NorthRock Partners, LLC Diversified Active

CIK: 0001632097 · Show all filings

Period: Q4 2015 (← Previous) (Next →)

Filing Date: Feb 11, 2016

Total Value ($000): $170,749 (100.0% shares, 0.0% debt)

Holdings (40)

SPY SPDR S&P 500 ETF TR 23.3%

Value ($000) $39,722 Shares 193,723 Est. Cost $206.64 Unrealized —

IWF ISHARES TR 10.7%

Value ($000) $18,226 Shares 183,384 Est. Cost $87.17 Unrealized —

IWD ISHARES TR 10.3%

Value ($000) $17,624 Shares 180,117 Est. Cost $91.36 Unrealized —

IWS ISHARES TR 8.9%

Value ($000) $15,139 Shares 220,568 Est. Cost $72.46 Unrealized —

IWP ISHARES TR 8.5%

Value ($000) $14,555 Shares 158,302 Est. Cost $95.02 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 8.4%

Value ($000) $14,317 Shares 942,012 Est. Cost $24.28 Unrealized —

IJT ISHARES TR 7.9%

Value ($000) $13,429 Shares 108,063 Est. Cost $105.72 Unrealized —

IJS ISHARES TR 7.6%

Value ($000) $12,972 Shares 119,988 Est. Cost $114.92 Unrealized —

AMP AMERIPRISE FINL INC 3.3%

Value ($000) $5,691 Shares 53,466 Est. Cost $100.04 Unrealized -9.8%

— GRAMERCY PPTY TR 2.0%

Value ($000) $3,447 Shares 445,233 Est. Cost $7.74 Unrealized —

TGT TARGET CORP 1.8%

Value ($000) $3,044 Shares 34,697 Est. Cost $51.04 Unrealized +8.3%

Value ($000) $1,552 Shares 10,299 Est. Cost $89.68 Unrealized +2.7%

PG PROCTER & GAMBLE CO 0.6%

Value ($000) $1,017 Shares 12,803 Est. Cost $63.98 Unrealized -9.4%

— CELGENE CORP 0.6%

Value ($000) $994 Shares 8,393 Est. Cost $112.04 Unrealized —

— PROVIDENCE SVC CORP 0.5%

Value ($000) $929 Shares 19,793 Est. Cost $1.52 Unrealized —

HWKN HAWKINS INC 0.5%

Value ($000) $928 Shares 25,922 Est. Cost $19.43 Unrealized +2.3%

AAPL APPLE INC 0.5%

Value ($000) $838 Shares 7,947 Est. Cost $24.23 Unrealized +6.2%

— EATON VANCE FLTING RATE INC 0.4%

Value ($000) $735 Shares 62,007 Est. Cost $11.85 Unrealized —

XLE SELECT SECTOR SPDR TR 0.3%

Value ($000) $508 Shares 8,420 Est. Cost $60.33 Unrealized —

VUG VANGUARD INDEX FDS 0.3%

Value ($000) $507 Shares 39,118 Est. Cost $12.96 Unrealized —

XOM EXXON MOBIL CORP 0.3%

Value ($000) $486 Shares 6,247 Est. Cost $57.38 Unrealized -10.4%

T AT&T INC 0.2%

Value ($000) $330 Shares 9,600 Est. Cost $11.84 Unrealized +5.0%

DIS DISNEY WALT CO 0.2%

Value ($000) $328 Shares 3,086 Est. Cost $83.33 Unrealized +22.7%

— GENERAL ELECTRIC CO 0.2%

Value ($000) $308 Shares 9,858 Est. Cost $25.40 Unrealized —

MDY SPDR S&P MIDCAP 400 ETF TR 0.2%

Value ($000) $280 Shares 1,100 Est. Cost $249.09 Unrealized —

MDT MEDTRONIC PLC 0.2%

Value ($000) $274 Shares 3,549 Est. Cost $58.13 Unrealized +0.7%

WFC WELLS FARGO & CO NEW 0.2%

Value ($000) $272 Shares 5,029 Est. Cost $41.08 Unrealized -0.6%

TBT PROSHARES TR 0.2%

Value ($000) $264 Shares 6,000 Est. Cost $46.33 Unrealized —

MSFT MICROSOFT CORP 0.2%

Value ($000) $258 Shares 4,699 Est. Cost $39.82 Unrealized +15.3%

VNQ VANGUARD INDEX FDS 0.1%

Value ($000) $248 Shares 3,117 Est. Cost $75.60 Unrealized —

GIS GENERAL MLS INC 0.1%

Value ($000) $210 Shares 3,654 Est. Cost $35.24 Unrealized +14.8%

ADP AUTOMATIC DATA PROCESSING IN 0.1%

Value ($000) $207 Shares 2,432 Est. Cost $63.87 Unrealized +8.2%

MRK MERCK & CO INC NEW 0.1%

Value ($000) $204 Shares 3,817 Est. Cost $36.77 Unrealized 0.0%

BBY BEST BUY INC 0.1%

Value ($000) $203 Shares 6,675 Est. Cost $23.72 Unrealized -3.5%

VWO VANGUARD INTL EQUITY INDEX F 0.1%

Value ($000) $201 Shares 6,151 Est. Cost $32.68 Unrealized —

— FIRST TR HIGH INCOME L/S FD 0.1%

Value ($000) $192 Shares 13,666 Est. Cost $15.57 Unrealized —

— DAKOTA PLAINS HLDGS INC 0.1%

Value ($000) $111 Shares 444,600 Est. Cost $0.33 Unrealized —

— QUMU CORP 0.1%

Value ($000) $109 Shares 40,300 Est. Cost $8.24 Unrealized —

CBKCQ CHRISTOPHER & BANKS CORP 0.0%

Value ($000) $53 Shares 32,000 Est. Cost $1.97 Unrealized -31.4%

— NEURALSTEM INC 0.0%

Value ($000) $37 Shares 36,000 Est. Cost $1.87 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
SPY	SPDR S&P 500 ETF TR	193,723	$39,722	23.3%	$206.64	—	TR UNIT	78462F103
IWF	ISHARES TR	183,384	$18,226	10.7%	$87.17	—	RUS 1000 GRW ETF	464287614
IWD	ISHARES TR	180,117	$17,624	10.3%	$91.36	—	RUS 1000 VAL ETF	464287598
IWS	ISHARES TR	220,568	$15,139	8.9%	$72.46	—	RUS MDCP VAL ETF	464287473
IWP	ISHARES TR	158,302	$14,555	8.5%	$95.02	—	RUS MD CP GR ETF	464287481
—	CLEARBRIDGE ENERGY MLP FD IN	942,012	$14,317	8.4%	$24.28	—	COM	184692101
IJT	ISHARES TR	108,063	$13,429	7.9%	$105.72	—	SP SMCP600GR ETF	464287887
IJS	ISHARES TR	119,988	$12,972	7.6%	$114.92	—	SP SMCP600VL ETF	464287879
AMP	AMERIPRISE FINL INC	53,466	$5,691	3.3%	$100.04	-9.8%	COM	03076C106
—	GRAMERCY PPTY TR	445,233	$3,447	2.0%	$7.74	—	COM	385002100
TGT	TARGET CORP	34,697	$3,044	1.8%	$51.04	+8.3%	COM	87612E106
MMM	3M CO	10,299	$1,552	0.9%	$89.68	+2.7%	COM	88579Y101
PG	PROCTER & GAMBLE CO	12,803	$1,017	0.6%	$63.98	-9.4%	COM	742718109
—	CELGENE CORP	8,393	$994	0.6%	$112.04	—	COM	151020104
—	PROVIDENCE SVC CORP	19,793	$929	0.5%	$1.52	—	COM	743815102
HWKN	HAWKINS INC	25,922	$928	0.5%	$19.43	+2.3%	COM	420261109
AAPL	APPLE INC	7,947	$838	0.5%	$24.23	+6.2%	COM	037833100
—	EATON VANCE FLTING RATE INC	62,007	$735	0.4%	$11.85	—	COM	278279104
XLE	SELECT SECTOR SPDR TR	8,420	$508	0.3%	$60.33	—	SBI INT-ENERGY	81369Y506
VUG	VANGUARD INDEX FDS	39,118	$507	0.3%	$12.96	—	GROWTH ETF	922908736
XOM	EXXON MOBIL CORP	6,247	$486	0.3%	$57.38	-10.4%	COM	30231G102
T	AT&T INC	9,600	$330	0.2%	$11.84	+5.0%	COM	00206R102
DIS	DISNEY WALT CO	3,086	$328	0.2%	$83.33	+22.7%	COM DISNEY	254687106
—	GENERAL ELECTRIC CO	9,858	$308	0.2%	$25.40	—	COM	369604103
MDY	SPDR S&P MIDCAP 400 ETF TR	1,100	$280	0.2%	$249.09	—	UTSER1 S&PDCRP	78467Y107
MDT	MEDTRONIC PLC	3,549	$274	0.2%	$58.13	+0.7%	SHS	G5960L103
WFC	WELLS FARGO & CO NEW	5,029	$272	0.2%	$41.08	-0.6%	COM	949746101
TBT	PROSHARES TR	6,000	$264	0.2%	$46.33	—	PSHS ULTSH 20YRS	74347B201
MSFT	MICROSOFT CORP	4,699	$258	0.2%	$39.82	+15.3%	COM	594918104
VNQ	VANGUARD INDEX FDS	3,117	$248	0.1%	$75.60	—	REIT ETF	922908553
GIS	GENERAL MLS INC	3,654	$210	0.1%	$35.24	+14.8%	COM	370334104
ADP	AUTOMATIC DATA PROCESSING IN	2,432	$207	0.1%	$63.87	+8.2%	COM	053015103
MRK	MERCK & CO INC NEW	3,817	$204	0.1%	$36.77	0.0%	COM	58933Y105
BBY	BEST BUY INC	6,675	$203	0.1%	$23.72	-3.5%	COM	086516101
VWO	VANGUARD INTL EQUITY INDEX F	6,151	$201	0.1%	$32.68	—	FTSE EMR MKT ETF	922042858
—	FIRST TR HIGH INCOME L/S FD	13,666	$192	0.1%	$15.57	—	COM	33738E109
—	DAKOTA PLAINS HLDGS INC	444,600	$111	0.1%	$0.33	—	COM	234255107
—	QUMU CORP	40,300	$109	0.1%	$8.24	—	COM	749063103
CBKCQ	CHRISTOPHER & BANKS CORP	32,000	$53	0.0%	$1.97	-31.4%	COM	171046105
—	NEURALSTEM INC	36,000	$37	0.0%	$1.87	—	COM	64127R302