NorthRock Partners, LLC Diversified Active

CIK: 0001632097 · Show all filings

Period: Q3 2015 (← Previous) (Next →)

Filing Date: Nov 12, 2015

Total Value ($000): $158,742 (100.0% shares, 0.0% debt)

Holdings (43)

SPY SPDR S&P 500 ETF TR 22.3%

Value ($000) $35,418 Shares 184,826 Est. Cost $206.72 Unrealized —

IWF ISHARES TR 10.5%

Value ($000) $16,599 Shares 251,662 Est. Cost $87.17 Unrealized —

IWD ISHARES TR 10.0%

Value ($000) $15,810 Shares 241,347 Est. Cost $91.36 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 9.5%

Value ($000) $15,047 Shares 888,216 Est. Cost $24.83 Unrealized —

IWS ISHARES TR 8.8%

Value ($000) $13,974 Shares 208,280 Est. Cost $72.69 Unrealized —

IWP ISHARES TR 8.3%

Value ($000) $13,181 Shares 148,749 Est. Cost $95.22 Unrealized —

IJT ISHARES TR 8.0%

Value ($000) $12,697 Shares 167,876 Est. Cost $105.72 Unrealized —

IJS ISHARES TR 7.4%

Value ($000) $11,705 Shares 111,700 Est. Cost $115.43 Unrealized —

AMP AMERIPRISE FINL INC 3.2%

Value ($000) $5,131 Shares 59,142 Est. Cost $100.04 Unrealized -5.4%

TGT TARGET CORP 2.1%

Value ($000) $3,287 Shares 34,595 Est. Cost $51.04 Unrealized +14.9%

— CHAMBERS STR PPTYS 1.7%

Value ($000) $2,741 Shares 422,378 Est. Cost $8.09 Unrealized —

Value ($000) $1,511 Shares 10,655 Est. Cost $89.68 Unrealized -2.4%

— PROVIDENCE SVC CORP 0.9%

Value ($000) $1,415 Shares 933,383 Est. Cost $1.52 Unrealized —

— CELGENE CORP 0.7%

Value ($000) $1,075 Shares 9,793 Est. Cost $112.04 Unrealized —

HWKN HAWKINS INC 0.7%

Value ($000) $1,035 Shares 26,887 Est. Cost $19.43 Unrealized -2.7%

AAPL APPLE INC 0.6%

Value ($000) $950 Shares 8,612 Est. Cost $24.23 Unrealized +8.5%

PG PROCTER & GAMBLE CO 0.6%

Value ($000) $914 Shares 12,700 Est. Cost $63.98 Unrealized -11.9%

MSFT MICROSOFT CORP 0.4%

Value ($000) $558 Shares 12,583 Est. Cost $39.82 Unrealized -2.3%

— POWERSHARES DB CMDTY IDX TRA 0.3%

Value ($000) $512 Shares 34,920 Est. Cost $16.74 Unrealized —

XOM EXXON MOBIL CORP 0.3%

Value ($000) $462 Shares 6,220 Est. Cost $57.38 Unrealized -14.5%

DIS DISNEY WALT CO 0.2%

Value ($000) $324 Shares 3,175 Est. Cost $83.33 Unrealized +19.7%

T AT&T INC 0.2%

Value ($000) $312 Shares 9,590 Est. Cost $11.84 Unrealized +3.6%

BBY BEST BUY INC 0.2%

Value ($000) $306 Shares 61,054 Est. Cost $23.72 Unrealized -0.8%

MDY SPDR S&P MIDCAP 400 ETF TR 0.2%

Value ($000) $274 Shares 1,100 Est. Cost $249.09 Unrealized —

UNH UNITEDHEALTH GROUP INC 0.2%

Value ($000) $271 Shares 69,770 Est. Cost $99.72 Unrealized +1.5%

TBT PROSHARES TR 0.2%

Value ($000) $260 Shares 6,000 Est. Cost $46.33 Unrealized —

WFC WELLS FARGO & CO NEW 0.2%

Value ($000) $258 Shares 5,029 Est. Cost $41.08 Unrealized 0.0%

VNQ VANGUARD INDEX FDS 0.2%

Value ($000) $254 Shares 3,360 Est. Cost $75.60 Unrealized —

— GENERAL ELECTRIC CO 0.2%

Value ($000) $252 Shares 9,995 Est. Cost $25.40 Unrealized —

TIP ISHARES TR 0.2%

Value ($000) $247 Shares 2,232 Est. Cost $112.12 Unrealized —

MDT MEDTRONIC PLC 0.2%

Value ($000) $245 Shares 3,655 Est. Cost $58.13 Unrealized -2.0%

MOS MOSAIC CO NEW 0.1%

Value ($000) $213 Shares 6,861 Est. Cost $36.11 Unrealized -7.1%

TSLA TESLA MTRS INC 0.1%

Value ($000) $212 Shares 855 Est. Cost $15.81 Unrealized +7.5%

GIS GENERAL MLS INC 0.1%

Value ($000) $211 Shares 3,754 Est. Cost $35.24 Unrealized +13.4%

— POTASH CORP SASK INC 0.1%

Value ($000) $211 Shares 10,262 Est. Cost $20.56 Unrealized —

ADP AUTOMATIC DATA PROCESSING IN 0.1%

Value ($000) $210 Shares 17,360 Est. Cost $63.87 Unrealized 0.0%

UPS UNITED PARCEL SERVICE INC 0.1%

Value ($000) $205 Shares 2,079 Est. Cost $69.37 Unrealized -2.3%

— FIRST TR HIGH INCOME L/S FD 0.1%

Value ($000) $189 Shares 13,382 Est. Cost $15.61 Unrealized —

— QUMU CORP 0.1%

Value ($000) $155 Shares 40,300 Est. Cost $8.24 Unrealized —

— NEURALSTEM INC 0.0%

Value ($000) $44 Shares 38,350 Est. Cost $1.87 Unrealized —

— DAKOTA PLAINS HLDGS INC 0.0%

Value ($000) $35 Shares 38,219 Est. Cost $1.19 Unrealized —

CBKCQ CHRISTOPHER & BANKS CORP 0.0%

Value ($000) $19 Shares 17,280 Est. Cost $2.49 Unrealized 0.0%

— LINN ENERGY LLC 0.0%

Value ($000) $13 Shares 13,175 Est. Cost $0.99 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
SPY	SPDR S&P 500 ETF TR	184,826	$35,418	22.3%	$206.72	—	TR UNIT	78462F103
IWF	ISHARES TR	251,662	$16,599	10.5%	$87.17	—	RUS 1000 GRW ETF	464287614
IWD	ISHARES TR	241,347	$15,810	10.0%	$91.36	—	RUS 1000 VAL ETF	464287598
—	CLEARBRIDGE ENERGY MLP FD IN	888,216	$15,047	9.5%	$24.83	—	COM	184692101
IWS	ISHARES TR	208,280	$13,974	8.8%	$72.69	—	RUS MDCP VAL ETF	464287473
IWP	ISHARES TR	148,749	$13,181	8.3%	$95.22	—	RUS MD CP GR ETF	464287481
IJT	ISHARES TR	167,876	$12,697	8.0%	$105.72	—	SP SMCP600GR ETF	464287887
IJS	ISHARES TR	111,700	$11,705	7.4%	$115.43	—	SP SMCP600VL ETF	464287879
AMP	AMERIPRISE FINL INC	59,142	$5,131	3.2%	$100.04	-5.4%	COM	03076C106
TGT	TARGET CORP	34,595	$3,287	2.1%	$51.04	+14.9%	COM	87612E106
—	CHAMBERS STR PPTYS	422,378	$2,741	1.7%	$8.09	—	COM	157842105
MMM	3M CO	10,655	$1,511	1.0%	$89.68	-2.4%	COM	88579Y101
—	PROVIDENCE SVC CORP	933,383	$1,415	0.9%	$1.52	—	COM	743815102
—	CELGENE CORP	9,793	$1,075	0.7%	$112.04	—	COM	151020104
HWKN	HAWKINS INC	26,887	$1,035	0.7%	$19.43	-2.7%	COM	420261109
AAPL	APPLE INC	8,612	$950	0.6%	$24.23	+8.5%	COM	037833100
PG	PROCTER & GAMBLE CO	12,700	$914	0.6%	$63.98	-11.9%	COM	742718109
MSFT	MICROSOFT CORP	12,583	$558	0.4%	$39.82	-2.3%	COM	594918104
—	POWERSHARES DB CMDTY IDX TRA	34,920	$512	0.3%	$16.74	—	UNIT BEN INT	73935S105
XOM	EXXON MOBIL CORP	6,220	$462	0.3%	$57.38	-14.5%	COM	30231G102
DIS	DISNEY WALT CO	3,175	$324	0.2%	$83.33	+19.7%	COM DISNEY	254687106
T	AT&T INC	9,590	$312	0.2%	$11.84	+3.6%	COM	00206R102
BBY	BEST BUY INC	61,054	$306	0.2%	$23.72	-0.8%	COM	086516101
MDY	SPDR S&P MIDCAP 400 ETF TR	1,100	$274	0.2%	$249.09	—	UTSER1 S&PDCRP	78467Y107
UNH	UNITEDHEALTH GROUP INC	69,770	$271	0.2%	$99.72	+1.5%	COM	91324P102
TBT	PROSHARES TR	6,000	$260	0.2%	$46.33	—	PSHS ULTSH 20YRS	74347B201
WFC	WELLS FARGO & CO NEW	5,029	$258	0.2%	$41.08	0.0%	COM	949746101
VNQ	VANGUARD INDEX FDS	3,360	$254	0.2%	$75.60	—	REIT ETF	922908553
—	GENERAL ELECTRIC CO	9,995	$252	0.2%	$25.40	—	COM	369604103
TIP	ISHARES TR	2,232	$247	0.2%	$112.12	—	TIPS BD ETF	464287176
MDT	MEDTRONIC PLC	3,655	$245	0.2%	$58.13	-2.0%	SHS	G5960L103
MOS	MOSAIC CO NEW	6,861	$213	0.1%	$36.11	-7.1%	COM	61945C103
TSLA	TESLA MTRS INC	855	$212	0.1%	$15.81	+7.5%	COM	88160R101
GIS	GENERAL MLS INC	3,754	$211	0.1%	$35.24	+13.4%	COM	370334104
—	POTASH CORP SASK INC	10,262	$211	0.1%	$20.56	—	COM	73755L107
ADP	AUTOMATIC DATA PROCESSING IN	17,360	$210	0.1%	$63.87	0.0%	COM	053015103
UPS	UNITED PARCEL SERVICE INC	2,079	$205	0.1%	$69.37	-2.3%	CL B	911312106
—	FIRST TR HIGH INCOME L/S FD	13,382	$189	0.1%	$15.61	—	COM	33738E109
—	QUMU CORP	40,300	$155	0.1%	$8.24	—	COM	749063103
—	NEURALSTEM INC	38,350	$44	0.0%	$1.87	—	COM	64127R302
—	DAKOTA PLAINS HLDGS INC	38,219	$35	0.0%	$1.19	—	COM	234255107
CBKCQ	CHRISTOPHER & BANKS CORP	17,280	$19	0.0%	$2.49	0.0%	COM	171046105
—	LINN ENERGY LLC	13,175	$13	0.0%	$0.99	—	UNIT LTD LIAB	536020100