NorthRock Partners, LLC Diversified Active

CIK: 0001632097 · Show all filings

Period: Q2 2016 (← Previous) (Next →)

Filing Date: Aug 10, 2016

Total Value ($000): $223,390 (100.0% shares, 0.0% debt)

Holdings (47)

SPY SPDR S&P 500 ETF TR 25.5%

Value ($000) $57,018 Shares 272,198 Est. Cost $206.53 Unrealized —

IWD ISHARES TR 12.4%

Value ($000) $27,734 Shares 268,633 Est. Cost $94.08 Unrealized —

IWF ISHARES TR 12.2%

Value ($000) $27,228 Shares 271,148 Est. Cost $91.27 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 11.6%

Value ($000) $25,834 Shares 1,621,958 Est. Cost $19.81 Unrealized —

TGT TARGET CORP 7.8%

Value ($000) $17,349 Shares 238,113 Est. Cost $55.37 Unrealized +1.3%

IWS ISHARES TR 5.5%

Value ($000) $12,392 Shares 166,804 Est. Cost $72.46 Unrealized —

IWP ISHARES TR 5.2%

Value ($000) $11,686 Shares 124,991 Est. Cost $95.02 Unrealized —

IJT ISHARES TR 4.8%

Value ($000) $10,807 Shares 84,170 Est. Cost $106.09 Unrealized —

IJS ISHARES TR 4.7%

Value ($000) $10,540 Shares 90,145 Est. Cost $114.96 Unrealized —

— GRAMERCY PPTY TR 1.7%

Value ($000) $3,821 Shares 409,872 Est. Cost $7.74 Unrealized —

Value ($000) $2,744 Shares 17,356 Est. Cost $94.11 Unrealized +8.9%

AMP AMERIPRISE FINL INC 0.9%

Value ($000) $2,033 Shares 22,539 Est. Cost $86.38 Unrealized -8.3%

HWKN HAWKINS INC 0.5%

Value ($000) $1,128 Shares 25,962 Est. Cost $19.36 Unrealized +3.9%

PG PROCTER & GAMBLE CO 0.5%

Value ($000) $1,096 Shares 12,934 Est. Cost $63.93 Unrealized -0.9%

— PROVIDENCE SVC CORP 0.4%

Value ($000) $905 Shares 20,174 Est. Cost $5.58 Unrealized —

AAPL APPLE INC 0.4%

Value ($000) $809 Shares 8,465 Est. Cost $24.13 Unrealized -6.3%

KO COCA COLA CO 0.3%

Value ($000) $765 Shares 16,882 Est. Cost $33.31 Unrealized 0.0%

BBY BEST BUY INC 0.3%

Value ($000) $632 Shares 21,115 Est. Cost $22.67 Unrealized -1.2%

UNH UNITEDHEALTH GROUP INC 0.3%

Value ($000) $605 Shares 4,287 Est. Cost $104.66 Unrealized +9.1%

MOS MOSAIC CO NEW 0.3%

Value ($000) $577 Shares 22,033 Est. Cost $22.19 Unrealized 0.0%

XLE SELECT SECTOR SPDR TR 0.3%

Value ($000) $577 Shares 8,456 Est. Cost $60.33 Unrealized —

— CELGENE CORP 0.3%

Value ($000) $571 Shares 6,189 Est. Cost $98.69 Unrealized —

VONV VANGUARD SCOTTSDALE FDS 0.3%

Value ($000) $571 Shares 6,360 Est. Cost $86.64 Unrealized —

XOM EXXON MOBIL CORP 0.2%

Value ($000) $523 Shares 5,598 Est. Cost $57.38 Unrealized +0.8%

UPS UNITED PARCEL SERVICE INC 0.2%

Value ($000) $400 Shares 3,714 Est. Cost $70.02 Unrealized +4.4%

IBM INTERNATIONAL BUSINESS MACHS 0.2%

Value ($000) $378 Shares 3,882 Est. Cost $95.13 Unrealized 0.0%

BSX BOSTON SCIENTIFIC CORP 0.2%

Value ($000) $354 Shares 15,130 Est. Cost $20.82 Unrealized +3.9%

VOE VANGUARD INDEX FDS 0.1%

Value ($000) $311 Shares 3,495 Est. Cost $86.98 Unrealized —

VOT VANGUARD INDEX FDS 0.1%

Value ($000) $311 Shares 3,050 Est. Cost $100.33 Unrealized —

VBK VANGUARD INDEX FDS 0.1%

Value ($000) $308 Shares 5,134 Est. Cost $83.78 Unrealized —

MDY SPDR S&P MIDCAP 400 ETF TR 0.1%

Value ($000) $300 Shares 1,100 Est. Cost $249.09 Unrealized —

T AT&T INC 0.1%

Value ($000) $296 Shares 6,846 Est. Cost $11.84 Unrealized +27.6%

MDT MEDTRONIC PLC 0.1%

Value ($000) $294 Shares 3,406 Est. Cost $58.24 Unrealized +9.0%

MSFT MICROSOFT CORP 0.1%

Value ($000) $279 Shares 5,445 Est. Cost $41.07 Unrealized +12.0%

VNQ VANGUARD INDEX FDS 0.1%

Value ($000) $270 Shares 3,026 Est. Cost $75.60 Unrealized —

VBR VANGUARD INDEX FDS 0.1%

Value ($000) $263 Shares 2,490 Est. Cost $101.61 Unrealized —

GIS GENERAL MLS INC 0.1%

Value ($000) $253 Shares 3,554 Est. Cost $35.24 Unrealized +29.0%

VWO VANGUARD INTL EQUITY INDEX F 0.1%

Value ($000) $218 Shares 6,151 Est. Cost $32.68 Unrealized —

BRK/A BERKSHIRE HATHAWAY INC DEL 0.1%

Value ($000) $217 Shares 1 Est. Cost $199512.94 Unrealized +7.5%

JNJ JOHNSON & JOHNSON 0.1%

Value ($000) $214 Shares 1,766 Est. Cost $87.05 Unrealized 0.0%

WFC WELLS FARGO & CO NEW 0.1%

Value ($000) $205 Shares 4,343 Est. Cost $40.17 Unrealized -7.3%

ADP AUTOMATIC DATA PROCESSING IN 0.1%

Value ($000) $203 Shares 2,197 Est. Cost $63.96 Unrealized +12.2%

— QUMU CORP 0.1%

Value ($000) $178 Shares 40,000 Est. Cost $8.24 Unrealized —

CBKCQ CHRISTOPHER & BANKS CORP 0.0%

Value ($000) $75 Shares 34,500 Est. Cost $1.99 Unrealized +16.3%

— EATON VANCE FLTING RATE INC 0.0%

Value ($000) $58 Shares 14,291 Est. Cost $11.85 Unrealized —

— DAKOTA PLAINS HLDGS INC 0.0%

Value ($000) $49 Shares 444,600 Est. Cost $0.33 Unrealized —

— NEURALSTEM INC 0.0%

Value ($000) $11 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	272,198	$57,018	25.5%	$206.53	—	TR UNIT	78462F103
IWD	ISHARES TR	268,633	$27,734	12.4%	$94.08	—	RUS 1000 VAL ETF	464287598
IWF	ISHARES TR	271,148	$27,228	12.2%	$91.27	—	RUS 1000 GRW ETF	464287614
—	CLEARBRIDGE ENERGY MLP FD IN	1,621,958	$25,834	11.6%	$19.81	—	COM	184692101
TGT	TARGET CORP	238,113	$17,349	7.8%	$55.37	+1.3%	COM	87612E106
IWS	ISHARES TR	166,804	$12,392	5.5%	$72.46	—	RUS MDCP VAL ETF	464287473
IWP	ISHARES TR	124,991	$11,686	5.2%	$95.02	—	RUS MD CP GR ETF	464287481
IJT	ISHARES TR	84,170	$10,807	4.8%	$106.09	—	SP SMCP600GR ETF	464287887
IJS	ISHARES TR	90,145	$10,540	4.7%	$114.96	—	SP SMCP600VL ETF	464287879
—	GRAMERCY PPTY TR	409,872	$3,821	1.7%	$7.74	—	COM	385002100
MMM	3M CO	17,356	$2,744	1.2%	$94.11	+8.9%	COM	88579Y101
AMP	AMERIPRISE FINL INC	22,539	$2,033	0.9%	$86.38	-8.3%	COM	03076C106
HWKN	HAWKINS INC	25,962	$1,128	0.5%	$19.36	+3.9%	COM	420261109
PG	PROCTER & GAMBLE CO	12,934	$1,096	0.5%	$63.93	-0.9%	COM	742718109
—	PROVIDENCE SVC CORP	20,174	$905	0.4%	$5.58	—	COM	743815102
AAPL	APPLE INC	8,465	$809	0.4%	$24.13	-6.3%	COM	037833100
KO	COCA COLA CO	16,882	$765	0.3%	$33.31	0.0%	COM	191216100
BBY	BEST BUY INC	21,115	$632	0.3%	$22.67	-1.2%	COM	086516101
UNH	UNITEDHEALTH GROUP INC	4,287	$605	0.3%	$104.66	+9.1%	COM	91324P102
MOS	MOSAIC CO NEW	22,033	$577	0.3%	$22.19	0.0%	COM	61945C103
XLE	SELECT SECTOR SPDR TR	8,456	$577	0.3%	$60.33	—	SBI INT-ENERGY	81369Y506
—	CELGENE CORP	6,189	$571	0.3%	$98.69	—	COM	151020104
VONV	VANGUARD SCOTTSDALE FDS	6,360	$571	0.3%	$86.64	—	VNG RUS1000VAL	92206C714
XOM	EXXON MOBIL CORP	5,598	$523	0.2%	$57.38	+0.8%	COM	30231G102
UPS	UNITED PARCEL SERVICE INC	3,714	$400	0.2%	$70.02	+4.4%	CL B	911312106
IBM	INTERNATIONAL BUSINESS MACHS	3,882	$378	0.2%	$95.13	0.0%	COM	459200101
BSX	BOSTON SCIENTIFIC CORP	15,130	$354	0.2%	$20.82	+3.9%	COM	101137107
VOE	VANGUARD INDEX FDS	3,495	$311	0.1%	$86.98	—	MCAP VL IDXVIP	922908512
VOT	VANGUARD INDEX FDS	3,050	$311	0.1%	$100.33	—	MCAP GR IDXVIP	922908538
VBK	VANGUARD INDEX FDS	5,134	$308	0.1%	$83.78	—	SML CP GRW ETF	922908595
MDY	SPDR S&P MIDCAP 400 ETF TR	1,100	$300	0.1%	$249.09	—	UTSER1 S&PDCRP	78467Y107
T	AT&T INC	6,846	$296	0.1%	$11.84	+27.6%	COM	00206R102
MDT	MEDTRONIC PLC	3,406	$294	0.1%	$58.24	+9.0%	SHS	G5960L103
MSFT	MICROSOFT CORP	5,445	$279	0.1%	$41.07	+12.0%	COM	594918104
VNQ	VANGUARD INDEX FDS	3,026	$270	0.1%	$75.60	—	REIT ETF	922908553
VBR	VANGUARD INDEX FDS	2,490	$263	0.1%	$101.61	—	SM CP VAL ETF	922908611
GIS	GENERAL MLS INC	3,554	$253	0.1%	$35.24	+29.0%	COM	370334104
VWO	VANGUARD INTL EQUITY INDEX F	6,151	$218	0.1%	$32.68	—	FTSE EMR MKT ETF	922042858
BRK/A	BERKSHIRE HATHAWAY INC DEL	1	$217	0.1%	$199512.94	+7.5%	CL A	084670108
JNJ	JOHNSON & JOHNSON	1,766	$214	0.1%	$87.05	0.0%	COM	478160104
WFC	WELLS FARGO & CO NEW	4,343	$205	0.1%	$40.17	-7.3%	COM	949746101
ADP	AUTOMATIC DATA PROCESSING IN	2,197	$203	0.1%	$63.96	+12.2%	COM	053015103
—	QUMU CORP	40,000	$178	0.1%	$8.24	—	COM	749063103
CBKCQ	CHRISTOPHER & BANKS CORP	34,500	$75	0.0%	$1.99	+16.3%	COM	171046105
—	EATON VANCE FLTING RATE INC	14,291	$58	0.0%	$11.85	—	COM	278279104
—	DAKOTA PLAINS HLDGS INC	444,600	$49	0.0%	$0.33	—	COM	234255107
—	NEURALSTEM INC	36,000	$11	0.0%	$1.87	—	COM	64127R302