUARD INDEX FDS SM CP VAL ETF 922908611 594 3322 SH SOLE 3322 0 0 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 528 2073 SH SOLE 2073 0 0 VANGUARD INDEX FDS SML CP GRW ETF 922908595 366 1298 SH SOLE 1298 0 0 VANGUARD INDEX FDS SMALL CP ETF 922908751 327 1448 SH SOLE 1448 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 302 1185 SH SOLE 1185 0 0 VANGUARD INDEX FDS VALUE ETF 922908744 212 1441 SH SOLE 1441 0 0 VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 922042775 1898 30734 SH SOLE 30734 0 0 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 653 13213 SH SOLE 13213 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000VAL 92206C714 1126 15275 SH SOLE 15275 0 0 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 709 13420 SH SOLE 13420 0 0 VANGUARD SCOTTSDALE FDS VNG RUS1000GRW 92206C680 488 6219 SH SOLE 6219 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 7372 42922 SH SOLE 42922 0 0 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 360 7047 SH SOLE 7047 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 219 1952 SH SOLE 1952 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 538 1173 SH SOLE 1173 0 0 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 352 1323 SH SOLE 1323 0 0 VERICEL CORP COM 92346J108 216 5495 SH SOLE 5495 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2077 39979 SH SOLE 39979 0 0 VIACOMCBS INC CALL 92556H907 60 2000 SH Call SOLE 2000 0 0 VISA INC COM CL A 92826C839 1819 8392 SH SOLE 8392 0 0 VYANT BIO INC COM 92942V109 25 18832 SH SOLE 18832 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1088 20857 SH SOLE 20857 0 0 WALMART INC COM 931142103 791 5465 SH SOLE 5465 0 0 WASTE MGMT INC DEL COM 94106L109 300 1799 SH SOLE 1799 0 0 WATERS CORP COM 941848103 286 768 SH SOLE 768 0 0 WEC ENERGY GROUP INC COM 92939U106 415 4274 SH SOLE 4274 0 0 WELLS FARGO CO NEW COM 949746101 1758 36643 SH SOLE 36643 0 0 WESTROCK CO COM 96145D105 200 4502 SH SOLE 4502 0 0 WESTROCK CO CALL 96145D905 44 1000 SH Call SOLE 1000 0 0 WISDOMTREE TR EMER MKT HIGH FD 97717W315 251 5667 SH SOLE 5667 0 0 WISDOMTREE TR EM EX ST-OWNED 97717X578 228 6192 SH SOLE 6192 0 0 WORKHORSE GROUP INC COM NEW 98138J206 65 15000 SH SOLE 15000 0 0 WRAP TECHNOLOGIES INC COM 98212N107 981 249610 SH SOLE 249610 0 0 XCEL ENERGY INC COM 98389B100 569 8402 SH SOLE 8402 0 0 ZEBRA TECHNOLOGIES CORPORATI CL A 989207105 335 563 SH SOLE 563 0 0 ZOETIS INC CL A 98978V103 823 3372 SH SOLE 3372 0 0