NorthRock Partners, LLC Diversified Active

CIK: 0001632097 · Show all filings

Period: Q1 2017 (← Previous) (Next →)

Filing Date: May 12, 2017

Total Value ($000): $232,154 (100.0% shares, 0.0% debt)

Holdings (44)

SPY SPDR S&P 500 ETF TR 26.4%

Value ($000) $61,379 Shares 260,366 Est. Cost $206.53 Unrealized —

IWF ISHARES TR 13.7%

Value ($000) $31,895 Shares 280,262 Est. Cost $91.77 Unrealized —

IWD ISHARES TR 13.6%

Value ($000) $31,547 Shares 274,441 Est. Cost $94.97 Unrealized —

— CLEARBRIDGE ENERGY MLP FD IN 8.9%

Value ($000) $20,659 Shares 1,225,265 Est. Cost $19.62 Unrealized —

IWS ISHARES TR 6.0%

Value ($000) $13,892 Shares 167,832 Est. Cost $72.72 Unrealized —

IWP ISHARES TR 5.7%

Value ($000) $13,195 Shares 127,201 Est. Cost $95.12 Unrealized —

IJT ISHARES TR 5.3%

Value ($000) $12,364 Shares 80,753 Est. Cost $106.90 Unrealized —

IJS ISHARES TR 5.2%

Value ($000) $12,111 Shares 87,651 Est. Cost $114.96 Unrealized —

AMP AMERIPRISE FINL INC 4.1%

Value ($000) $9,542 Shares 74,488 Est. Cost $81.89 Unrealized +26.8%

BRK/B BERKSHIRE HATHAWAY INC DEL 1.7%

Value ($000) $3,843 Shares 22,989 Est. Cost $153.96 Unrealized +8.7%

SPTM SPDR SERIES TRUST 1.2%

Value ($000) $2,695 Shares 15,263 Est. Cost $167.42 Unrealized —

IJR ISHARES TR 1.1%

Value ($000) $2,548 Shares 37,282 Est. Cost $134.79 Unrealized —

SCHM SCHWAB STRATEGIC TR 1.0%

Value ($000) $2,423 Shares 51,179 Est. Cost $45.14 Unrealized —

EFA ISHARES TR 0.6%

Value ($000) $1,502 Shares 24,042 Est. Cost $57.74 Unrealized —

HWKN HAWKINS INC 0.5%

Value ($000) $1,224 Shares 27,488 Est. Cost $19.81 Unrealized +28.5%

XLV SELECT SECTOR SPDR TR 0.5%

Value ($000) $1,085 Shares 14,585 Est. Cost $68.92 Unrealized —

— CELGENE CORP 0.4%

Value ($000) $1,007 Shares 8,085 Est. Cost $101.85 Unrealized —

AAPL APPLE INC 0.4%

Value ($000) $883 Shares 6,140 Est. Cost $24.17 Unrealized +25.9%

ATI ALLEGHENY TECHNOLOGIES INC 0.3%

Value ($000) $746 Shares 41,538 Est. Cost $18.80 Unrealized 0.0%

VONV VANGUARD SCOTTSDALE FDS 0.3%

Value ($000) $639 Shares 6,360 Est. Cost $86.64 Unrealized —

MDY SPDR S&P MIDCAP 400 ETF TR 0.2%

Value ($000) $525 Shares 1,681 Est. Cost $267.86 Unrealized —

Value ($000) $475 Shares 2,482 Est. Cost $94.11 Unrealized +20.8%

PG PROCTER AND GAMBLE CO 0.2%

Value ($000) $474 Shares 5,270 Est. Cost $63.93 Unrealized +9.5%

VOE VANGUARD INDEX FDS 0.2%

Value ($000) $356 Shares 3,495 Est. Cost $87.47 Unrealized —

DIS DISNEY WALT CO 0.2%

Value ($000) $351 Shares 3,103 Est. Cost $88.99 Unrealized +15.8%

VOT VANGUARD INDEX FDS 0.1%

Value ($000) $344 Shares 3,050 Est. Cost $100.33 Unrealized —

IVV ISHARES TR 0.1%

Value ($000) $338 Shares 1,428 Est. Cost $225.61 Unrealized —

T AT&T INC 0.1%

Value ($000) $337 Shares 8,137 Est. Cost $13.76 Unrealized +21.6%

VBR VANGUARD INDEX FDS 0.1%

Value ($000) $294 Shares 2,390 Est. Cost $101.61 Unrealized —

VBK VANGUARD INDEX FDS 0.1%

Value ($000) $290 Shares 2,065 Est. Cost $83.78 Unrealized —

SUSA ISHARES TR 0.1%

Value ($000) $289 Shares 2,945 Est. Cost $90.78 Unrealized —

MSFT MICROSOFT CORP 0.1%

Value ($000) $282 Shares 34,442 Est. Cost $54.99 Unrealized +5.2%

TGT TARGET CORP 0.1%

Value ($000) $277 Shares 4,928 Est. Cost $55.37 Unrealized -13.3%

— GENERAL ELECTRIC CO 0.1%

Value ($000) $262 Shares 8,762 Est. Cost $29.70 Unrealized —

BRK/A BERKSHIRE HATHAWAY INC DEL 0.1%

Value ($000) $250 Shares 1 Est. Cost $199512.94 Unrealized +25.7%

MCD MCDONALDS CORP 0.1%

Value ($000) $250 Shares 1,931 Est. Cost $101.70 Unrealized 0.0%

VNQ VANGUARD INDEX FDS 0.1%

Value ($000) $249 Shares 3,011 Est. Cost $75.77 Unrealized —

XEL XCEL ENERGY INC 0.1%

Value ($000) $234 Shares 5,232 Est. Cost $30.13 Unrealized +7.0%

CMCSA COMCAST CORP NEW 0.1%

Value ($000) $233 Shares 6,198 Est. Cost $29.92 Unrealized 0.0%

HON HONEYWELL INTL INC 0.1%

Value ($000) $227 Shares 1,820 Est. Cost $91.92 Unrealized 0.0%

IWR ISHARES TR 0.1%

Value ($000) $217 Shares 1,163 Est. Cost $179.28 Unrealized —

BBY BEST BUY INC 0.1%

Value ($000) $202 Shares 4,082 Est. Cost $22.67 Unrealized +43.5%

— ANNALY CAP MGMT INC 0.1%

Value ($000) $168 Shares 15,083 Est. Cost $10.29 Unrealized —

CBKCQ CHRISTOPHER & BANKS CORP 0.0%

Value ($000) $51 Shares 34,500 Est. Cost $1.99 Unrealized -26.6%

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
SPY	SPDR S&P 500 ETF TR	260,366	$61,379	26.4%	$206.53	—	TR UNIT	78462F103
IWF	ISHARES TR	280,262	$31,895	13.7%	$91.77	—	RUS 1000 GRW ETF	464287614
IWD	ISHARES TR	274,441	$31,547	13.6%	$94.97	—	RUS 1000 VAL ETF	464287598
—	CLEARBRIDGE ENERGY MLP FD IN	1,225,265	$20,659	8.9%	$19.62	—	COM	184692101
IWS	ISHARES TR	167,832	$13,892	6.0%	$72.72	—	RUS MDCP VAL ETF	464287473
IWP	ISHARES TR	127,201	$13,195	5.7%	$95.12	—	RUS MD CP GR ETF	464287481
IJT	ISHARES TR	80,753	$12,364	5.3%	$106.90	—	SP SMCP600GR ETF	464287887
IJS	ISHARES TR	87,651	$12,111	5.2%	$114.96	—	SP SMCP600VL ETF	464287879
AMP	AMERIPRISE FINL INC	74,488	$9,542	4.1%	$81.89	+26.8%	COM	03076C106
BRK/B	BERKSHIRE HATHAWAY INC DEL	22,989	$3,843	1.7%	$153.96	+8.7%	CL B NEW	084670702
SPTM	SPDR SERIES TRUST	15,263	$2,695	1.2%	$167.42	—	RUSSELL 3000 ETF	78464A805
IJR	ISHARES TR	37,282	$2,548	1.1%	$134.79	—	CORE S&P SCP ETF	464287804
SCHM	SCHWAB STRATEGIC TR	51,179	$2,423	1.0%	$45.14	—	US MID-CAP ETF	808524508
EFA	ISHARES TR	24,042	$1,502	0.6%	$57.74	—	MSCI EAFE ETF	464287465
HWKN	HAWKINS INC	27,488	$1,224	0.5%	$19.81	+28.5%	COM	420261109
XLV	SELECT SECTOR SPDR TR	14,585	$1,085	0.5%	$68.92	—	SBI HEALTHCARE	81369Y209
—	CELGENE CORP	8,085	$1,007	0.4%	$101.85	—	COM	151020104
AAPL	APPLE INC	6,140	$883	0.4%	$24.17	+25.9%	COM	037833100
ATI	ALLEGHENY TECHNOLOGIES INC	41,538	$746	0.3%	$18.80	0.0%	COM	01741R102
VONV	VANGUARD SCOTTSDALE FDS	6,360	$639	0.3%	$86.64	—	VNG RUS1000VAL	92206C714
MDY	SPDR S&P MIDCAP 400 ETF TR	1,681	$525	0.2%	$267.86	—	UTSER1 S&PDCRP	78467Y107
MMM	3M CO	2,482	$475	0.2%	$94.11	+20.8%	COM	88579Y101
PG	PROCTER AND GAMBLE CO	5,270	$474	0.2%	$63.93	+9.5%	COM	742718109
VOE	VANGUARD INDEX FDS	3,495	$356	0.2%	$87.47	—	MCAP VL IDXVIP	922908512
DIS	DISNEY WALT CO	3,103	$351	0.2%	$88.99	+15.8%	COM DISNEY	254687106
VOT	VANGUARD INDEX FDS	3,050	$344	0.1%	$100.33	—	MCAP GR IDXVIP	922908538
IVV	ISHARES TR	1,428	$338	0.1%	$225.61	—	CORE S&P500 ETF	464287200
T	AT&T INC	8,137	$337	0.1%	$13.76	+21.6%	COM	00206R102
VBR	VANGUARD INDEX FDS	2,390	$294	0.1%	$101.61	—	SM CP VAL ETF	922908611
VBK	VANGUARD INDEX FDS	2,065	$290	0.1%	$83.78	—	SML CP GRW ETF	922908595
SUSA	ISHARES TR	2,945	$289	0.1%	$90.78	—	USA ESG SLCT ETF	464288802
MSFT	MICROSOFT CORP	34,442	$282	0.1%	$54.99	+5.2%	COM	594918104
TGT	TARGET CORP	4,928	$277	0.1%	$55.37	-13.3%	COM	87612E106
—	GENERAL ELECTRIC CO	8,762	$262	0.1%	$29.70	—	COM	369604103
BRK/A	BERKSHIRE HATHAWAY INC DEL	1	$250	0.1%	$199512.94	+25.7%	CL A	084670108
MCD	MCDONALDS CORP	1,931	$250	0.1%	$101.70	0.0%	COM	580135101
VNQ	VANGUARD INDEX FDS	3,011	$249	0.1%	$75.77	—	REIT ETF	922908553
XEL	XCEL ENERGY INC	5,232	$234	0.1%	$30.13	+7.0%	COM	98389B100
CMCSA	COMCAST CORP NEW	6,198	$233	0.1%	$29.92	0.0%	CL A	20030N101
HON	HONEYWELL INTL INC	1,820	$227	0.1%	$91.92	0.0%	COM	438516106
IWR	ISHARES TR	1,163	$217	0.1%	$179.28	—	RUS MID CAP ETF	464287499
BBY	BEST BUY INC	4,082	$202	0.1%	$22.67	+43.5%	COM	086516101
—	ANNALY CAP MGMT INC	15,083	$168	0.1%	$10.29	—	COM	035710409
CBKCQ	CHRISTOPHER & BANKS CORP	34,500	$51	0.0%	$1.99	-26.6%	COM	171046105