NorthRock Partners, LLC 13F Filing History & Holdings

CIK: 0001632097

Diversified strategyMomentum followerLong-term holder

Total reported value

$6.2B

Reporting period: 2026-03-31 · Number of holdings: 678

NorthRock Partners, LLC disclosed 678 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $6.2B and a quarterly turnover rate of 10.8%.

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Personality snowflake

Concentration: 10.52
Portfolio Stability: 10.76
Momentum/Contrarian: 100
Sector conviction: 63.61
Diversification: 100
Sizing Uniformity: 59.71

NorthRock Partners, LLC's disclosed holdings carry a Herfindahl concentration index of 0.026 — mathematically equivalent to about 38 equally-sized positions, well below its 678 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.

Position sizes vary widely across the portfolio (a coefficient of variation of 4.03), with a handful of outsized bets alongside many smaller positions.

No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.

Sector classification currently covers about 16% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.

Recent moves

Add IGF
+84.7%　$90.2M
Trim OEF
-92.1%　-$22.4M
Trim SPY
-1.7%　-$12.4M
Trim SPYG
+4.7%　-$8.7M
Trim MSFT
+6.8%　-$13.2M
Trim QQQ
+3.8%　-$5.7M

Holdings Map

New buyAddUnchangedTrim

Top 10 holdings by weight

Full holdings list this quarter

Showing top 200 holdings (of 678 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	JMTG	Mortgage-backed Securities	ETF-Other	8.01%	+0.19%	+7.42%
2	VOO	Vanguard S&p 500 ETF	ETF-Large Cap & Growth	5.67%	-0.20%	+6.14%
3	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-Large Cap & Growth	5.14%	-0.02%	+9.32%
4	VGSH	Vanguard Short-term Treasury	ETF-Gov Bonds	4.59%	-0.10%	+2.86%
5	SPYV	Ss Spdr P S&p 500 Value ETF	ETF-Large Cap & Growth	4.18%	-0.05%	+3.83%
6	SGOV	Ishares 0-3 Month Treasury B	ETF-Gov Bonds	3.64%	+0.22%	+11.07%
7	QQQ	Invesco Qqq Trust Series 1	ETF-Tech	3.63%	-0.26%	+3.81%
8	SPYG	Ss Spdr P S&p 500 Growth ETF	ETF-Large Cap & Growth	3.46%	-0.31%	+4.73%
9	AAPL	Apple INC	Stock-Tech	3.19%	-0.22%	+4.78%
10	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	2.99%	-0.35%	-1.72%
11	IGF	Ishares Global Infrastructur	ETF-Other	2.88%	+1.38%	+84.72%
12	HEFA	Isha Curr Hedged Msci Eafe	ETF-Other	2.11%	+0.22%	+13.34%
13	MDYV	Ss Spdr S&p 400 Mc Val ETF	ETF-Other	1.84%	-0.02%	+3.07%
14	IWB	Ishares Russell 1000 ETF	ETF-Other	1.71%	-0.17%	-0.17%
15	MDYG	Ss Spdr S&p 400 Mc Gr ETF	ETF-Other	1.68%	+0.04%	+2.71%
16	JMST	JPM Ultra-short Muni Income	ETF-Other	1.23%	+0.21%	+25.96%
17	SLYV	Ss Spdr S&p 600 Sc Val ETF	ETF-Other	1.22%	+0.02%	+2.08%
18	ROUS	Hartford Multifact US Eqty	ETF-Other	1.21%	—	-4.83%
19	IWR	Ishares Russell Mid-cap ETF	ETF-Other	1.11%	—	-1.55%
20	EFA	Ishares Msci Eafe ETF	ETF-Other	1.07%	—	+0.13%
21	IEMG	Ishares Core Msci Emerging	ETF-Emerging Markets	1.06%	+0.10%	+11.29%
22	SLYG	Ss Spdr S&p 600 Sc Gr ETF	ETF-Other	1.06%	+0.01%	+3.31%
23	MSFT	Microsoft CORP	Stock-Tech	0.95%	-0.27%	+6.77%
24	NVDA	Nvidia CORP	Stock-Tech	0.95%	—	+4.39%
25	IUSB	Ishr Cr Unvrse Usd Bd Etf-ui	ETF-Other	0.89%	—	+2.55%
26	SPEM	State Street Sp Ptf Em ETF	ETF-Other	0.85%	—	-0.19%
27	IEF	Ishares 7-10 Year Treasury B	ETF-Gov Bonds	0.81%	+0.15%	+28.39%
28	BUFR	Ft Vest Lad Buffervetf-usd I	ETF-Other	0.78%	+0.09%	+19.82%
29	IWM	Ishares Russell 2000 ETF	ETF-Small Cap	0.77%	—	+0.55%
30	VMBS	Vanguard Mortgage-backed Sec	ETF-Other	0.72%	—	-0.06%
31	MBB	Ishares Mbs ETF	ETF-Other	0.71%	—	+2.31%
32	IWF	Ishares Russell 1000 Growth	ETF-Other	0.66%	-0.13%	+288.12%
33	IJR	Ishares Core S&p Small-cap E	ETF-Small Cap	0.55%	—	-1.00%
34	IVE	Ishares S&p 500 Value ETF	ETF-Large Cap & Growth	0.53%	—	-4.66%
35	SPTI	Ss Spdr P Int Term Tsy ETF	ETF-Other	0.51%	—	+1.50%
36	TAFM	AB Tax Aware Inter Muni	ETF-Other	0.51%	—	-2.38%
37	AGG	Ishares Core U.s. Aggregate	ETF-Other	0.50%	—	+2.04%
38	VYMI	Vanguard Int High Dvd Yld In	ETF-Other	0.49%	—	-3.62%
39	VEA	Vanguard Ftse Developed ETF	ETF-Other	0.48%	—	-0.11%
40	MDLZ	Mondelez International Inc-a	Stock-Consumer Staples	0.48%	—	-1.07%
41	PGR	Progressive CORP	Stock-Financials	0.47%	-0.10%	-0.06%
42	PM	Philip Morris International	Stock-Consumer Staples	0.47%	—	-2.66%
43	SCHZ	Schwab US Aggregate Bond ETF	ETF-Other	0.45%	—	+1.96%
44	AMZN	Amazon.com INC	Stock-Consumer Disc	0.44%	—	+12.95%
45	QQQM	Invesco Nasdaq 100 ETF	ETF-Tech	0.43%	—	+4.21%
46	BDYN	Ishares Dyn Act ETF	ETF-Other	0.43%	—	+1.96%
47	VTI	Vanguard Total Stock Mkt ETF	ETF-Other	0.42%	—	-2.52%
48	DYNF	Ishrs US E F R A Etf-usd INC	ETF-Other	0.40%	-0.19%	-24.66%
49	PG	Procter & Gamble Co/the	Stock-Consumer Staples	0.38%	—	+0.68%
50	STIP	Ishares 0-5 Year Tips Bond E	ETF-Other	0.38%	—	+3.76%

1–50 of 200

Portfolio Performance

Performance for Q3 2026

+3.8%

Performance Last 4 Quarters

+19.3%

Based on 67% of reported portfolio value with available pricing

Stdev: +12.4%
Beta: +0.91
Alpha: -1.3%
Max Drawdown: -8.1%
Annualized Perf: +16%
Batting Avg vs S&P: +38.9%
Sortino: +2.51
Stutzer: +0.37
Treynor: +0.17
Sterling: +0.95
Calmar: +1.97
Information Ratio: -0.86
Tracking Error: +3.3%
Stdev Down: +6.2%
Winning Months %: +66.7%
Losing Months %: +33.3%
Best 12 Months: +35%
Worst 12 Months: +8%
Efficiency Ratio: +0.51
Sharpe: +1.26
Stdev Sectors: +10.5%
Skewness: +0.09
Kurtosis: -0.3
Upside Potential: +4.2

Reported value over time

Sector allocation

Sector allocation over time

Quarterly history

Period	Holdings	Total value	Stability	Top holdings
2026-03-31	678	$6.2B	11	1JMTG 2VOO 3SPYM Top holdings2026-03-31 1.JMTG 2.VOO 3.SPYM 4.VGSH 5.SPYV 6.SGOV 7.QQQ 8.SPYG 9.AAPL 10.SPY
2025-12-31	619	$5.9B	30	1JMTG 2VOO 3SPYM Top holdings2025-12-31 1.JMTG 2.VOO 3.SPYM 4.VGSH 5.SPYV 6.QQQ 7.SPYG 8.SGOV 9.AAPL 10.SPY
2025-09-30	871	$5.5B	40	1JMTG 2SPYM 3VOO Top holdings2025-09-30 1.JMTG 2.SPYM 3.VOO 4.VGSH 5.SPYV 6.SPYG 7.AAPL 8.SPY 9.SGOV 10.QQQ
2025-06-30	682	$3.8B	29	1JMTG 2SPYM 3SPYV Top holdings2025-06-30 1.JMTG 2.SPYM 3.SPYV 4.VGSH 5.SPYG 6.SPY 7.SGOV 8.AAPL 9.MDYV 10.MDYG
2025-03-31	852	$3.0B	11	1SPYV 2VGSH 3SPYM Top holdings2025-03-31 1.SPYV 2.VGSH 3.SPYM 4.SPY 5.SGOV 6.SPYG 7.AAPL 8.MDYV 9.MDYG 10.SLYV
2024-12-31	775	$3.1B	25	1SPYV 2SPYM 3VGSH Top holdings2024-12-31 1.SPYV 2.SPYM 3.VGSH 4.SPY 5.AAPL 6.SPYG 7.SGOV 8.MDYV 9.MDYG 10.SLYV
2024-09-30	833	$3.0B	17	1SPY 2SPYV 3AAPL Top holdings2024-09-30 1.SPY 2.SPYV 3.AAPL 4.SGOV 5.SPYG 6.VGSH 7.MDYV 8.MDYG 9.VOO 10.MSFT
2024-06-30	810	$2.7B	13	1SPY 2SPYV 3SGOV Top holdings2024-06-30 1.SPY 2.SPYV 3.SGOV 4.SPYG 5.AAPL 6.MDYV 7.MDYG 8.VOO 9.MSFT 10.SLYV
2024-03-31	814	$2.6B	14	1SPY 2SPYV 3SGOV Top holdings2024-03-31 1.SPY 2.SPYV 3.SGOV 4.SPYG 5.AAPL 6.MDYV 7.VOO 8.MDYG 9.MSFT 10.SLYV
2023-12-31	750	$2.4B	100	1SPY 2SPYV 3SGOV Top holdings2023-12-31 1.SPY 2.SPYV 3.SGOV 4.AAPL 5.SPYG 6.MDYV 7.VOO 8.MDYG 9.SLYV 10.MSFT
2023-09-30	354	$958.6M	0	1SPY 2SPYV 3SGOV Top holdings2023-09-30 1.SPY 2.SPYV 3.SGOV 4.SPYG 5.AAPL 6.MDYV 7.MDYG 8.SLYV 9.IWF 10.SLYG
2023-06-30	313	$913.1M	0	1SPY 2SPYV 3AAPL Top holdings2023-06-30 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SGOV 7.SLYV 8.MDYG 9.IWF 10.SLYG
2023-03-31	327	$939.4M	0	1SPY 2SPYV 3AAPL Top holdings2023-03-31 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDLZ 8.MDYG 9.SLYG 10.IWF
2022-12-31	342	$878.6M	0	1SPY 2SPYV 3AAPL Top holdings2022-12-31 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDLZ 8.MDYG 9.SLYG 10.EFA
2022-09-30	300	$860.4M	0	1SPY 2SPYV 3AAPL Top holdings2022-09-30 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDYG 8.SLYG 9.MDLZ 10.IWF
2022-06-30	305	$962.1M	0	1SPY 2SPYV 3AAPL Top holdings2022-06-30 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.TGT 7.SLYV 8.MDLZ 9.MDYG 10.SLYG
2022-03-31	337	$1.1B	0	1SPY 2SPYV 3AAPL Top holdings2022-03-31 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDYG 8.SLYG 9.MDLZ 10.TGT
2021-12-31	337	$1.3B	0	1SPY 2SPYV 3SPYG Top holdings2021-12-31 1.SPY 2.SPYV 3.SPYG 4.AAPL 5.MDYV 6.SLYV 7.SLYG 8.MDYG 9.MDLZ 10.IWF
2021-09-30	283	$1.2B	0	1SPY 2SPYV 3SPYG Top holdings2021-09-30 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.AAPL 6.SLYV 7.SLYG 8.MDYG 9.MDLZ 10.TGT
2021-06-30	257	$1.2B	96	1SPY 2SPYV 3SPYG Top holdings2021-06-30 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.TGT 6.SLYV 7.AAPL 8.SLYG 9.MDYG 10.MDLZ
2021-03-31	234	$1.1B	15	1SPY 2SPYV 3SPYG Top holdings2021-03-31 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.SLYV 6.AAPL 7.MDLZ 8.TGT 9.SLYG 10.MDYG
2020-12-31	233	$1.0B	16	1SPY 2SPYV 3SPYG Top holdings2020-12-31 1.SPY 2.SPYV 3.SPYG 4.AAPL 5.MDYV 6.SLYV 7.MDLZ 8.SLYG 9.TGT 10.MDYG
2020-09-30	222	$901.6M	16	1SPY 2SPYV 3SPYG Top holdings2020-09-30 1.SPY 2.SPYV 3.SPYG 4.AAPL 5.MDLZ 6.MDYV 7.SLYV 8.TGT 9.IWF 10.SLYG
2020-06-30	212	$844.1M	34	1SPY 2SPYV 3SPYG Top holdings2020-06-30 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.AAPL 6.SLYV 7.IWF 8.MDLZ 9.SLYG 10.MDYG
2020-03-31	200	$714.0M	37	1SPY 2SPYV 3SPYG Top holdings2020-03-31 1.SPY 2.SPYV 3.SPYG 4.PM 5.MDLZ 6.AAPL 7.IWF 8.MDYV 9.SLYV 10.EFV
2019-12-31	280	$946.7M	60	1SPY 2MDLZ 3PM Top holdings2019-12-31 1.SPY 2.MDLZ 3.PM 4.IWF 5.SPYV 6.AAPL 7.SPYG 8.IWD 9.MDYV 10.SLYV
2019-09-30	207	$733.5M	100	1SPY 2IWF 3IVV Top holdings2019-09-30 1.SPY 2.IWF 3.IVV 4.HDV 5.IWD 6.VYM 7.PM 8.ACWV 9.SPYV 10.MDLZ
2019-06-30	76	$349.7M	27	1SPY 2IWD 3IWF Top holdings2019-06-30 1.SPY 2.IWD 3.IWF 4.TGT 5.IWP 6.IWS 7.IJT 8.IJS 9.AMP 10.EFG
2019-03-31	90	$379.5M	21	1SPY 2IWD 3IWF Top holdings2019-03-31 1.SPY 2.IWD 3.IWF 4.46138J 5.184692 6.IWP 7.IWS 8.IJT 9.IJS 10.AMP
2018-12-31	99	$335.4M	29	1SPY 2IWD 3IWF Top holdings2018-12-31 1.SPY 2.IWD 3.IWF 4.46138J 5.IWS 6.184692 7.IWP 8.IJT 9.IJS 10.TGT
2018-09-30	65	$347.1M	18	1SPY 2IWF 3IWD Top holdings2018-09-30 1.SPY 2.IWF 3.IWD 4.46138J 5.184692 6.IWP 7.IWS 8.IJT 9.IJS 10.TGT
2018-06-30	60	$293.2M	13	1SPY 2IWF 3IWD Top holdings2018-06-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.219880 10.AMP
2018-03-31	58	$307.3M	7	1SPY 2IWF 3IWD Top holdings2018-03-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.219880 10.AMP
2017-12-31	56	$313.5M	21	1SPY 2IWF 3IWD Top holdings2017-12-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJS 8.IJT 9.AMP 10.219880
2017-09-30	53	$262.8M	13	1SPY 2IWF 3IWD Top holdings2017-09-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJS 8.IJT 9.AMP 10.TGT
2017-06-30	52	$238.9M	11	1SPY 2IWF 3IWD Top holdings2017-06-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.AMP 10.TGT
2017-03-31	44	$232.2M	24	1SPY 2IWF 3IWD Top holdings2017-03-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.AMP 10.BRK-B
2016-12-31	57	$282.6M	23	1SPY 2IWD 3IWF Top holdings2016-12-31 1.SPY 2.IWD 3.IWF 4.184692 5.AMP 6.IWS 7.IJT 8.IWP 9.IJS 10.TGT
2016-09-30	51	$233.7M	19	1SPY 2IWD 3IWF Top holdings2016-09-30 1.SPY 2.IWD 3.IWF 4.184692 5.AMP 6.IWS 7.IWP 8.IJT 9.IJS 10.TGT
2016-06-30	47	$223.4M	18	1SPY 2IWD 3IWF Top holdings2016-06-30 1.SPY 2.IWD 3.IWF 4.184692 5.TGT 6.IWS 7.IWP 8.IJT 9.IJS 10.385002
2016-03-31	49	$192.5M	34	1SPY 2IWF 3IWD Top holdings2016-03-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.385002 10.TGT
2015-12-31	40	$170.7M	16	1SPY 2IWF 3IWD Top holdings2015-12-31 1.SPY 2.IWF 3.IWD 4.IWS 5.IWP 6.184692 7.IJT 8.IJS 9.AMP 10.385002
2015-09-30	43	$158.7M	38	1SPY 2IWF 3IWD Top holdings2015-09-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.AMP 10.TGT
2015-06-30	48	$216.3M	34	1AMP 2SPY3184692 Top holdings2015-06-30 1.AMP 2.SPY 3.184692 4.IWF 5.IWD 6.TGT 7.IWS 8.IJT 9.IWP 10.IJS
2015-03-31	42	$168.2M	17	1AMP 2SPY 3IWF Top holdings2015-03-31 1.AMP 2.SPY 3.IWF 4.IWD 5.184692 6.TGT 7.157842 8.MMM 9.MSFT 10.CELG
2014-12-31	42	$162.9M	0	1AMP 2SPY 3IWF Top holdings2014-12-31 1.AMP 2.SPY 3.IWF 4.IWD 5.184692 6.TGT 7.157842 8.MMM 9.MSFT 10.CELG

Holding changes this quarter

NorthRock Partners, LLC's most significant position changes for 2026-03-31: New buy: Wisdomtree Japan Hedged Eq (DXJ); New buy: Ishares Msci USA Value Facto (VLUE); New buy: Columbia Multi-sect Muni INC (MUST); New buy: Nyli Ftse Intl Eq Cur Ntrl (HFXI); New buy: Lumentum Holdings INC (LITE).

Position changes disclosed by NorthRock Partners, LLC for the quarter ending 2026-03-31, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	IGF	Ishares Global Infrastructur	+1.4%	+84.72%	Add
2	SGOV	Ishares 0-3 Month Treasury B	+0.2%	+11.07%	Add
3	HEFA	Isha Curr Hedged Msci Eafe	+0.2%	+13.34%	Add
4	JMST	JPM Ultra-short Muni Income	+0.2%	+25.96%	Add
5	JMTG	Mortgage-backed Securities	+0.2%	+7.42%	Add
6	GOVT	Ishares US Treasury Bond ETF	+0.2%	+309.07%	Add
7	EFG	Ishares Msci Eafe Growth ETF	+0.2%	+176.32%	Add
8	IEF	Ishares 7-10 Year Treasury B	+0.2%	+28.39%	Add
9	IEMG	Ishares Core Msci Emerging	+0.1%	+11.29%	Add
10	BUFR	Ft Vest Lad Buffervetf-usd I	+0.1%	+19.82%	Add
11	DGRO	Ishares Core Dividend Growth	+0.1%	+147.33%	Add
12	ITA	Ishares U.s. Aerospace & Def	+0.1%	+61.80%	Add
13	XOM	Exxon Mobil CORP	+0.1%	+22.49%	Add
14	RSP	Invesco S&p 500 Equal Weight	+0.1%	+192.86%	Add
15	WMT	Walmart INC	+0.1%	+49.85%	Add
16	HWKN	Hawkins INC	+0.1%	+61.56%	Add
17	MDYG	Ss Spdr S&p 400 Mc Gr ETF	0%	+2.71%	Add
18	TSM	Taiwan Semiconductor-sp Adr	0%	+202.52%	Add
19	CVX	Chevron CORP	0%	+0.87%	Add
20	CAT	Caterpillar INC	0%	+15.35%	Add
21	MRK	Merck & Co. INC.	0%	+77.74%	Add
22	PEP	Pepsico INC	0%	+45.98%	Add
23	JPM	Jpmorgan Chase & Co	0%	+24.25%	Add
24	SLYV	Ss Spdr S&p 600 Sc Val ETF	0%	+2.08%	Add
25	SLYG	Ss Spdr S&p 600 Sc Gr ETF	0%	+3.31%	Add
26	SPYM	Ste Str Spdr Pt S&p 500 ETF	0%	+9.32%	Add
27	MDYV	Ss Spdr S&p 400 Mc Val ETF	0%	+3.07%	Add
28	IYW	Ishares Ustechnology ETF	0%	-39.17%	Trim
29	SPYV	Ss Spdr P S&p 500 Value ETF	-0.1%	+3.83%	Add
30	EMB	Ishares Jp Morgan Usd Emergi	-0.1%	-87.91%	Trim
31	SPHQ	Invesco S&p 500 Quality ETF	-0.1%	-18.06%	Trim
32	VGSH	Vanguard Short-term Treasury	-0.1%	+2.86%	Add
33	IAU	Ishares Gold Trust	-0.1%	-62.58%	Trim
34	PGR	Progressive CORP	-0.1%	-0.06%	Trim
35	IWF	Ishares Russell 1000 Growth	-0.1%	+288.12%	Add
36	IWB	Ishares Russell 1000 ETF	-0.2%	-0.17%	Trim
37	DYNF	Ishrs US E F R A Etf-usd INC	-0.2%	-24.66%	Trim
38	VOO	Vanguard S&p 500 ETF	-0.2%	+6.14%	Add
39	AAPL	Apple INC	-0.2%	+4.78%	Add
40	QQQ	Invesco Qqq Trust Series 1	-0.3%	+3.81%	Add
41	MSFT	Microsoft CORP	-0.3%	+6.77%	Add
42	SPYG	Ss Spdr P S&p 500 Growth ETF	-0.3%	+4.73%	Add
43	SPY	Ss Spdr S&p 500 ETF Trust-us	-0.4%	-1.72%	Trim
44	OEF	Ishares S&p 100 ETF	-0.4%	-92.13%	Trim
45	DXJ	Wisdomtree Japan Hedged Eq	—	NEW	New buy
46	VLUE	Ishares Msci USA Value Facto	—	NEW	New buy
47	MUST	Columbia Multi-sect Muni INC	—	NEW	New buy
48	HFXI	Nyli Ftse Intl Eq Cur Ntrl	—	NEW	New buy
49	LITE	Lumentum Holdings INC	—	NEW	New buy
50	PNC	Pnc Financial Services Group	—	NEW	New buy

Filing History

Period	Filed	Type	EDGAR
2026-03-31	2026-05-15	13F-HR	View on EDGAR
2025-12-31	2026-02-17	13F-HR	View on EDGAR
2025-09-30	2025-11-14	13F-HR	View on EDGAR
2025-06-30	2025-11-14	Amendment	View on EDGAR
2025-06-30	2025-07-25	13F-HR	View on EDGAR
2025-03-31	2025-05-08	13F-HR	View on EDGAR
2024-12-31	2025-04-22	Amendment	View on EDGAR
2024-12-31	2025-02-14	13F-HR	View on EDGAR
2024-09-30	2025-04-22	Amendment	View on EDGAR
2024-09-30	2024-10-30	13F-HR	View on EDGAR
2024-06-30	2025-04-22	Amendment	View on EDGAR
2024-06-30	2024-08-06	13F-HR	View on EDGAR
2024-03-31	2025-04-22	Amendment	View on EDGAR
2024-03-31	2024-05-07	13F-HR	View on EDGAR
2023-12-31	2025-04-22	Amendment	View on EDGAR
2023-12-31	2024-02-08	13F-HR	View on EDGAR
2023-09-30	2023-10-24	13F-HR	View on EDGAR
2023-06-30	2023-08-02	13F-HR	View on EDGAR
2023-03-31	2023-05-04	13F-HR	View on EDGAR
2022-12-31	2023-02-01	13F-HR	View on EDGAR
2022-09-30	2022-11-02	13F-HR	View on EDGAR
2022-06-30	2022-08-04	13F-HR	View on EDGAR
2022-03-31	2022-05-05	13F-HR	View on EDGAR
2021-12-31	2022-02-07	13F-HR	View on EDGAR
2021-09-30	2021-11-12	13F-HR	View on EDGAR
2021-06-30	2021-08-12	13F-HR	View on EDGAR
2021-03-31	2021-05-11	13F-HR	View on EDGAR
2020-12-31	2021-02-08	13F-HR	View on EDGAR
2020-09-30	2020-11-12	13F-HR	View on EDGAR
2020-06-30	2020-08-13	Amendment	View on EDGAR
2020-06-30	2020-08-11	13F-HR	View on EDGAR
2020-03-31	2020-05-13	13F-HR	View on EDGAR
2019-12-31	2020-02-12	Amendment	View on EDGAR
2019-12-31	2020-02-12	13F-HR	View on EDGAR
2019-09-30	2019-11-12	13F-HR	View on EDGAR
2019-06-30	2019-08-12	13F-HR	View on EDGAR
2019-03-31	2019-05-14	13F-HR	View on EDGAR
2018-12-31	2019-02-13	13F-HR	View on EDGAR
2018-09-30	2018-11-13	13F-HR	View on EDGAR
2018-06-30	2018-08-14	13F-HR	View on EDGAR
2018-03-31	2018-05-15	13F-HR	View on EDGAR
2017-12-31	2018-02-12	13F-HR	View on EDGAR
2017-09-30	2017-11-13	13F-HR	View on EDGAR
2017-06-30	2017-08-11	13F-HR	View on EDGAR
2017-03-31	2017-05-12	13F-HR	View on EDGAR
2016-12-31	2017-02-10	13F-HR	View on EDGAR
2016-09-30	2016-11-14	13F-HR	View on EDGAR
2016-06-30	2016-08-10	13F-HR	View on EDGAR
2016-03-31	2016-05-13	13F-HR	View on EDGAR
2015-12-31	2016-02-11	13F-HR	View on EDGAR
2015-09-30	2015-11-12	13F-HR	View on EDGAR
2015-06-30	2015-08-13	13F-HR	View on EDGAR
2015-03-31	2015-05-14	13F-HR	View on EDGAR
2014-12-31	2015-02-17	13F-HR	View on EDGAR

FAQ

What is NorthRock Partners, LLC and what type of investor is it?

NorthRock Partners, LLC is a investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2026-03-31), the firm manages a tracked equity portfolio valued at approximately $6.2B, spread across 678 disclosed positions.

What are NorthRock Partners, LLC's largest equity positions?

Based on the latest 13F filing, NorthRock Partners, LLC's top holdings by market value are: 1. Mortgage-backed Securities (JMTG) — $497.0M (8.0%) 2. Vanguard S&p 500 ETF (VOO) — $351.6M (5.7%) 3. Ste Str Spdr Pt S&p 500 ETF (SPYM) — $318.8M (5.1%) 4. Vanguard Short-term Treasury (VGSH) — $285.0M (4.6%) 5. Ss Spdr P S&p 500 Value ETF (SPYV) — $259.5M (4.2%)

What changes did NorthRock Partners, LLC make in its most recent portfolio filing?

In the latest reported quarter, NorthRock Partners, LLC made 50 notable position adjustments: 6 new positions were initiated, 35 existing holdings were added to, 9 positions were partially reduced, and 0 were completely exited. The largest of these moves: New buy: Wisdomtree Japan Hedged Eq (DXJ); New buy: Ishares Msci USA Value Facto (VLUE); New buy: Columbia Multi-sect Muni INC (MUST); New buy: Nyli Ftse Intl Eq Cur Ntrl (HFXI); New buy: Lumentum Holdings INC (LITE)

What sectors does NorthRock Partners, LLC focus on?

NorthRock Partners, LLC is concentrated in the following sectors based on its current disclosed equity portfolio: • Information Technology: 39.2% • Consumer Staples: 14.2% • Financials: 13.2% • Consumer Discretionary: 7.5% • Industrials: 7.0% • Health Care: 6.8%

Peer Institutions

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$6.2B

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Portfolio Stability20.5

Sector conviction58.6

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Letko, Brosseau & Associates INC

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Total reported value

$6.2B

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Prospera Financial Services Inc

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Similar Holdings Style

Institutions with overlapping top holdings

Nbc Securities, INC.

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Total reported value

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FSB Premier Wealth Management, INC.

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Total reported value

$319.2M

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Smithfield Trust Co

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Total reported value

$2.3B

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View detail

NorthRock Partners, LLC 13F Filing History & Holdings

CIK: 0001632097

Diversified strategyMomentum followerLong-term holder

Total reported value

$6.2B

Reporting period: 2026-03-31 · Number of holdings: 678

NorthRock Partners, LLC disclosed 678 holdings in its latest 13F filing for the period ending 2026-03-31, with total reported value of $6.2B and a quarterly turnover rate of 10.8%.

Browse other institutions with $1B to $10B AUM Browse other institutions starting with "N"

Personality snowflake

Concentration: 10.52
Portfolio Stability: 10.76
Momentum/Contrarian: 100
Sector conviction: 63.61
Diversification: 100
Sizing Uniformity: 59.71

Position sizes vary widely across the portfolio (a coefficient of variation of 4.03), with a handful of outsized bets alongside many smaller positions.

No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.

Recent moves

Add IGF
+84.7%　$90.2M
Trim OEF
-92.1%　-$22.4M
Trim SPY
-1.7%　-$12.4M
Trim SPYG
+4.7%　-$8.7M
Trim MSFT
+6.8%　-$13.2M
Trim QQQ
+3.8%　-$5.7M

Holdings Map

New buyAddUnchangedTrim

Top 10 holdings by weight

Full holdings list this quarter

Showing top 200 holdings (of 678 total)

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	JMTG	Mortgage-backed Securities	ETF-Other	8.01%	+0.19%	+7.42%
2	VOO	Vanguard S&p 500 ETF	ETF-Large Cap & Growth	5.67%	-0.20%	+6.14%
3	SPYM	Ste Str Spdr Pt S&p 500 ETF	ETF-Large Cap & Growth	5.14%	-0.02%	+9.32%
4	VGSH	Vanguard Short-term Treasury	ETF-Gov Bonds	4.59%	-0.10%	+2.86%
5	SPYV	Ss Spdr P S&p 500 Value ETF	ETF-Large Cap & Growth	4.18%	-0.05%	+3.83%
6	SGOV	Ishares 0-3 Month Treasury B	ETF-Gov Bonds	3.64%	+0.22%	+11.07%
7	QQQ	Invesco Qqq Trust Series 1	ETF-Tech	3.63%	-0.26%	+3.81%
8	SPYG	Ss Spdr P S&p 500 Growth ETF	ETF-Large Cap & Growth	3.46%	-0.31%	+4.73%
9	AAPL	Apple INC	Stock-Tech	3.19%	-0.22%	+4.78%
10	SPY	Ss Spdr S&p 500 ETF Trust-us	ETF-Large Cap & Growth	2.99%	-0.35%	-1.72%
11	IGF	Ishares Global Infrastructur	ETF-Other	2.88%	+1.38%	+84.72%
12	HEFA	Isha Curr Hedged Msci Eafe	ETF-Other	2.11%	+0.22%	+13.34%
13	MDYV	Ss Spdr S&p 400 Mc Val ETF	ETF-Other	1.84%	-0.02%	+3.07%
14	IWB	Ishares Russell 1000 ETF	ETF-Other	1.71%	-0.17%	-0.17%
15	MDYG	Ss Spdr S&p 400 Mc Gr ETF	ETF-Other	1.68%	+0.04%	+2.71%
16	JMST	JPM Ultra-short Muni Income	ETF-Other	1.23%	+0.21%	+25.96%
17	SLYV	Ss Spdr S&p 600 Sc Val ETF	ETF-Other	1.22%	+0.02%	+2.08%
18	ROUS	Hartford Multifact US Eqty	ETF-Other	1.21%	—	-4.83%
19	IWR	Ishares Russell Mid-cap ETF	ETF-Other	1.11%	—	-1.55%
20	EFA	Ishares Msci Eafe ETF	ETF-Other	1.07%	—	+0.13%
21	IEMG	Ishares Core Msci Emerging	ETF-Emerging Markets	1.06%	+0.10%	+11.29%
22	SLYG	Ss Spdr S&p 600 Sc Gr ETF	ETF-Other	1.06%	+0.01%	+3.31%
23	MSFT	Microsoft CORP	Stock-Tech	0.95%	-0.27%	+6.77%
24	NVDA	Nvidia CORP	Stock-Tech	0.95%	—	+4.39%
25	IUSB	Ishr Cr Unvrse Usd Bd Etf-ui	ETF-Other	0.89%	—	+2.55%
26	SPEM	State Street Sp Ptf Em ETF	ETF-Other	0.85%	—	-0.19%
27	IEF	Ishares 7-10 Year Treasury B	ETF-Gov Bonds	0.81%	+0.15%	+28.39%
28	BUFR	Ft Vest Lad Buffervetf-usd I	ETF-Other	0.78%	+0.09%	+19.82%
29	IWM	Ishares Russell 2000 ETF	ETF-Small Cap	0.77%	—	+0.55%
30	VMBS	Vanguard Mortgage-backed Sec	ETF-Other	0.72%	—	-0.06%
31	MBB	Ishares Mbs ETF	ETF-Other	0.71%	—	+2.31%
32	IWF	Ishares Russell 1000 Growth	ETF-Other	0.66%	-0.13%	+288.12%
33	IJR	Ishares Core S&p Small-cap E	ETF-Small Cap	0.55%	—	-1.00%
34	IVE	Ishares S&p 500 Value ETF	ETF-Large Cap & Growth	0.53%	—	-4.66%
35	SPTI	Ss Spdr P Int Term Tsy ETF	ETF-Other	0.51%	—	+1.50%
36	TAFM	AB Tax Aware Inter Muni	ETF-Other	0.51%	—	-2.38%
37	AGG	Ishares Core U.s. Aggregate	ETF-Other	0.50%	—	+2.04%
38	VYMI	Vanguard Int High Dvd Yld In	ETF-Other	0.49%	—	-3.62%
39	VEA	Vanguard Ftse Developed ETF	ETF-Other	0.48%	—	-0.11%
40	MDLZ	Mondelez International Inc-a	Stock-Consumer Staples	0.48%	—	-1.07%
41	PGR	Progressive CORP	Stock-Financials	0.47%	-0.10%	-0.06%
42	PM	Philip Morris International	Stock-Consumer Staples	0.47%	—	-2.66%
43	SCHZ	Schwab US Aggregate Bond ETF	ETF-Other	0.45%	—	+1.96%
44	AMZN	Amazon.com INC	Stock-Consumer Disc	0.44%	—	+12.95%
45	QQQM	Invesco Nasdaq 100 ETF	ETF-Tech	0.43%	—	+4.21%
46	BDYN	Ishares Dyn Act ETF	ETF-Other	0.43%	—	+1.96%
47	VTI	Vanguard Total Stock Mkt ETF	ETF-Other	0.42%	—	-2.52%
48	DYNF	Ishrs US E F R A Etf-usd INC	ETF-Other	0.40%	-0.19%	-24.66%
49	PG	Procter & Gamble Co/the	Stock-Consumer Staples	0.38%	—	+0.68%
50	STIP	Ishares 0-5 Year Tips Bond E	ETF-Other	0.38%	—	+3.76%

1–50 of 200

Portfolio Performance

Performance for Q3 2026

+3.8%

Performance Last 4 Quarters

+19.3%

Based on 67% of reported portfolio value with available pricing

Stdev: +12.4%
Beta: +0.91
Alpha: -1.3%
Max Drawdown: -8.1%
Annualized Perf: +16%
Batting Avg vs S&P: +38.9%
Sortino: +2.51
Stutzer: +0.37
Treynor: +0.17
Sterling: +0.95
Calmar: +1.97
Information Ratio: -0.86
Tracking Error: +3.3%
Stdev Down: +6.2%
Winning Months %: +66.7%
Losing Months %: +33.3%
Best 12 Months: +35%
Worst 12 Months: +8%
Efficiency Ratio: +0.51
Sharpe: +1.26
Stdev Sectors: +10.5%
Skewness: +0.09
Kurtosis: -0.3
Upside Potential: +4.2

Reported value over time

Sector allocation

Sector allocation over time

Quarterly history

Period	Holdings	Total value	Stability	Top holdings
2026-03-31	678	$6.2B	11	1JMTG 2VOO 3SPYM Top holdings2026-03-31 1.JMTG 2.VOO 3.SPYM 4.VGSH 5.SPYV 6.SGOV 7.QQQ 8.SPYG 9.AAPL 10.SPY
2025-12-31	619	$5.9B	30	1JMTG 2VOO 3SPYM Top holdings2025-12-31 1.JMTG 2.VOO 3.SPYM 4.VGSH 5.SPYV 6.QQQ 7.SPYG 8.SGOV 9.AAPL 10.SPY
2025-09-30	871	$5.5B	40	1JMTG 2SPYM 3VOO Top holdings2025-09-30 1.JMTG 2.SPYM 3.VOO 4.VGSH 5.SPYV 6.SPYG 7.AAPL 8.SPY 9.SGOV 10.QQQ
2025-06-30	682	$3.8B	29	1JMTG 2SPYM 3SPYV Top holdings2025-06-30 1.JMTG 2.SPYM 3.SPYV 4.VGSH 5.SPYG 6.SPY 7.SGOV 8.AAPL 9.MDYV 10.MDYG
2025-03-31	852	$3.0B	11	1SPYV 2VGSH 3SPYM Top holdings2025-03-31 1.SPYV 2.VGSH 3.SPYM 4.SPY 5.SGOV 6.SPYG 7.AAPL 8.MDYV 9.MDYG 10.SLYV
2024-12-31	775	$3.1B	25	1SPYV 2SPYM 3VGSH Top holdings2024-12-31 1.SPYV 2.SPYM 3.VGSH 4.SPY 5.AAPL 6.SPYG 7.SGOV 8.MDYV 9.MDYG 10.SLYV
2024-09-30	833	$3.0B	17	1SPY 2SPYV 3AAPL Top holdings2024-09-30 1.SPY 2.SPYV 3.AAPL 4.SGOV 5.SPYG 6.VGSH 7.MDYV 8.MDYG 9.VOO 10.MSFT
2024-06-30	810	$2.7B	13	1SPY 2SPYV 3SGOV Top holdings2024-06-30 1.SPY 2.SPYV 3.SGOV 4.SPYG 5.AAPL 6.MDYV 7.MDYG 8.VOO 9.MSFT 10.SLYV
2024-03-31	814	$2.6B	14	1SPY 2SPYV 3SGOV Top holdings2024-03-31 1.SPY 2.SPYV 3.SGOV 4.SPYG 5.AAPL 6.MDYV 7.VOO 8.MDYG 9.MSFT 10.SLYV
2023-12-31	750	$2.4B	100	1SPY 2SPYV 3SGOV Top holdings2023-12-31 1.SPY 2.SPYV 3.SGOV 4.AAPL 5.SPYG 6.MDYV 7.VOO 8.MDYG 9.SLYV 10.MSFT
2023-09-30	354	$958.6M	0	1SPY 2SPYV 3SGOV Top holdings2023-09-30 1.SPY 2.SPYV 3.SGOV 4.SPYG 5.AAPL 6.MDYV 7.MDYG 8.SLYV 9.IWF 10.SLYG
2023-06-30	313	$913.1M	0	1SPY 2SPYV 3AAPL Top holdings2023-06-30 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SGOV 7.SLYV 8.MDYG 9.IWF 10.SLYG
2023-03-31	327	$939.4M	0	1SPY 2SPYV 3AAPL Top holdings2023-03-31 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDLZ 8.MDYG 9.SLYG 10.IWF
2022-12-31	342	$878.6M	0	1SPY 2SPYV 3AAPL Top holdings2022-12-31 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDLZ 8.MDYG 9.SLYG 10.EFA
2022-09-30	300	$860.4M	0	1SPY 2SPYV 3AAPL Top holdings2022-09-30 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDYG 8.SLYG 9.MDLZ 10.IWF
2022-06-30	305	$962.1M	0	1SPY 2SPYV 3AAPL Top holdings2022-06-30 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.TGT 7.SLYV 8.MDLZ 9.MDYG 10.SLYG
2022-03-31	337	$1.1B	0	1SPY 2SPYV 3AAPL Top holdings2022-03-31 1.SPY 2.SPYV 3.AAPL 4.SPYG 5.MDYV 6.SLYV 7.MDYG 8.SLYG 9.MDLZ 10.TGT
2021-12-31	337	$1.3B	0	1SPY 2SPYV 3SPYG Top holdings2021-12-31 1.SPY 2.SPYV 3.SPYG 4.AAPL 5.MDYV 6.SLYV 7.SLYG 8.MDYG 9.MDLZ 10.IWF
2021-09-30	283	$1.2B	0	1SPY 2SPYV 3SPYG Top holdings2021-09-30 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.AAPL 6.SLYV 7.SLYG 8.MDYG 9.MDLZ 10.TGT
2021-06-30	257	$1.2B	96	1SPY 2SPYV 3SPYG Top holdings2021-06-30 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.TGT 6.SLYV 7.AAPL 8.SLYG 9.MDYG 10.MDLZ
2021-03-31	234	$1.1B	15	1SPY 2SPYV 3SPYG Top holdings2021-03-31 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.SLYV 6.AAPL 7.MDLZ 8.TGT 9.SLYG 10.MDYG
2020-12-31	233	$1.0B	16	1SPY 2SPYV 3SPYG Top holdings2020-12-31 1.SPY 2.SPYV 3.SPYG 4.AAPL 5.MDYV 6.SLYV 7.MDLZ 8.SLYG 9.TGT 10.MDYG
2020-09-30	222	$901.6M	16	1SPY 2SPYV 3SPYG Top holdings2020-09-30 1.SPY 2.SPYV 3.SPYG 4.AAPL 5.MDLZ 6.MDYV 7.SLYV 8.TGT 9.IWF 10.SLYG
2020-06-30	212	$844.1M	34	1SPY 2SPYV 3SPYG Top holdings2020-06-30 1.SPY 2.SPYV 3.SPYG 4.MDYV 5.AAPL 6.SLYV 7.IWF 8.MDLZ 9.SLYG 10.MDYG
2020-03-31	200	$714.0M	37	1SPY 2SPYV 3SPYG Top holdings2020-03-31 1.SPY 2.SPYV 3.SPYG 4.PM 5.MDLZ 6.AAPL 7.IWF 8.MDYV 9.SLYV 10.EFV
2019-12-31	280	$946.7M	60	1SPY 2MDLZ 3PM Top holdings2019-12-31 1.SPY 2.MDLZ 3.PM 4.IWF 5.SPYV 6.AAPL 7.SPYG 8.IWD 9.MDYV 10.SLYV
2019-09-30	207	$733.5M	100	1SPY 2IWF 3IVV Top holdings2019-09-30 1.SPY 2.IWF 3.IVV 4.HDV 5.IWD 6.VYM 7.PM 8.ACWV 9.SPYV 10.MDLZ
2019-06-30	76	$349.7M	27	1SPY 2IWD 3IWF Top holdings2019-06-30 1.SPY 2.IWD 3.IWF 4.TGT 5.IWP 6.IWS 7.IJT 8.IJS 9.AMP 10.EFG
2019-03-31	90	$379.5M	21	1SPY 2IWD 3IWF Top holdings2019-03-31 1.SPY 2.IWD 3.IWF 4.46138J 5.184692 6.IWP 7.IWS 8.IJT 9.IJS 10.AMP
2018-12-31	99	$335.4M	29	1SPY 2IWD 3IWF Top holdings2018-12-31 1.SPY 2.IWD 3.IWF 4.46138J 5.IWS 6.184692 7.IWP 8.IJT 9.IJS 10.TGT
2018-09-30	65	$347.1M	18	1SPY 2IWF 3IWD Top holdings2018-09-30 1.SPY 2.IWF 3.IWD 4.46138J 5.184692 6.IWP 7.IWS 8.IJT 9.IJS 10.TGT
2018-06-30	60	$293.2M	13	1SPY 2IWF 3IWD Top holdings2018-06-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.219880 10.AMP
2018-03-31	58	$307.3M	7	1SPY 2IWF 3IWD Top holdings2018-03-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.219880 10.AMP
2017-12-31	56	$313.5M	21	1SPY 2IWF 3IWD Top holdings2017-12-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJS 8.IJT 9.AMP 10.219880
2017-09-30	53	$262.8M	13	1SPY 2IWF 3IWD Top holdings2017-09-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJS 8.IJT 9.AMP 10.TGT
2017-06-30	52	$238.9M	11	1SPY 2IWF 3IWD Top holdings2017-06-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.AMP 10.TGT
2017-03-31	44	$232.2M	24	1SPY 2IWF 3IWD Top holdings2017-03-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.AMP 10.BRK-B
2016-12-31	57	$282.6M	23	1SPY 2IWD 3IWF Top holdings2016-12-31 1.SPY 2.IWD 3.IWF 4.184692 5.AMP 6.IWS 7.IJT 8.IWP 9.IJS 10.TGT
2016-09-30	51	$233.7M	19	1SPY 2IWD 3IWF Top holdings2016-09-30 1.SPY 2.IWD 3.IWF 4.184692 5.AMP 6.IWS 7.IWP 8.IJT 9.IJS 10.TGT
2016-06-30	47	$223.4M	18	1SPY 2IWD 3IWF Top holdings2016-06-30 1.SPY 2.IWD 3.IWF 4.184692 5.TGT 6.IWS 7.IWP 8.IJT 9.IJS 10.385002
2016-03-31	49	$192.5M	34	1SPY 2IWF 3IWD Top holdings2016-03-31 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.385002 10.TGT
2015-12-31	40	$170.7M	16	1SPY 2IWF 3IWD Top holdings2015-12-31 1.SPY 2.IWF 3.IWD 4.IWS 5.IWP 6.184692 7.IJT 8.IJS 9.AMP 10.385002
2015-09-30	43	$158.7M	38	1SPY 2IWF 3IWD Top holdings2015-09-30 1.SPY 2.IWF 3.IWD 4.184692 5.IWS 6.IWP 7.IJT 8.IJS 9.AMP 10.TGT
2015-06-30	48	$216.3M	34	1AMP 2SPY3184692 Top holdings2015-06-30 1.AMP 2.SPY 3.184692 4.IWF 5.IWD 6.TGT 7.IWS 8.IJT 9.IWP 10.IJS
2015-03-31	42	$168.2M	17	1AMP 2SPY 3IWF Top holdings2015-03-31 1.AMP 2.SPY 3.IWF 4.IWD 5.184692 6.TGT 7.157842 8.MMM 9.MSFT 10.CELG
2014-12-31	42	$162.9M	0	1AMP 2SPY 3IWF Top holdings2014-12-31 1.AMP 2.SPY 3.IWF 4.IWD 5.184692 6.TGT 7.157842 8.MMM 9.MSFT 10.CELG

Holding changes this quarter

Position changes disclosed by NorthRock Partners, LLC for the quarter ending 2026-03-31, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	IGF	Ishares Global Infrastructur	+1.4%	+84.72%	Add
2	SGOV	Ishares 0-3 Month Treasury B	+0.2%	+11.07%	Add
3	HEFA	Isha Curr Hedged Msci Eafe	+0.2%	+13.34%	Add
4	JMST	JPM Ultra-short Muni Income	+0.2%	+25.96%	Add
5	JMTG	Mortgage-backed Securities	+0.2%	+7.42%	Add
6	GOVT	Ishares US Treasury Bond ETF	+0.2%	+309.07%	Add
7	EFG	Ishares Msci Eafe Growth ETF	+0.2%	+176.32%	Add
8	IEF	Ishares 7-10 Year Treasury B	+0.2%	+28.39%	Add
9	IEMG	Ishares Core Msci Emerging	+0.1%	+11.29%	Add
10	BUFR	Ft Vest Lad Buffervetf-usd I	+0.1%	+19.82%	Add
11	DGRO	Ishares Core Dividend Growth	+0.1%	+147.33%	Add
12	ITA	Ishares U.s. Aerospace & Def	+0.1%	+61.80%	Add
13	XOM	Exxon Mobil CORP	+0.1%	+22.49%	Add
14	RSP	Invesco S&p 500 Equal Weight	+0.1%	+192.86%	Add
15	WMT	Walmart INC	+0.1%	+49.85%	Add
16	HWKN	Hawkins INC	+0.1%	+61.56%	Add
17	MDYG	Ss Spdr S&p 400 Mc Gr ETF	0%	+2.71%	Add
18	TSM	Taiwan Semiconductor-sp Adr	0%	+202.52%	Add
19	CVX	Chevron CORP	0%	+0.87%	Add
20	CAT	Caterpillar INC	0%	+15.35%	Add
21	MRK	Merck & Co. INC.	0%	+77.74%	Add
22	PEP	Pepsico INC	0%	+45.98%	Add
23	JPM	Jpmorgan Chase & Co	0%	+24.25%	Add
24	SLYV	Ss Spdr S&p 600 Sc Val ETF	0%	+2.08%	Add
25	SLYG	Ss Spdr S&p 600 Sc Gr ETF	0%	+3.31%	Add
26	SPYM	Ste Str Spdr Pt S&p 500 ETF	0%	+9.32%	Add
27	MDYV	Ss Spdr S&p 400 Mc Val ETF	0%	+3.07%	Add
28	IYW	Ishares Ustechnology ETF	0%	-39.17%	Trim
29	SPYV	Ss Spdr P S&p 500 Value ETF	-0.1%	+3.83%	Add
30	EMB	Ishares Jp Morgan Usd Emergi	-0.1%	-87.91%	Trim
31	SPHQ	Invesco S&p 500 Quality ETF	-0.1%	-18.06%	Trim
32	VGSH	Vanguard Short-term Treasury	-0.1%	+2.86%	Add
33	IAU	Ishares Gold Trust	-0.1%	-62.58%	Trim
34	PGR	Progressive CORP	-0.1%	-0.06%	Trim
35	IWF	Ishares Russell 1000 Growth	-0.1%	+288.12%	Add
36	IWB	Ishares Russell 1000 ETF	-0.2%	-0.17%	Trim
37	DYNF	Ishrs US E F R A Etf-usd INC	-0.2%	-24.66%	Trim
38	VOO	Vanguard S&p 500 ETF	-0.2%	+6.14%	Add
39	AAPL	Apple INC	-0.2%	+4.78%	Add
40	QQQ	Invesco Qqq Trust Series 1	-0.3%	+3.81%	Add
41	MSFT	Microsoft CORP	-0.3%	+6.77%	Add
42	SPYG	Ss Spdr P S&p 500 Growth ETF	-0.3%	+4.73%	Add
43	SPY	Ss Spdr S&p 500 ETF Trust-us	-0.4%	-1.72%	Trim
44	OEF	Ishares S&p 100 ETF	-0.4%	-92.13%	Trim
45	DXJ	Wisdomtree Japan Hedged Eq	—	NEW	New buy
46	VLUE	Ishares Msci USA Value Facto	—	NEW	New buy
47	MUST	Columbia Multi-sect Muni INC	—	NEW	New buy
48	HFXI	Nyli Ftse Intl Eq Cur Ntrl	—	NEW	New buy
49	LITE	Lumentum Holdings INC	—	NEW	New buy
50	PNC	Pnc Financial Services Group	—	NEW	New buy

Filing History

Period	Filed	Type	EDGAR
2026-03-31	2026-05-15	13F-HR	View on EDGAR
2025-12-31	2026-02-17	13F-HR	View on EDGAR
2025-09-30	2025-11-14	13F-HR	View on EDGAR
2025-06-30	2025-11-14	Amendment	View on EDGAR
2025-06-30	2025-07-25	13F-HR	View on EDGAR
2025-03-31	2025-05-08	13F-HR	View on EDGAR
2024-12-31	2025-04-22	Amendment	View on EDGAR
2024-12-31	2025-02-14	13F-HR	View on EDGAR
2024-09-30	2025-04-22	Amendment	View on EDGAR
2024-09-30	2024-10-30	13F-HR	View on EDGAR
2024-06-30	2025-04-22	Amendment	View on EDGAR
2024-06-30	2024-08-06	13F-HR	View on EDGAR
2024-03-31	2025-04-22	Amendment	View on EDGAR
2024-03-31	2024-05-07	13F-HR	View on EDGAR
2023-12-31	2025-04-22	Amendment	View on EDGAR
2023-12-31	2024-02-08	13F-HR	View on EDGAR
2023-09-30	2023-10-24	13F-HR	View on EDGAR
2023-06-30	2023-08-02	13F-HR	View on EDGAR
2023-03-31	2023-05-04	13F-HR	View on EDGAR
2022-12-31	2023-02-01	13F-HR	View on EDGAR
2022-09-30	2022-11-02	13F-HR	View on EDGAR
2022-06-30	2022-08-04	13F-HR	View on EDGAR
2022-03-31	2022-05-05	13F-HR	View on EDGAR
2021-12-31	2022-02-07	13F-HR	View on EDGAR
2021-09-30	2021-11-12	13F-HR	View on EDGAR
2021-06-30	2021-08-12	13F-HR	View on EDGAR
2021-03-31	2021-05-11	13F-HR	View on EDGAR
2020-12-31	2021-02-08	13F-HR	View on EDGAR
2020-09-30	2020-11-12	13F-HR	View on EDGAR
2020-06-30	2020-08-13	Amendment	View on EDGAR
2020-06-30	2020-08-11	13F-HR	View on EDGAR
2020-03-31	2020-05-13	13F-HR	View on EDGAR
2019-12-31	2020-02-12	Amendment	View on EDGAR
2019-12-31	2020-02-12	13F-HR	View on EDGAR
2019-09-30	2019-11-12	13F-HR	View on EDGAR
2019-06-30	2019-08-12	13F-HR	View on EDGAR
2019-03-31	2019-05-14	13F-HR	View on EDGAR
2018-12-31	2019-02-13	13F-HR	View on EDGAR
2018-09-30	2018-11-13	13F-HR	View on EDGAR
2018-06-30	2018-08-14	13F-HR	View on EDGAR
2018-03-31	2018-05-15	13F-HR	View on EDGAR
2017-12-31	2018-02-12	13F-HR	View on EDGAR
2017-09-30	2017-11-13	13F-HR	View on EDGAR
2017-06-30	2017-08-11	13F-HR	View on EDGAR
2017-03-31	2017-05-12	13F-HR	View on EDGAR
2016-12-31	2017-02-10	13F-HR	View on EDGAR
2016-09-30	2016-11-14	13F-HR	View on EDGAR
2016-06-30	2016-08-10	13F-HR	View on EDGAR
2016-03-31	2016-05-13	13F-HR	View on EDGAR
2015-12-31	2016-02-11	13F-HR	View on EDGAR
2015-09-30	2015-11-12	13F-HR	View on EDGAR
2015-06-30	2015-08-13	13F-HR	View on EDGAR
2015-03-31	2015-05-14	13F-HR	View on EDGAR
2014-12-31	2015-02-17	13F-HR	View on EDGAR