NorthRock Partners, LLC Diversified Active

Location: Minneapolis, MN

CIK: 0001632097 · Show all filings

Period: Q2 2015 (← Previous) (Next →)

Filing Date: Aug 13, 2015

Total Value: $216M (100.0% shares, 0.0% debt)

Holdings (48)

AMP AMERIPRISE FINL INC 17.9%

Value $38.66M Shares 309,404 Est. Cost $100.04 Unrealized +1.7%

SPY SPDR S&P 500 ETF TR 17.8%

Value $38.6M Shares 186,576 Est. Cost $206.72 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 8.5%

Value $18.45M Shares 793,426 Est. Cost $25.77 Unrealized —

IWF ISHARES TR 8.1%

Value $17.52M Shares 176,940 Est. Cost $96.13 Unrealized —

IWD ISHARES TR 7.7%

Value $16.64M Shares 161,314 Est. Cost $104.19 Unrealized —

TGT TARGET CORP 6.3%

Value $13.7M Shares 160,104 Est. Cost $51.04 Unrealized +15.7%

IWS ISHARES TR 5.9%

Value $12.86M Shares 174,254 Est. Cost $73.78 Unrealized —

IJT ISHARES TR 5.5%

Value $11.94M Shares 91,091 Est. Cost $131.08 Unrealized —

IWP ISHARES TR 5.3%

Value $11.5M Shares 118,713 Est. Cost $96.89 Unrealized —

IJS ISHARES TR 5.0%

Value $10.73M Shares 91,083 Est. Cost $117.84 Unrealized —

— CHAMBERS STR PPTYS 1.8%

Value $3.86M Shares 483,668 Est. Cost $8.09 Unrealized —

Value $2.327M Shares 15,086 Est. Cost $89.68 Unrealized +5.7%

MSFT MICROSOFT CORP 0.9%

Value $1.858M Shares 42,101 Est. Cost $39.82 Unrealized -1.3%

— CELGENE CORP 0.7%

Value $1.595M Shares 13,794 Est. Cost $112.04 Unrealized —

MOS MOSAIC CO NEW 0.6%

Value $1.275M Shares 27,206 Est. Cost $36.11 Unrealized +1.5%

— FORESTAR GROUP INC 0.5%

Value $1.118M Shares 84,978 Est. Cost $15.44 Unrealized —

HWKN HAWKINS INC 0.5%

Value $1.107M Shares 27,382 Est. Cost $19.43 Unrealized +4.8%

AAPL APPLE INC 0.5%

Value $1.009M Shares 8,044 Est. Cost $24.08 Unrealized +18.5%

PG PROCTER & GAMBLE CO 0.5%

Value $981K Shares 12,555 Est. Cost $64.07 Unrealized -6.4%

AXP AMERICAN EXPRESS CO 0.4%

Value $911K Shares 11,728 Est. Cost $75.84 Unrealized -10.3%

BBY BEST BUY INC 0.3%

Value $713K Shares 21,845 Est. Cost $24.05 Unrealized +0.6%

UNH UNITEDHEALTH GROUP INC 0.3%

Value $667K Shares 5,471 Est. Cost $82.29 Unrealized +21.0%

LPLA LPL FINL HLDGS INC 0.3%

Value $638K Shares 13,720 Est. Cost $43.07 Unrealized +0.4%

— ENDO INTL PLC 0.3%

Value $604K Shares 7,584 Est. Cost $76.76 Unrealized —

MDT MEDTRONIC PLC 0.2%

Value $524K Shares 7,080 Est. Cost $58.13 Unrealized +1.2%

KO COCA COLA CO 0.2%

Value $517K Shares 13,205 Est. Cost $30.03 Unrealized -3.3%

XOM EXXON MOBIL CORP 0.2%

Value $508K Shares 6,111 Est. Cost $57.53 Unrealized -5.6%

— POWERSHARES DB CMDTY IDX TRA 0.2%

Value $500K Shares 27,765 Est. Cost $17.27 Unrealized —

BSX BOSTON SCIENTIFIC CORP 0.2%

Value $397K Shares 22,403 Est. Cost $12.99 Unrealized +37.6%

PIPR PIPER JAFFRAY COS 0.2%

Value $354K Shares 8,101 Est. Cost $54.64 Unrealized -8.7%

T AT&T INC 0.2%

Value $340K Shares 9,580 Est. Cost $11.84 Unrealized +3.2%

— QUMU CORP 0.2%

Value $332K Shares 40,300 Est. Cost $8.24 Unrealized —

DIS DISNEY WALT CO 0.1%

Value $319K Shares 2,825 Est. Cost $81.30 Unrealized +23.0%

IBM INTERNATIONAL BUSINESS MACHS 0.1%

Value $311K Shares 3,240 Est. Cost $99.58 Unrealized +3.4%

TBT PROSHARES TR 0.1%

Value $299K Shares 6,000 Est. Cost $46.33 Unrealized —

— GENERAL ELECTRIC CO 0.1%

Value $265K Shares 9,907 Est. Cost $25.40 Unrealized —

DLX DELUXE CORP 0.1%

Value $253K Shares 4,077 Est. Cost $39.02 Unrealized +11.0%

TIP ISHARES TR 0.1%

Value $251K Shares 2,236 Est. Cost $112.12 Unrealized —

LQD ISHARES TR 0.1%

Value $232K Shares 2,000 Est. Cost $119.38 Unrealized —

UPS UNITED PARCEL SERVICE INC 0.1%

Value $231K Shares 2,379 Est. Cost $69.37 Unrealized -2.4%

TSLA TESLA MTRS INC 0.1%

Value $228K Shares 852 Est. Cost $15.81 Unrealized 0.0%

MRK MERCK & CO INC NEW 0.1%

Value $218K Shares 3,807 Est. Cost $40.23 Unrealized 0.0%

GIS GENERAL MLS INC 0.1%

Value $210K Shares 3,754 Est. Cost $35.24 Unrealized +10.1%

SYY SYSCO CORP 0.1%

Value $209K Shares 5,781 Est. Cost $28.91 Unrealized -2.2%

— FIRST TR HIGH INCOME L/S FD 0.1%

Value $205K Shares 13,109 Est. Cost $15.64 Unrealized —

BRK/A BERKSHIRE HATHAWAY INC DEL 0.1%

Value $205K Shares 1 Est. Cost $216493.73 Unrealized -0.9%

— NEURALSTEM INC 0.0%

Value $69,000 Shares 36,000 Est. Cost $1.92 Unrealized —

— DAKOTA PLAINS HLDGS INC 0.0%

Value $53,000 Shares 44,600 Est. Cost $1.19 Unrealized —

Ticker	Issuer	Shares	Value	%	Est. Cost	Unrealized	Class	CUSIP
AMP	AMERIPRISE FINL INC	309,404	$38.66M	17.9%	$100.04	+1.7%	COM	03076C106
SPY	SPDR S&P 500 ETF TR	186,576	$38.6M	17.8%	$206.72	—	TR UNIT	78462F103
—	CLEARBRIDGE ENERGY MLP FD IN	793,426	$18.45M	8.5%	$25.77	—	COM	184692101
IWF	ISHARES TR	176,940	$17.52M	8.1%	$96.13	—	RUS 1000 GRW ETF	464287614
IWD	ISHARES TR	161,314	$16.64M	7.7%	$104.19	—	RUS 1000 VAL ETF	464287598
TGT	TARGET CORP	160,104	$13.7M	6.3%	$51.04	+15.7%	COM	87612E106
IWS	ISHARES TR	174,254	$12.86M	5.9%	$73.78	—	RUS MDCP VAL ETF	464287473
IJT	ISHARES TR	91,091	$11.94M	5.5%	$131.08	—	SP SMCP600GR ETF	464287887
IWP	ISHARES TR	118,713	$11.5M	5.3%	$96.89	—	RUS MD CP GR ETF	464287481
IJS	ISHARES TR	91,083	$10.73M	5.0%	$117.84	—	SP SMCP600VL ETF	464287879
—	CHAMBERS STR PPTYS	483,668	$3.86M	1.8%	$8.09	—	COM	157842105
MMM	3M CO	15,086	$2.327M	1.1%	$89.68	+5.7%	COM	88579Y101
MSFT	MICROSOFT CORP	42,101	$1.858M	0.9%	$39.82	-1.3%	COM	594918104
—	CELGENE CORP	13,794	$1.595M	0.7%	$112.04	—	COM	151020104
MOS	MOSAIC CO NEW	27,206	$1.275M	0.6%	$36.11	+1.5%	COM	61945C103
—	FORESTAR GROUP INC	84,978	$1.118M	0.5%	$15.44	—	COM	346233109
HWKN	HAWKINS INC	27,382	$1.107M	0.5%	$19.43	+4.8%	COM	420261109
AAPL	APPLE INC	8,044	$1.009M	0.5%	$24.08	+18.5%	COM	037833100
PG	PROCTER & GAMBLE CO	12,555	$981K	0.5%	$64.07	-6.4%	COM	742718109
AXP	AMERICAN EXPRESS CO	11,728	$911K	0.4%	$75.84	-10.3%	COM	025816109
BBY	BEST BUY INC	21,845	$713K	0.3%	$24.05	+0.6%	COM	086516101
UNH	UNITEDHEALTH GROUP INC	5,471	$667K	0.3%	$82.29	+21.0%	COM	91324P102
LPLA	LPL FINL HLDGS INC	13,720	$638K	0.3%	$43.07	+0.4%	COM	50212V100
—	ENDO INTL PLC	7,584	$604K	0.3%	$76.76	—	SHS	G30401106
MDT	MEDTRONIC PLC	7,080	$524K	0.2%	$58.13	+1.2%	SHS	G5960L103
KO	COCA COLA CO	13,205	$517K	0.2%	$30.03	-3.3%	COM	191216100
XOM	EXXON MOBIL CORP	6,111	$508K	0.2%	$57.53	-5.6%	COM	30231G102
—	POWERSHARES DB CMDTY IDX TRA	27,765	$500K	0.2%	$17.27	—	UNIT BEN INT	73935S105
BSX	BOSTON SCIENTIFIC CORP	22,403	$397K	0.2%	$12.99	+37.6%	COM	101137107
PIPR	PIPER JAFFRAY COS	8,101	$354K	0.2%	$54.64	-8.7%	COM	724078100
T	AT&T INC	9,580	$340K	0.2%	$11.84	+3.2%	COM	00206R102
—	QUMU CORP	40,300	$332K	0.2%	$8.24	—	COM	749063103
DIS	DISNEY WALT CO	2,825	$319K	0.1%	$81.30	+23.0%	COM DISNEY	254687106
IBM	INTERNATIONAL BUSINESS MACHS	3,240	$311K	0.1%	$99.58	+3.4%	COM	459200101
TBT	PROSHARES TR	6,000	$299K	0.1%	$46.33	—	PSHS ULTSH 20YRS	74347B201
—	GENERAL ELECTRIC CO	9,907	$265K	0.1%	$25.40	—	COM	369604103
DLX	DELUXE CORP	4,077	$253K	0.1%	$39.02	+11.0%	COM	248019101
TIP	ISHARES TR	2,236	$251K	0.1%	$112.12	—	TIPS BD ETF	464287176
LQD	ISHARES TR	2,000	$232K	0.1%	$119.38	—	IBOXX INV CP ETF	464287242
UPS	UNITED PARCEL SERVICE INC	2,379	$231K	0.1%	$69.37	-2.4%	CL B	911312106
TSLA	TESLA MTRS INC	852	$228K	0.1%	$15.81	0.0%	COM	88160R101
MRK	MERCK & CO INC NEW	3,807	$218K	0.1%	$40.23	0.0%	COM	58933Y105
GIS	GENERAL MLS INC	3,754	$210K	0.1%	$35.24	+10.1%	COM	370334104
SYY	SYSCO CORP	5,781	$209K	0.1%	$28.91	-2.2%	COM	871829107
—	FIRST TR HIGH INCOME L/S FD	13,109	$205K	0.1%	$15.64	—	COM	33738E109
BRK/A	BERKSHIRE HATHAWAY INC DEL	1	$205K	0.1%	$216493.73	-0.9%	CL A	084670108
—	NEURALSTEM INC	36,000	$69,000	0.0%	$1.92	—	COM	64127R302
—	DAKOTA PLAINS HLDGS INC	44,600	$53,000	0.0%	$1.19	—	COM	234255107