NorthRock Partners, LLC Diversified Active

CIK: 0001632097 · Show all filings

Period: Q1 2015 (← Previous) (Next →)

Filing Date: May 14, 2015

Total Value ($000): $168,155 (100.0% shares, 0.0% debt)

Holdings (42)

AMP AMERIPRISE FINL INC 25.1%

Value ($000) $42,213 Shares 324,101 Est. Cost $100.04 Unrealized +4.6%

SPY SPDR S&P 500 ETF TR 24.3%

Value ($000) $40,871 Shares 197,244 Est. Cost $206.72 Unrealized —

IWF ISHARES TR 10.5%

Value ($000) $17,576 Shares 177,681 Est. Cost $96.13 Unrealized —

IWD ISHARES TR 9.8%

Value ($000) $16,447 Shares 159,558 Est. Cost $104.20 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 7.4%

Value ($000) $12,362 Shares 495,280 Est. Cost $27.28 Unrealized —

TGT TARGET CORP 7.3%

Value ($000) $12,354 Shares 143,429 Est. Cost $50.10 Unrealized +11.8%

— CHAMBERS STR PPTYS 2.1%

Value ($000) $3,555 Shares 448,693 Est. Cost $8.10 Unrealized —

Value ($000) $2,561 Shares 15,528 Est. Cost $89.68 Unrealized +8.0%

MSFT MICROSOFT CORP 1.1%

Value ($000) $1,858 Shares 45,704 Est. Cost $39.82 Unrealized -6.5%

— CELGENE CORP 0.9%

Value ($000) $1,572 Shares 13,638 Est. Cost $112.00 Unrealized —

— FORESTAR GROUP INC 0.8%

Value ($000) $1,348 Shares 85,458 Est. Cost $15.44 Unrealized —

MOS MOSAIC CO NEW 0.7%

Value ($000) $1,235 Shares 26,804 Est. Cost $36.11 Unrealized +8.7%

HWKN HAWKINS INC 0.6%

Value ($000) $1,081 Shares 28,182 Est. Cost $19.43 Unrealized +0.5%

AAPL APPLE INC 0.6%

Value ($000) $1,007 Shares 8,094 Est. Cost $24.08 Unrealized +11.5%

AXP AMERICAN EXPRESS CO 0.6%

Value ($000) $968 Shares 12,397 Est. Cost $75.84 Unrealized -6.4%

PG PROCTER & GAMBLE CO 0.5%

Value ($000) $910 Shares 11,105 Est. Cost $64.60 Unrealized -1.6%

BBY BEST BUY INC 0.5%

Value ($000) $874 Shares 23,007 Est. Cost $24.05 Unrealized +6.7%

— ENDO INTL PLC 0.4%

Value ($000) $708 Shares 7,889 Est. Cost $76.76 Unrealized —

GIS GENERAL MLS INC 0.4%

Value ($000) $708 Shares 12,579 Est. Cost $35.24 Unrealized +4.0%

KO COCA COLA CO 0.4%

Value ($000) $649 Shares 16,010 Est. Cost $30.03 Unrealized -1.4%

UNH UNITEDHEALTH GROUP INC 0.4%

Value ($000) $635 Shares 5,371 Est. Cost $81.96 Unrealized +13.7%

MDT MEDTRONIC PLC 0.3%

Value ($000) $527 Shares 6,749 Est. Cost $58.10 Unrealized 0.0%

LQD ISHARES TR 0.3%

Value ($000) $487 Shares 4,000 Est. Cost $119.38 Unrealized —

BSX BOSTON SCIENTIFIC CORP 0.3%

Value ($000) $459 Shares 25,868 Est. Cost $12.99 Unrealized +21.7%

XOM EXXON MOBIL CORP 0.3%

Value ($000) $452 Shares 5,323 Est. Cost $58.00 Unrealized -4.2%

LPLA LPL FINL HLDGS INC 0.3%

Value ($000) $437 Shares 10,034 Est. Cost $43.01 Unrealized +2.8%

PIPR PIPER JAFFRAY COS 0.2%

Value ($000) $418 Shares 7,965 Est. Cost $54.72 Unrealized -0.7%

— POWERSHARES DB CMDTY IDX TRA 0.2%

Value ($000) $362 Shares 21,235 Est. Cost $17.05 Unrealized —

DLX DELUXE CORP 0.2%

Value ($000) $302 Shares 4,353 Est. Cost $39.02 Unrealized +9.5%

DIS DISNEY WALT CO 0.2%

Value ($000) $298 Shares 2,839 Est. Cost $81.30 Unrealized +13.0%

T AT&T INC 0.2%

Value ($000) $289 Shares 8,845 Est. Cost $11.81 Unrealized -0.1%

IBM INTERNATIONAL BUSINESS MACHS 0.2%

Value ($000) $265 Shares 2,980 Est. Cost $99.28 Unrealized -2.8%

— GENERAL ELECTRIC CO 0.2%

Value ($000) $257 Shares 10,276 Est. Cost $25.40 Unrealized —

SYY SYSCO CORP 0.2%

Value ($000) $255 Shares 6,755 Est. Cost $28.91 Unrealized +2.2%

TIP ISHARES TR 0.1%

Value ($000) $252 Shares 2,215 Est. Cost $112.12 Unrealized —

TBT PROSHARES TR 0.1%

Value ($000) $251 Shares 6,000 Est. Cost $46.33 Unrealized —

— CEPHEID 0.1%

Value ($000) $249 Shares 4,380 Est. Cost $54.22 Unrealized —

— ULTIMATE SOFTWARE GROUP INC 0.1%

Value ($000) $246 Shares 1,445 Est. Cost $148.14 Unrealized —

UPS UNITED PARCEL SERVICE INC 0.1%

Value ($000) $227 Shares 2,345 Est. Cost $69.40 Unrealized 0.0%

BRK/A BERKSHIRE HATHAWAY INC DEL 0.1%

Value ($000) $218 Shares 1 Est. Cost $216493.73 Unrealized +2.1%

MMS MAXIMUS INC 0.1%

Value ($000) $212 Shares 3,181 Est. Cost $59.39 Unrealized 0.0%

CL COLGATE PALMOLIVE CO 0.1%

Value ($000) $200 Shares 2,888 Est. Cost $52.19 Unrealized +2.9%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
AMP	AMERIPRISE FINL INC	324,101	$42,213	25.1%	$100.04	+4.6%	COM	03076C106
SPY	SPDR S&P 500 ETF TR	197,244	$40,871	24.3%	$206.72	—	TR UNIT	78462F103
IWF	ISHARES TR	177,681	$17,576	10.5%	$96.13	—	RUS 1000 GRW ETF	464287614
IWD	ISHARES TR	159,558	$16,447	9.8%	$104.20	—	RUS 1000 VAL ETF	464287598
—	CLEARBRIDGE ENERGY MLP FD IN	495,280	$12,362	7.4%	$27.28	—	COM	184692101
TGT	TARGET CORP	143,429	$12,354	7.3%	$50.10	+11.8%	COM	87612E106
—	CHAMBERS STR PPTYS	448,693	$3,555	2.1%	$8.10	—	COM	157842105
MMM	3M CO	15,528	$2,561	1.5%	$89.68	+8.0%	COM	88579Y101
MSFT	MICROSOFT CORP	45,704	$1,858	1.1%	$39.82	-6.5%	COM	594918104
—	CELGENE CORP	13,638	$1,572	0.9%	$112.00	—	COM	151020104
—	FORESTAR GROUP INC	85,458	$1,348	0.8%	$15.44	—	COM	346233109
MOS	MOSAIC CO NEW	26,804	$1,235	0.7%	$36.11	+8.7%	COM	61945C103
HWKN	HAWKINS INC	28,182	$1,081	0.6%	$19.43	+0.5%	COM	420261109
AAPL	APPLE INC	8,094	$1,007	0.6%	$24.08	+11.5%	COM	037833100
AXP	AMERICAN EXPRESS CO	12,397	$968	0.6%	$75.84	-6.4%	COM	025816109
PG	PROCTER & GAMBLE CO	11,105	$910	0.5%	$64.60	-1.6%	COM	742718109
BBY	BEST BUY INC	23,007	$874	0.5%	$24.05	+6.7%	COM	086516101
—	ENDO INTL PLC	7,889	$708	0.4%	$76.76	—	SHS	G30401106
GIS	GENERAL MLS INC	12,579	$708	0.4%	$35.24	+4.0%	COM	370334104
KO	COCA COLA CO	16,010	$649	0.4%	$30.03	-1.4%	COM	191216100
UNH	UNITEDHEALTH GROUP INC	5,371	$635	0.4%	$81.96	+13.7%	COM	91324P102
MDT	MEDTRONIC PLC	6,749	$527	0.3%	$58.10	0.0%	SHS	G5960L103
LQD	ISHARES TR	4,000	$487	0.3%	$119.38	—	IBOXX INV CP ETF	464287242
BSX	BOSTON SCIENTIFIC CORP	25,868	$459	0.3%	$12.99	+21.7%	COM	101137107
XOM	EXXON MOBIL CORP	5,323	$452	0.3%	$58.00	-4.2%	COM	30231G102
LPLA	LPL FINL HLDGS INC	10,034	$437	0.3%	$43.01	+2.8%	COM	50212V100
PIPR	PIPER JAFFRAY COS	7,965	$418	0.2%	$54.72	-0.7%	COM	724078100
—	POWERSHARES DB CMDTY IDX TRA	21,235	$362	0.2%	$17.05	—	UNIT BEN INT	73935S105
DLX	DELUXE CORP	4,353	$302	0.2%	$39.02	+9.5%	COM	248019101
DIS	DISNEY WALT CO	2,839	$298	0.2%	$81.30	+13.0%	COM DISNEY	254687106
T	AT&T INC	8,845	$289	0.2%	$11.81	-0.1%	COM	00206R102
IBM	INTERNATIONAL BUSINESS MACHS	2,980	$265	0.2%	$99.28	-2.8%	COM	459200101
—	GENERAL ELECTRIC CO	10,276	$257	0.2%	$25.40	—	COM	369604103
SYY	SYSCO CORP	6,755	$255	0.2%	$28.91	+2.2%	COM	871829107
TIP	ISHARES TR	2,215	$252	0.1%	$112.12	—	TIPS BD ETF	464287176
TBT	PROSHARES TR	6,000	$251	0.1%	$46.33	—	PSHS ULTSH 20YRS	74347B201
—	CEPHEID	4,380	$249	0.1%	$54.22	—	COM	15670R107
—	ULTIMATE SOFTWARE GROUP INC	1,445	$246	0.1%	$148.14	—	COM	90385D107
UPS	UNITED PARCEL SERVICE INC	2,345	$227	0.1%	$69.40	0.0%	CL B	911312106
BRK/A	BERKSHIRE HATHAWAY INC DEL	1	$218	0.1%	$216493.73	+2.1%	CL A	084670108
MMS	MAXIMUS INC	3,181	$212	0.1%	$59.39	0.0%	COM	577933104
CL	COLGATE PALMOLIVE CO	2,888	$200	0.1%	$52.19	+2.9%	COM	194162103