NorthRock Partners, LLC — 13F Holdings & Portfolio
CIK 1632097 · latest 13F-HR filed 2026-08-11
NorthRock Partners, LLC manages $6.89B in 13F-reported U.S. long-equity assets across 680 reported positions as of its 2026-06-30 13F-HR filing. Its largest disclosed positions are VOO (5.98%), JMTG (5.94%), SPYM (5.90%). Quarter over quarter (versus its 2026-03-31 filing) the fund opened 62 new positions and exited 46; 331 existing positions rose in reported value and 153 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$6.89B
Long-equity book
Holdings
680
Distinct positions
Period
2026-06-30
Filed 2026-08-11
Q/Q Activity
+62 / −46 / ↑331 / ↓153
vs 2026-03-31
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q2 26VOO6.0% · +2%JMTG5.9% · -17%SPYM5.9% · +11%SPYV4.3% · +7%SPYG4.0% · +6%SGOV4.0% · +22%QQQ4.0% · -4%VGSH4.0% · -3%AAPL3.2% · -1%IGF3.0% · +15%SPY3.0% · -4%MDYV2.0% · +6%HEFA1.9% · -8%MDYG1.9% · +6%IWB1.8% · -1%TAFM1.4% · +212%SLYV1.3% · +4%IEMG1.3% · +16%SLYG1.3% · +7%ROUS1.2% · -5%IWR1.1% · -4%EFA1.0% · -0%NVDA0.9% · -3%IEF0.9% · +26%BUFR0.9% · +18%MSFT0.9% · +1%IWM0.8% · -0%SPEM0.8% · -3%IUSB0.8% · -3%IWF0.7% · -2%VMBS0.7% · +1%MBB0.6% · -5%IJR0.6% · -4%SCHZ0.5% · +34%JMST0.5% · -56%QQQM0.5% · -2%VEA0.5% · -2%PM0.5% · +2%AGG0.5% · +4%AMZN0.5% · +2%VYMI0.4% · -7%SPTI0.4% · -7%MDLZ0.4% · -1%PGR0.4% · -0%VTI0.4% · -4%BDYN0.4% · -6%DYNF0.4% · -11%IVE0.4% · -29%GOOGL0.4% · +2%BIL0.4% · +18%PG0.4% · +0%BRK.B0.3% · +4%GOOG0.3% · +0%STIP0.3% · -7%IVV0.3% · -1%VWO0.3% · -21%JPM0.3% · +3%TSLA0.3% · -1%XLK0.3% · -22%MTUM0.3% · -9%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q1 26 → Q2 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 44.3%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Sep 18, 2026.
Assets Under Management
$12.19B
Discretionary
$11.52B
Employees
233
Accounts
24,014
Address
225 SOUTH SIXTH STREET
SUITE 1400
MINNEAPOLIS, MN 55402
SUITE 1400
MINNEAPOLIS, MN 55402
Phone
(612) 367-8800
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| DuBrueler, James, Marshall Control | CHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTH since Mar 2026 | Less than 5% | Individual |
| FIELD, BRENT, TROY Control | CHIEF INVESTMENT OFFICER since Oct 2013 | Less than 5% | Individual |
| MOSER, TODD, ALAN Control | MANAGING MEMBER since Aug 2019 | 10–25% | Individual |
| Mock, Michael, Lee Control | PRESIDENT, SAMMONS FINANCIAL GROUP WEALTH since Dec 2025 | Less than 5% | Individual |
| NELSON, ROBERT, DEAN Control | MANAGING MEMBER, CEO & FOUNDING PARTNER since Oct 2013 | 10–25% | Individual |
| NORTHROCK PARTNERS INTERMEDIATE, LLC Control | MANAGING MEMBER since Oct 2023 | 75% or more | Domestic Entity |
| SHOEMAKER, KATHLEEN, SWEENEY Control | CHIEF COMPLIANCE OFFICER since Mar 2023 | Less than 5% | Individual |
| CONSOLIDATED INVESTMENT SERVICES, INC. Control Indirect owner via SAMMONS FINANCIAL GROUP, INC. | SHAREHOLDER since Jan 1990 | 75% or more | Domestic Entity |
| GREATBANC TRUST COMPANY, TRUSTEE Control Indirect owner via SEI EMPLOYEE STOCK OWNERSHIP TRUST | TRUSTEE since Jan 2010 | 75% or more | Domestic Entity |
| NORTHROCK PARTNERS HOLDCO, LLC Control Indirect owner via NORTHROCK PARTNERS INTERMEDIATE, LLC | MANAGING MEMBER since Oct 2023 | 75% or more | Domestic Entity |
| SAMMONS CORPORATION Control Indirect owner via CONSOLIDATED INVESTMENT SERVICES, INC. | SHAREHOLDER since Jan 2024 | 75% or more | Domestic Entity |
| SAMMONS ENTERPRISES, INC. Control Indirect owner via SAMMONS CORPORATION | SHAREHOLDER since Jan 2024 | 75% or more | Domestic Entity |
| SAMMONS FINANCIAL GROUP WEALTH MANGAGEMENT HOLDINGS, LLC Control Indirect owner via NORTHROCK PARTNERS HOLDCO, LLC | MANAGING MEMBER since Oct 2023 | 50–75% | Domestic Entity |
| SAMMONS FINANCIAL GROUP, INC. Control Indirect owner via SAMMONS FINANCIAL GROUP WEALTH MANGAGEMENT HOLDINGS, LLC | MANAGING MEMBER since Sep 2023 | 75% or more | Domestic Entity |
| SEI EMPLOYEE STOCK OWNERSHIP TRUST Control Indirect owner via SAMMONS ENTERPRISES, INC. | SHAREHOLDER since Jan 2010 | 75% or more | Domestic Entity |
Ownership & leadership changes · 24 filings with changes since Jun 5, 2013
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jul 17, 2026 filing
- No longer listedNORTHROCK PARTNERS HOLDCO, LLC · MANAGING MEMBER · 75% or more · control person · listed since Oct 2023
Jul 13, 2026 filing
- No longer listedSAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC · MANAGING MEMBER · 50–75% · control person · listed since Dec 2023
- No longer listedSAMMONS FINANCIAL GROUP, INC. · MANAGING MEMBER · 75% or more · indirect via SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC · control person · listed since Sep 2023
- AddedNORTHROCK PARTNERS HOLDCO, LLC · MANAGING MEMBER · 75% or more · indirect via NORTHROCK PARTNERS INTERMEDIATE, LLC · control person
- AddedSAMMONS FINANCIAL GROUP WEALTH MANGAGEMENT HOLDINGS, LLC · MANAGING MEMBER · 50–75% · indirect via NORTHROCK PARTNERS HOLDCO, LLC · control person
- AddedSAMMONS FINANCIAL GROUP, INC. · MANAGING MEMBER · 75% or more · indirect via SAMMONS FINANCIAL GROUP WEALTH MANGAGEMENT HOLDINGS, LLC · control person
Jul 8, 2026 filing
- AddedCONSOLIDATED INVESTMENT SERVICES, INC. · SHAREHOLDER · 75% or more · indirect via SAMMONS FINANCIAL GROUP, INC. · control person
- AddedGREATBANC TRUST COMPANY, TRUSTEE · TRUSTEE · 75% or more · indirect via SEI EMPLOYEE STOCK OWNERSHIP TRUST · control person
- AddedNORTHROCK PARTNERS HOLDCO, LLC · MANAGING MEMBER · 75% or more · control person
- AddedNORTHROCK PARTNERS INTERMEDIATE, LLC · MANAGING MEMBER · 75% or more · control person
- AddedSAMMONS CORPORATION · SHAREHOLDER · 75% or more · indirect via CONSOLIDATED INVESTMENT SERVICES, INC. · control person
- AddedSAMMONS ENTERPRISES, INC. · SHAREHOLDER · 75% or more · indirect via SAMMONS CORPORATION · control person
- AddedSAMMONS FINANCIAL GROUP, INC. · MANAGING MEMBER · 75% or more · indirect via SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC · control person
- AddedSEI EMPLOYEE STOCK OWNERSHIP TRUST · SHAREHOLDER · 75% or more · indirect via SAMMONS ENTERPRISES, INC. · control person
Mar 31, 2026 filing
- No longer listedCARI, SAMUEL, B · CHIEF LEGAL OFFICER · Less than 5% · control person · listed since Apr 2022
- AddedDuBrueler, James, Marshall · CHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTH · Less than 5% · control person
- AddedMock, Michael, Lee · PRESIDENT, SAMMONS FINANCIAL GROUP WEALTH · Less than 5% · control person
Feb 20, 2026 filing
- No longer listedBARDOT, ROBERT, K · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since May 2022
- No longer listedBaenen, Sean, Berrigan · MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT · Less than 5% · control person · listed since Oct 2024
- No longer listedVENNERSTROM, EMILY, JO · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Oct 2024
Jan 10, 2025 filing
- AddedVENNERSTROM, EMILY, JO · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedBaenen, Sean, Berrigan · title PRESIDENT → MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT
Mar 14, 2024 filing
- No longer listedOLSON, MATTHEW, BARR · MANAGING MEMBER · Less than 5% · control person · listed since Jan 2016
- AddedSAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC · MANAGING MEMBER · 50–75% · control person
- ChangedNELSON, ROBERT, DEAN · ownership 50–75% → 10–25%
Mar 31, 2023 filing
- AddedFIELD, BRENT, TROY · CHIEF INVESTMENT OFFICER · Less than 5% · control person
Mar 30, 2023 filing
- No longer listedLUND, JAMES, BERNARD · CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER · Less than 5% · control person · listed since Oct 2013
- AddedSHOEMAKER, KATHLEEN, SWEENEY · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedMOSER, TODD, ALAN · ownership 25–50% → 10–25%
Dec 8, 2022 filing
- AddedBARDOT, ROBERT, K · CHIEF FINANCIAL OFFICER · Less than 5% · control person
- ChangedBaenen, Sean, Berrigan · title PRESIDENT & CHIEF FINANCIAL OFFICER → PRESIDENT
Older changes (15 more filings)
Apr 21, 2022 filing
- No longer listedMEHTA, SUMIT · CHIEF FINANCIAL OFFICER · Less than 5% · control person · listed since Apr 2021
- ChangedBaenen, Sean, Berrigan · title PRESIDENT → PRESIDENT & CHIEF FINANCIAL OFFICER
Apr 6, 2022 filing
- No longer listedSMITH, JEFFREY, ANDREW · CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jan 2021
- AddedCARI, SAMUEL, B · CHIEF LEGAL OFFICER · Less than 5% · control person
- Listed againLUND, JAMES, BERNARD · CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER · Less than 5% · control person
Mar 25, 2022 filing
- ChangedNELSON, ROBERT, DEAN · title MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER → MANAGING MEMBER, CEO & FOUNDING PARTNER; ownership 25–50% → 50–75%
- ChangedOLSON, MATTHEW, BARR · ownership 5–10% → Less than 5%
Jan 27, 2022 filing
- No longer listedLUND, JAMES, BERNARD · MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER · 10–25% · control person · listed since Oct 2013
May 27, 2021 filing
- AddedMEHTA, SUMIT · CHIEF FINANCIAL OFFICER · Less than 5% · control person
Mar 30, 2021 filing
- AddedBaenen, Sean, Berrigan · PRESIDENT · Less than 5% · control person
Jan 14, 2021 filing
- No longer listedKNAUF, DOMINIC, JON · MANAGING MEMBER · Less than 5% · control person · listed since Jun 2019
- AddedSMITH, JEFFREY, ANDREW · CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ChangedLUND, JAMES, BERNARD · title MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER → MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER
Mar 26, 2020 filing
- AddedKNAUF, DOMINIC, JON · MANAGING MEMBER · Less than 5% · control person
- AddedMOSER, TODD, ALAN · MANAGING MEMBER · 25–50% · control person
- ChangedLUND, JAMES, BERNARD · ownership 25–50% → 10–25%
- ChangedNELSON, ROBERT, DEAN · ownership 50–75% → 25–50%
Mar 21, 2019 filing
- No longer listedKRUSE, BRIAN, JON · MEMBER · Less than 5% · listed since Jan 2016
- ChangedOLSON, MATTHEW, BARR · ownership Less than 5% → 5–10%
Jan 3, 2017 filing
- No longer listedJURKOVICH, DAWN, DEBORAH · MEMBER · 10–25% · listed since Jan 2016
May 12, 2016 filing
- No longer listedWITCRAFT, TODD, DAVID · MANAGING MEMBER, SENIOR VICE PRESIDENT, CFO, COO AND CCO · Less than 5% · control person · listed since Jun 2015
- ChangedLUND, JAMES, BERNARD · title MANAGING MEMBER, SENIOR VICE PRESIDENT → MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER
- ChangedNELSON, ROBERT, DEAN · title MANAGING MEMBER, PRESIDENT → MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER
Mar 24, 2016 filing
- No longer listedARMSTRONG, WARD, DOUGLAS · MANAGING MEMBER · 10–25% · control person · listed since Oct 2013
- AddedJURKOVICH, DAWN, DEBORAH · MEMBER · 10–25%
- AddedKRUSE, BRIAN, JON · MEMBER · Less than 5%
- AddedOLSON, MATTHEW, BARR · MANAGING MEMBER · Less than 5% · control person
- ChangedLUND, JAMES, BERNARD · title MEMBER & VICE PRESIDENT → MANAGING MEMBER, SENIOR VICE PRESIDENT
- ChangedNELSON, ROBERT, DEAN · title MANAGING MEMBER → MANAGING MEMBER, PRESIDENT
- ChangedWITCRAFT, TODD, DAVID · title CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER → MANAGING MEMBER, SENIOR VICE PRESIDENT, CFO, COO AND CCO; now a control person
Jun 4, 2015 filing
- AddedWITCRAFT, TODD, DAVID · CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER · Less than 5%
- ChangedARMSTRONG, WARD, DOUGLAS · title MANAGING MEMBER & CHIEF COMPLIANCE OFFICER → MANAGING MEMBER
Oct 17, 2013 filing
- No longer listedFLOOD, KEITH, OWEN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since May 2013
- No longer listedINTERIM HOLDINGS, LLC · MEMBER · 75% or more · control person · listed since May 2013
- No longer listedPKS HOLDINGS, LLC · MANAGING MEMBER · 75% or more · indirect via PRO TEM HOLDINGS, LLC · control person · listed since Apr 2013
- No longer listedPRO TEM HOLDINGS, LLC · MANAGER · Less than 5% · control person · listed since May 2013
- No longer listedPURCELL, JOHN, PETER · MEMBER · 25–50% · indirect via PKS HOLDINGS, LLC · control person · listed since Dec 1995
- No longer listedSTAFF, MICHAEL, THEODORE · MEMBER · 25–50% · indirect via PKS HOLDINGS, LLC · control person · listed since Dec 1995
- AddedARMSTRONG, WARD, DOUGLAS · MANAGING MEMBER & CHIEF COMPLIANCE OFFICER · 10–25% · control person
- AddedLUND, JAMES, BERNARD · MEMBER & VICE PRESIDENT · 25–50% · control person
- AddedNELSON, ROBERT, DEAN · MANAGING MEMBER · 50–75% · control person
Jun 5, 2013 filing (earliest on record)
- ListedFLOOD, KEITH, OWEN · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedINTERIM HOLDINGS, LLC · MEMBER · 75% or more · control person
- ListedPKS HOLDINGS, LLC · MANAGING MEMBER · 75% or more · indirect via PRO TEM HOLDINGS, LLC · control person
- ListedPRO TEM HOLDINGS, LLC · MANAGER · Less than 5% · control person
- ListedPURCELL, JOHN, PETER · MEMBER · 25–50% · indirect via PKS HOLDINGS, LLC · control person
- ListedSTAFF, MICHAEL, THEODORE · MEMBER · 25–50% · indirect via PKS HOLDINGS, LLC · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- SPDR SERIES TRUST$88.1M +27.6%
- AB ACTIVE ETFS INC$68.1M +216.6%
- SPDR SERIES TRUST$62.0M +28.8%
- VANGUARD INDEX FDS$60.3M +17.2%
- INVESCO QQQ TR$50.2M +22.3%
Top Trims
- J P MORGAN EXCHANGE TRADED F-$87.4M -17.6%
- J P MORGAN EXCHANGE TRADED F-$42.2M -55.5%
- ISHARES TR-$7.9M -24.1%
- INVESCO EXCHANGE TRADED FD T-$7.4M -43.6%
- ISHARES TR-$5.2M -30.2%
New Positions
- BLACKROCK ETF TRUST$8.6M
- SELECT SECTOR SPDR TR$1.2M
- SPACE EXPLORATION TECHN CORP$1.2M
- ISHARES TR$1.2M
- HONEYWELL INTL INC$1.1M
Exited Positions
- EXXON MOBIL CORP$10.3M
- HONEYWELL INTL INC$1.9M
- LOEWS CORP$855.5K
- SHELL PLC$536.0K
- BITMINE IMMERSION TECNOLOGIE$527.6K
NorthRock Partners, LLC Holdings (2026-06-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | VANGUARD INDEX FDS | VOO | 922908363 | $411.9M | 5.98% | 599,760 | SH |
| 2 | J P MORGAN EXCHANGE TRADED F | JMTG | 46654Q575 | $409.6M | 5.94% | 8,082,572 | SH |
| 3 | SPDR SERIES TRUST | SPYM | 78464A854 | $406.8M | 5.90% | 4,629,596 | SH |
| 4 | SPDR SERIES TRUST | SPYV | 78464A508 | $297.2M | 4.31% | 4,889,672 | SH |
| 5 | SPDR SERIES TRUST | SPYG | 78464A409 | $276.9M | 4.02% | 2,326,724 | SH |
| 6 | ISHARES TR | SGOV | 46436E718 | $275.5M | 4.00% | 2,736,985 | SH |
| 7 | INVESCO QQQ TR | QQQ | 46090E103 | $275.2M | 3.99% | 373,687 | SH |
| 8 | VANGUARD SCOTTSDALE FDS | VGSH | 92206C102 | $274.2M | 3.98% | 4,710,769 | SH |
| 9 | APPLE INC | AAPL | 037833100 | $221.3M | 3.21% | 764,922 | SH |
| 10 | ISHARES TR | IGF | 464288372 | $204.9M | 2.97% | 3,076,200 | SH |
| 11 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $204.1M | 2.96% | 273,293 | SH |
| 12 | SPDR SERIES TRUST | MDYV | 78464A839 | $135.4M | 1.96% | 1,427,030 | SH |
| 13 | ISHARES TR | HEFA | 46434V803 | $133.3M | 1.93% | 2,840,162 | SH |
| 14 | SPDR SERIES TRUST | MDYG | 78464A821 | $129.3M | 1.88% | 1,153,617 | SH |
| 15 | ISHARES TR | IWB | 464287622 | $120.9M | 1.75% | 295,228 | SH |
| 16 | AB ACTIVE ETFS INC | TAFM | 00039J889 | $99.5M | 1.44% | 3,874,626 | SH |
| 17 | SPDR SERIES TRUST | SLYV | 78464A300 | $91.0M | 1.32% | 834,093 | SH |
| 18 | ISHARES INC | IEMG | 46434G103 | $90.8M | 1.32% | 1,096,059 | SH |
| 19 | SPDR SERIES TRUST | SLYG | 78464A201 | $87.3M | 1.27% | 732,397 | SH |
| 20 | LATTICE STRATEGIES TR | ROUS | 518416409 | $81.8M | 1.19% | 1,213,197 | SH |
| 21 | ISHARES TR | IWR | 464287499 | $75.1M | 1.09% | 680,478 | SH |
| 22 | ISHARES TR | EFA | 464287465 | $70.8M | 1.03% | 681,246 | SH |
| 23 | NVIDIA CORPORATION | NVDA | 67066G104 | $65.1M | 0.95% | 325,443 | SH |
| 24 | ISHARES TR | IEF | 464287440 | $62.6M | 0.91% | 662,231 | SH |
| 25 | FIRST TR EXCHNG TRADED FD VI | BUFR | 33740F755 | $61.6M | 0.89% | 1,687,130 | SH |
| 26 | MICROSOFT CORP | MSFT | 594918104 | $59.1M | 0.86% | 158,398 | SH |
| 27 | ISHARES TR | IWM | 464287655 | $57.5M | 0.83% | 191,265 | SH |
| 28 | SPDR INDEX SHS FDS | SPEM | 78463X509 | $56.6M | 0.82% | 1,092,633 | SH |
| 29 | ISHARES TR | IUSB | 46434V613 | $53.5M | 0.78% | 1,158,879 | SH |
| 30 | ISHARES TR | IWF | 464287614 | $47.0M | 0.68% | 378,795 | SH |
| 31 | VANGUARD SCOTTSDALE FDS | VMBS | 92206C771 | $45.4M | 0.66% | 970,465 | SH |
| 32 | ISHARES TR | MBB | 464288588 | $42.0M | 0.61% | 444,758 | SH |
| 33 | ISHARES TR | IJR | 464287804 | $39.0M | 0.57% | 262,654 | SH |
| 34 | SCHWAB STRATEGIC TR | SCHZ | 808524839 | $37.4M | 0.54% | 1,618,956 | SH |
| 35 | J P MORGAN EXCHANGE TRADED F | JMST | 46641Q654 | $33.8M | 0.49% | 662,850 | SH |
| 36 | INVESCO EXCH TRADED FD TR II | QQQM | 46138G649 | $33.5M | 0.49% | 110,441 | SH |
| 37 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $32.3M | 0.47% | 453,208 | SH |
| 38 | PHILIP MORRIS INTL INC | PM | 718172109 | $32.2M | 0.47% | 178,201 | SH |
| 39 | ISHARES TR | AGG | 464287226 | $31.8M | 0.46% | 320,830 | SH |
| 40 | AMAZON COM INC | AMZN | 023135106 | $31.4M | 0.46% | 131,565 | SH |
| 41 | VANGUARD WHITEHALL FDS | VYMI | 921946794 | $29.4M | 0.43% | 299,797 | SH |
| 42 | SPDR SERIES TRUST | SPTI | 78464A672 | $29.3M | 0.43% | 1,032,022 | SH |
| 43 | MONDELEZ INTL INC | MDLZ | 609207105 | $29.3M | 0.43% | 506,441 | SH |
| 44 | PROGRESSIVE CORP | PGR | 743315103 | $29.2M | 0.42% | 133,547 | SH |
| 45 | VANGUARD INDEX FDS | VTI | 922908769 | $28.9M | 0.42% | 77,998 | SH |
| 46 | BLACKROCK ETF TRUST | BDYN | 09290C723 | $28.7M | 0.42% | 1,034,026 | SH |
| 47 | BLACKROCK ETF TRUST | DYNF | 09290C103 | $26.1M | 0.38% | 383,502 | SH |
| 48 | ISHARES TR | IVE | 464287408 | $25.0M | 0.36% | 110,052 | SH |
| 49 | ALPHABET INC | GOOGL | 02079K305 | $24.7M | 0.36% | 69,038 | SH |
| 50 | SPDR SERIES TRUST | BIL | 78468R663 | $24.2M | 0.35% | 263,609 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-06-30 | 2026-08-11 | $6.89B | 680 | 0001172661-26-003263 |
| 2026-03-31 | 2026-05-15 | $6.20B | 678 | 0001172661-26-002224 |
| 2025-12-31 | 2026-02-17 | $5.93B | 619 | 0001172661-26-001063 |
| 2025-06-30 | 2025-11-14 | $3.84B | 682 | 0001172661-25-004912 |
Filer Information
Address
225 SOUTH 6TH STREETSUITE 1400
MINNEAPOLIS, MN 55402
Phone
(612) 367-8800
Filing Manager
NorthRock Partners, LLC
MINNEAPOLIS, MN
Signatory
Kate Shoemaker
Chief Compliance Officer