NorthRock Partners, LLC Diversified Active

CIK: 0001632097 · Show all filings

Period: Q4 2014 (Next →)

Filing Date: Feb 17, 2015

Total Value ($000): $162,939 (100.0% shares, 0.0% debt)

Holdings (42)

AMP AMERIPRISE FINL INC 30.2%

Value ($000) $49,251 Shares 372,408 Est. Cost $100.04 Unrealized 0.0%

SPY SPDR S&P 500 ETF TR 22.7%

Value ($000) $36,926 Shares 178,674 Est. Cost $206.67 Unrealized —

IWF ISHARES TR 8.8%

Value ($000) $14,293 Shares 149,497 Est. Cost $95.61 Unrealized —

IWD ISHARES TR 8.7%

Value ($000) $14,096 Shares 135,016 Est. Cost $104.40 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 7.3%

Value ($000) $11,855 Shares 428,826 Est. Cost $27.65 Unrealized —

TGT TARGET CORP 5.6%

Value ($000) $9,199 Shares 114,079 Est. Cost $48.59 Unrealized 0.0%

— CHAMBERS STR PPTYS 2.4%

Value ($000) $3,872 Shares 478,052 Est. Cost $8.10 Unrealized —

Value ($000) $3,055 Shares 18,591 Est. Cost $89.68 Unrealized 0.0%

MSFT MICROSOFT CORP 1.3%

Value ($000) $2,073 Shares 44,630 Est. Cost $39.88 Unrealized 0.0%

— CELGENE CORP 0.9%

Value ($000) $1,487 Shares 13,287 Est. Cost $111.91 Unrealized —

— LIFE TIME FITNESS INC 0.9%

Value ($000) $1,397 Shares 24,664 Est. Cost $56.64 Unrealized —

HWKN HAWKINS INC 0.8%

Value ($000) $1,245 Shares 28,738 Est. Cost $19.43 Unrealized 0.0%

— FORESTAR GROUP INC 0.7%

Value ($000) $1,152 Shares 74,826 Est. Cost $15.40 Unrealized —

AXP AMERICAN EXPRESS CO 0.6%

Value ($000) $1,031 Shares 11,084 Est. Cost $76.41 Unrealized 0.0%

MOS MOSAIC CO NEW 0.6%

Value ($000) $1,014 Shares 22,215 Est. Cost $35.46 Unrealized 0.0%

PG PROCTER & GAMBLE CO 0.6%

Value ($000) $1,003 Shares 11,008 Est. Cost $64.60 Unrealized 0.0%

AAPL APPLE INC 0.6%

Value ($000) $914 Shares 8,282 Est. Cost $24.08 Unrealized 0.0%

GIS GENERAL MLS INC 0.5%

Value ($000) $776 Shares 14,553 Est. Cost $35.24 Unrealized 0.0%

BBY BEST BUY INC 0.4%

Value ($000) $652 Shares 16,724 Est. Cost $23.44 Unrealized 0.0%

KO COCA COLA CO 0.4%

Value ($000) $646 Shares 15,298 Est. Cost $30.05 Unrealized 0.0%

UBS UBS GROUP AG 0.3%

Value ($000) $506 Shares 29,668 Est. Cost $17.24 Unrealized 0.0%

XOM EXXON MOBIL CORP 0.3%

Value ($000) $497 Shares 5,379 Est. Cost $58.00 Unrealized 0.0%

LPLA LPL FINL HLDGS INC 0.3%

Value ($000) $496 Shares 11,142 Est. Cost $43.01 Unrealized 0.0%

LQD ISHARES TR 0.3%

Value ($000) $483 Shares 4,046 Est. Cost $119.38 Unrealized —

UNH UNITEDHEALTH GROUP INC 0.3%

Value ($000) $437 Shares 4,323 Est. Cost $79.25 Unrealized 0.0%

— ENDO INTL PLC 0.3%

Value ($000) $419 Shares 5,810 Est. Cost $72.12 Unrealized —

IBM INTERNATIONAL BUSINESS MACHS 0.2%

Value ($000) $336 Shares 2,093 Est. Cost $100.47 Unrealized 0.0%

BSX BOSTON SCIENTIFIC CORP 0.2%

Value ($000) $320 Shares 24,118 Est. Cost $12.78 Unrealized 0.0%

PIPR PIPER JAFFRAY COS 0.2%

Value ($000) $313 Shares 5,397 Est. Cost $54.91 Unrealized 0.0%

T AT&T INC 0.2%

Value ($000) $310 Shares 9,225 Est. Cost $11.81 Unrealized 0.0%

TIP ISHARES TR 0.2%

Value ($000) $283 Shares 2,524 Est. Cost $112.12 Unrealized —

TBT PROSHARES TR 0.2%

Value ($000) $278 Shares 6,000 Est. Cost $46.33 Unrealized —

DIS DISNEY WALT CO 0.2%

Value ($000) $268 Shares 2,814 Est. Cost $81.30 Unrealized 0.0%

— CEPHEID 0.2%

Value ($000) $259 Shares 4,777 Est. Cost $54.22 Unrealized —

— GENERAL ELECTRIC CO 0.2%

Value ($000) $255 Shares 10,036 Est. Cost $25.41 Unrealized —

SYY SYSCO CORP 0.2%

Value ($000) $248 Shares 6,242 Est. Cost $28.86 Unrealized 0.0%

— LAZARD LTD 0.1%

Value ($000) $231 Shares 4,615 Est. Cost $50.05 Unrealized —

DLX DELUXE CORP 0.1%

Value ($000) $231 Shares 3,718 Est. Cost $38.39 Unrealized 0.0%

BRK/A BERKSHIRE HATHAWAY INC DEL 0.1%

Value ($000) $226 Shares 100 Est. Cost $216493.73 Unrealized 0.0%

— ULTIMATE SOFTWARE GROUP INC 0.1%

Value ($000) $203 Shares 1,380 Est. Cost $147.10 Unrealized —

VNQ VANGUARD INDEX FDS 0.1%

Value ($000) $203 Shares 2,507 Est. Cost $80.97 Unrealized —

CL COLGATE PALMOLIVE CO 0.1%

Value ($000) $200 Shares 2,888 Est. Cost $52.19 Unrealized 0.0%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
AMP	AMERIPRISE FINL INC	372,408	$49,251	30.2%	$100.04	0.0%	COM	03076C106
SPY	SPDR S&P 500 ETF TR	178,674	$36,926	22.7%	$206.67	—	TR UNIT	78462F103
IWF	ISHARES TR	149,497	$14,293	8.8%	$95.61	—	RUS 1000 GRW ETF	464287614
IWD	ISHARES TR	135,016	$14,096	8.7%	$104.40	—	RUS 1000 VAL ETF	464287598
—	CLEARBRIDGE ENERGY MLP FD IN	428,826	$11,855	7.3%	$27.65	—	COM	184692101
TGT	TARGET CORP	114,079	$9,199	5.6%	$48.59	0.0%	COM	87612E106
—	CHAMBERS STR PPTYS	478,052	$3,872	2.4%	$8.10	—	COM	157842105
MMM	3M CO	18,591	$3,055	1.9%	$89.68	0.0%	COM	88579Y101
MSFT	MICROSOFT CORP	44,630	$2,073	1.3%	$39.88	0.0%	COM	594918104
—	CELGENE CORP	13,287	$1,487	0.9%	$111.91	—	COM	151020104
—	LIFE TIME FITNESS INC	24,664	$1,397	0.9%	$56.64	—	COM	53217R207
HWKN	HAWKINS INC	28,738	$1,245	0.8%	$19.43	0.0%	COM	420261109
—	FORESTAR GROUP INC	74,826	$1,152	0.7%	$15.40	—	COM	346233109
AXP	AMERICAN EXPRESS CO	11,084	$1,031	0.6%	$76.41	0.0%	COM	025816109
MOS	MOSAIC CO NEW	22,215	$1,014	0.6%	$35.46	0.0%	COM	61945C103
PG	PROCTER & GAMBLE CO	11,008	$1,003	0.6%	$64.60	0.0%	COM	742718109
AAPL	APPLE INC	8,282	$914	0.6%	$24.08	0.0%	COM	037833100
GIS	GENERAL MLS INC	14,553	$776	0.5%	$35.24	0.0%	COM	370334104
BBY	BEST BUY INC	16,724	$652	0.4%	$23.44	0.0%	COM	086516101
KO	COCA COLA CO	15,298	$646	0.4%	$30.05	0.0%	COM	191216100
UBS	UBS GROUP AG	29,668	$506	0.3%	$17.24	0.0%	SHS	H42097107
XOM	EXXON MOBIL CORP	5,379	$497	0.3%	$58.00	0.0%	COM	30231G102
LPLA	LPL FINL HLDGS INC	11,142	$496	0.3%	$43.01	0.0%	COM	50212V100
LQD	ISHARES TR	4,046	$483	0.3%	$119.38	—	IBOXX INV CP ETF	464287242
UNH	UNITEDHEALTH GROUP INC	4,323	$437	0.3%	$79.25	0.0%	COM	91324P102
—	ENDO INTL PLC	5,810	$419	0.3%	$72.12	—	SHS	G30401106
IBM	INTERNATIONAL BUSINESS MACHS	2,093	$336	0.2%	$100.47	0.0%	COM	459200101
BSX	BOSTON SCIENTIFIC CORP	24,118	$320	0.2%	$12.78	0.0%	COM	101137107
PIPR	PIPER JAFFRAY COS	5,397	$313	0.2%	$54.91	0.0%	COM	724078100
T	AT&T INC	9,225	$310	0.2%	$11.81	0.0%	COM	00206R102
TIP	ISHARES TR	2,524	$283	0.2%	$112.12	—	TIPS BD ETF	464287176
TBT	PROSHARES TR	6,000	$278	0.2%	$46.33	—	PSHS ULTSH 20YRS	74347B201
DIS	DISNEY WALT CO	2,814	$268	0.2%	$81.30	0.0%	COM DISNEY	254687106
—	CEPHEID	4,777	$259	0.2%	$54.22	—	COM	15670R107
—	GENERAL ELECTRIC CO	10,036	$255	0.2%	$25.41	—	COM	369604103
SYY	SYSCO CORP	6,242	$248	0.2%	$28.86	0.0%	COM	871829107
—	LAZARD LTD	4,615	$231	0.1%	$50.05	—	SHS A	G54050102
DLX	DELUXE CORP	3,718	$231	0.1%	$38.39	0.0%	COM	248019101
BRK/A	BERKSHIRE HATHAWAY INC DEL	100	$226	0.1%	$216493.73	0.0%	CL A	084670108
—	ULTIMATE SOFTWARE GROUP INC	1,380	$203	0.1%	$147.10	—	COM	90385D107
VNQ	VANGUARD INDEX FDS	2,507	$203	0.1%	$80.97	—	REIT ETF	922908553
CL	COLGATE PALMOLIVE CO	2,888	$200	0.1%	$52.19	0.0%	COM	194162103