NorthRock Partners, LLC
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed April 22, 2025), NorthRock Partners, LLC reported 825 stock positions worth $3.0 billion. Its top holding was SS SPDR S&P 500 ETF Trust-US (SPY) at 13.7% of the portfolio, followed by SS SPDR P S&P 500 Value ETF (SPYV, 7.5%) and Apple (AAPL, 5.6%). Compared with Q2 2024, it opened 71 new positions, sold out of 45, added to 356 and reduced 259. The biggest buy was Vanguard Short-Term Treasury (VGSH, shares +12081%) and the biggest sale Vanguard S&P 500 ETF (VOO, shares −9%).
- Most Recent 13F
- Q2 2026
- Location
- MINNEAPOLIS, MN
- CIK
- 0001632097
- Portfolio Value
- $3.0B (Q3 2024)
- SEC Filing
- 0001398344-25-007446 ↗ filed Apr 22, 2025
Holdings Value
Holdings 825 stocks · $3.0B
| SPY SS SPDR S&P 500 ETF Trust-US | 13.66% | 720,737 | $414.8M | Add +1.3% |
| SPYV SS SPDR P S&P 500 Value ETF | 7.53% | 4,326,914 | $228.7M | Add +2.4% |
| AAPL Apple Inc. | 5.62% | 732,173 | $170.6M | Add +0.4% |
| SGOV iShares 0-3 Month Treasury B | 5.54% | 1,669,502 | $168.2M | Add +1.4% |
| SPYG SS SPDR P S&P 500 Growth ETF | 5.43% | 1,989,364 | $165.0M | Add +1.3% |
| VGSH Vanguard Short-Term Treasury | 5.43% | 2,791,820 | $164.8M | Add +12081.3% |
| MDYV SS SPDR S&P 400 MC Val ETF | 3.44% | 1,315,905 | $104.6M | Add +2.3% |
| MDYG SS SPDR S&P 400 MC GR ETF | 2.83% | 979,419 | $85.9M | Add +3.1% |
| VOO Vanguard S&P 500 ETF | 2.16% | 124,102 | $65.7M | Reduce -9.1% |
| SLYV SS SPDR S&P 600 SC Val ETF | 2.09% | 729,519 | $63.3M | Add +1.2% |
| MSFT Microsoft Corp. | 2.05% | 144,761 | $62.3M | Add +5.0% |
| NVDA Nvidia Corp. | 2.05% | 507,926 | $62.1M | Add +26.9% |
| SLYG SS SPDR S&P 600 SC GR ETF | 1.91% | 622,013 | $57.9M | Add +1.4% |
| IWF iShares Russell 1000 Growth | 1.51% | 122,318 | $45.9M | Reduce -2.2% |
| MDLZ Mondelez International Inc. Class A | 1.35% | 550,863 | $40.8M | Reduce -2.9% |
| EFA iShares MSCI Eafe ETF | 1.18% | 429,790 | $35.9M | Reduce -2.7% |
| AMZN Amazon.com Inc. | 0.94% | 152,495 | $28.4M | Reduce -0.5% |
| PM Philip Morris International | 0.90% | 222,161 | $27.3M | Reduce -5.2% |
| ATI Ati Inc. | 0.89% | 408,354 | $27.1M | Reduce -5.8% |
| IWB iShares Russell 1000 ETF | 0.80% | 77,464 | $24.4M | Reduce -9.4% |
| JMST JPM Ultra-Short Muni Income filed as J P MORGAN EXCHANGE TRADED F | 0.74% | 443,905 | $22.6M | Add +5348.0% |
| BUFR FT Vest Lad Buffervetf-Usd I | 0.74% | 747,406 | $22.3M | Add +5.6% |
| GOOGL Alphabet Inc. Class A | 0.69% | 126,562 | $21.0M | Add +2.2% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.66% | 43,683 | $20.1M | Add +3.4% |
| META Meta Platforms Inc. Class A | 0.63% | 33,411 | $19.1M | Add +3.0% |
| TSLA Tesla Inc. | 0.53% | 60,978 | $16.0M | Add +2.4% |
| VTI VG Morningstar TS MKT ETF-US | 0.52% | 55,530 | $15.8M | Add +0.1% |
| TGT Target Corp. | 0.50% | 97,848 | $15.2M | Reduce -28.9% |
| KDP Keurig Dr Pepper Inc. | 0.50% | 403,820 | $15.2M | Add +0.3% |
| ABBV Abbvie Inc. | 0.48% | 74,003 | $14.6M | Reduce -0.1% |
| BIL SS SPDR BB 1-3M T-Bill ETF | 0.47% | 154,000 | $14.1M | Reduce -7.8% |
| AMP Ameriprise Financial Inc. | 0.46% | 29,415 | $13.8M | Add +1.9% |
| CAH Cardinal Health Inc. | 0.43% | 118,601 | $13.1M | Add +42.1% |
| MO Altria Group Inc. | 0.41% | 238,230 | $12.4M | Reduce -3.2% |
| LLY Eli Lilly & Co. | 0.39% | 13,244 | $11.7M | Add +1.8% |
| JPM JPMorgan Chase & Co. | 0.38% | 58,765 | $11.6M | Add +0.2% |
| IWP iShares Russell Mid-Cap Grow | 0.38% | 98,603 | $11.6M | Reduce -1.8% |
| GOOG Alphabet Inc. Class C | 0.37% | 67,799 | $11.3M | Add +0.2% |
| QQQ Invesco QQQ Trust Series 1 | 0.36% | 22,487 | $11.0M | Reduce -15.4% |
| IVV iShares Core S&P 500 ETF | 0.34% | 17,815 | $10.3M | Reduce -0.5% |
| SCHX Schwab US Large-Cap ETF | 0.34% | 151,272 | $10.3M | Add +6.3% |
| COST Costco Wholesale Corp. | 0.32% | 11,042 | $9.8M | Add +0.1% |
| UNH Unitedhealth Group Inc. | 0.30% | 15,756 | $9.2M | Add +7.1% |
| KHC The Kraft Heinz Co. | 0.30% | 259,429 | $9.1M | Reduce -1.1% |
| PG The Procter & Gamble Co. | 0.29% | 51,021 | $8.8M | Add +3.6% |
| AVGO Broadcom Inc. | 0.28% | 49,663 | $8.6M | Add +5.1% |
| VIG Vanguard Dividend Apprec ETF | 0.27% | 41,600 | $8.3M | Reduce -2.2% |
| JNJ Johnson & Johnson | 0.25% | 47,159 | $7.6M | Add +0.9% |
| V Visa Inc. Class A | 0.24% | 26,691 | $7.3M | Add +1.6% |
| XOM Exxon Mobil Corp. | 0.24% | 60,972 | $7.1M | Add +2.2% |
| HD Home Depot Inc. | 0.23% | 17,256 | $7.0M | Add +3.6% |
| EMXC iShares MSCI Emr MRK Ex Chna | 0.23% | 112,809 | $6.9M | Reduce -22.6% |
| NFLX Netflix Inc. | 0.22% | 9,609 | $6.8M | Add +2.8% |
| IWD iShares Russell 1000 Value E | 0.22% | 35,741 | $6.8M | Reduce -1.3% |
| MCD McDonald's Corp. | 0.22% | 22,164 | $6.7M | Reduce -0.4% |
| EFV iShares MSCI Eafe Value ETF | 0.22% | 117,015 | $6.7M | Reduce -21.6% |
| IVW iShares S&P 500 Growth ETF | 0.22% | 68,437 | $6.6M | Reduce -9.5% |
| EFG iShares MSCI Eafe Growth ETF | 0.21% | 60,030 | $6.5M | Reduce -32.2% |
| CRM Salesforce Inc. | 0.20% | 22,593 | $6.2M | Add +18.8% |
| SYK Stryker Corp. | 0.20% | 16,490 | $6.0M | Reduce -0.6% |
| CVX Chevron Corp. | 0.19% | 39,994 | $5.9M | Reduce -8.1% |
| PEP Pepsico Inc. | 0.19% | 33,787 | $5.7M | Reduce -3.2% |
| HWKN Hawkins Inc. | 0.19% | 44,705 | $5.7M | Reduce -2.2% |
| ORCL Oracle Corp. | 0.19% | 33,362 | $5.7M | Add +5.3% |
| WMT Walmart Inc. | 0.18% | 67,785 | $5.5M | Add +5.6% |
| ABT Abbott Laboratories | 0.18% | 47,403 | $5.4M | Reduce -0.4% |
| MA Mastercard Inc. Class A | 0.18% | 10,841 | $5.4M | Add +6.2% |
| URBN Urban Outfitters Inc. | 0.17% | 138,098 | $5.3M | Reduce -7.8% |
| S Sentinelone Inc. Class A | 0.17% | 218,500 | $5.2M | New |
| AMD Advanced Micro Devices | 0.16% | 30,387 | $5.0M | Add +11.1% |
| SDY SS SPDR S&P Dividend ETF | 0.16% | 34,602 | $4.9M | Reduce -10.6% |
| PGR Progressive Corp. | 0.16% | 19,175 | $4.9M | Add +1.0% |
| AXP American Express Co. | 0.16% | 17,698 | $4.8M | Add +1.1% |
| IWM iShares Russell 2000 ETF | 0.16% | 21,389 | $4.7M | Add +0.4% |
| MRK Merck & Co. Inc. | 0.15% | 39,547 | $4.5M | Reduce -9.3% |
| WFC Wells Fargo & Co. | 0.14% | 76,934 | $4.3M | Add +44.5% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.14% | 19,562 | $4.3M | Add +5.3% |
| ADBE Adobe Inc. | 0.14% | 8,319 | $4.3M | Add +25.0% |
| CAT Caterpillar Inc. | 0.13% | 10,264 | $4.0M | Add +4.2% |
| BAC Bank of America Corp. filed as BANK AMERICA CORP | 0.13% | 99,533 | $3.9M | Add +2.0% |
| XLK SS Technology Select Sector | 0.13% | 16,861 | $3.8M | Reduce -10.2% |
| TMO Thermo Fisher Scientific Inc. | 0.12% | 6,071 | $3.8M | Add +23.7% |
| KO The Coca-Cola Co. | 0.12% | 50,774 | $3.7M | Add +4.0% |
| AMGN Amgen Inc. | 0.12% | 11,245 | $3.6M | Add +5.4% |
| VXF Vanguard Extended Market ETF | 0.11% | 18,408 | $3.4M | Reduce -0.1% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.11% | 8,706 | $3.3M | Reduce -2.4% |
| ITW Illinois Tool Works | 0.11% | 12,507 | $3.3M | Add +1.8% |
| ABNB Airbnb Inc. Class A | 0.11% | 25,827 | $3.3M | Reduce -0.8% |
| RTX RTX Corp. | 0.11% | 26,902 | $3.3M | Add +0.7% |
| VGT Vanguard Info Tech ETF | 0.11% | 5,440 | $3.2M | Reduce -3.4% |
| VEA Vanguard Ftse Developed ETF | 0.10% | 58,032 | $3.1M | Add +0.0% |
| BA The Boeing Co. | 0.10% | 20,050 | $3.0M | Reduce -6.2% |
| LOW Lowe's Cos Inc. | 0.10% | 11,225 | $3.0M | Add +0.3% |
| IJT iShares S&P Small-Cap 600 GR | 0.10% | 21,748 | $3.0M | Reduce -2.8% |
| IWR iShares Russell Mid-Cap ETF | 0.10% | 34,042 | $3.0M | Reduce -27.1% |
| CSCO Cisco Systems Inc. | 0.10% | 54,755 | $2.9M | Add +16.5% |
| SBUX Starbucks Corp. | 0.09% | 29,290 | $2.9M | Reduce -0.0% |
| DIS The Walt Disney Co. filed as DISNEY WALT CO | 0.09% | 28,793 | $2.8M | Reduce -7.0% |
| QCOM Qualcomm Inc. | 0.09% | 16,190 | $2.8M | Add +32.9% |
| IJR iShares Core S&P Small-Cap E | 0.09% | 23,174 | $2.7M | Reduce -16.7% |
Options reported separately and not counted above: AAPL puts ($2.8M), MSFT calls ($1.2M), SPY puts ($861K), SPY calls ($746K), MCD calls ($61K), TSM calls ($52K), IWM calls ($44K).
Other holdings (1): bonds, preferreds, convertibles and warrants · $836 (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 23 | $836 | No change |
Total filed on the 13F, all lines: $3.0B.
Portfolio Sells Q2 2024 → Q3 2024
| VOO Vanguard S&P 500 ETF | Reduce -9.1% | 2.16% | −0.42 |
| TGT Target Corp. | Reduce -28.9% | 0.50% | −0.26 |
| IWF iShares Russell 1000 Growth | Reduce -2.2% | 1.51% | −0.20 |
| AMZN Amazon.com Inc. | Reduce -0.5% | 0.94% | −0.18 |
| IWB iShares Russell 1000 ETF | Reduce -9.4% | 0.80% | −0.16 |
| EFG iShares MSCI Eafe Growth ETF | Reduce -32.2% | 0.21% | −0.13 |
| EFA iShares MSCI Eafe ETF | Reduce -2.7% | 1.18% | −0.12 |
| QQQ Invesco QQQ Trust Series 1 | Reduce -15.4% | 0.36% | −0.12 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Reduce -7.8% | 0.47% | −0.11 |
| EMXC iShares MSCI Emr MRK Ex Chna | Reduce -22.6% | 0.23% | −0.10 |
| EFV iShares MSCI Eafe Value ETF | Reduce -21.6% | 0.22% | −0.08 |
| SOLV Solventum Corp. | Sold out | 0.00% | −0.07 |
| CVX Chevron Corp. | Reduce -8.1% | 0.19% | −0.06 |
| MDLZ Mondelez International Inc. Class A | Reduce -2.9% | 1.35% | −0.06 |
| URBN Urban Outfitters Inc. | Reduce -7.8% | 0.17% | −0.06 |
| MRK Merck & Co. Inc. | Reduce -9.3% | 0.15% | −0.06 |
| QUAL iShares MSCI USA Quality Fac | Reduce -38.3% | 0.07% | −0.06 |
| USMV iShares MSCI USA Min Vol Fac | Reduce -41.8% | 0.06% | −0.05 |
| IVW iShares S&P 500 Growth ETF | Reduce -9.5% | 0.22% | −0.05 |
| BA The Boeing Co. | Reduce -6.2% | 0.10% | −0.05 |
| IWR iShares Russell Mid-Cap ETF | Reduce -27.1% | 0.10% | −0.04 |
| ABNB Airbnb Inc. Class A | Reduce -0.8% | 0.11% | −0.04 |
| IWP iShares Russell Mid-Cap Grow | Reduce -1.8% | 0.38% | −0.04 |
| XLK SS Technology Select Sector | Reduce -10.2% | 0.13% | −0.03 |
| DG Dollar General Corp. | Sold out | 0.00% | −0.03 |
| AEIS Advanced Energy Industries | Reduce -76.0% | 0.01% | −0.03 |
| EW Edwards Lifesciences Corp. | Reduce -9.9% | 0.04% | −0.03 |
| IVV iShares Core S&P 500 ETF | Reduce -0.5% | 0.34% | −0.03 |
| SPTI SS SPDR P Int Term TSY ETF | Reduce -47.9% | 0.03% | −0.03 |
| VTEB Vanguard Tax-Exempt Bond ETF | Reduce -76.7% | 0.01% | −0.03 |
| RAVI NT Ultrashrt Fi ETF | Sold out | 0.00% | −0.03 |
| PEP Pepsico Inc. | Reduce -3.2% | 0.19% | −0.03 |
| QEFA STSR SPD MSC Eaf Stgfs-US Inc. | Reduce -31.0% | 0.05% | −0.03 |
| TLT iShares 20+ Year Treasury BD | Reduce -50.1% | 0.02% | −0.02 |
| DIS The Walt Disney Co. | Reduce -7.0% | 0.09% | −0.02 |
| SDY SS SPDR S&P Dividend ETF | Reduce -10.6% | 0.16% | −0.02 |
| MO Altria Group Inc. | Reduce -3.2% | 0.41% | −0.02 |
| IJR iShares Core S&P Small-Cap E | Reduce -16.7% | 0.09% | −0.02 |
| VIG Vanguard Dividend Apprec ETF | Reduce -2.2% | 0.27% | −0.02 |
| HON Honeywell International Inc. | Reduce -8.1% | 0.07% | −0.02 |
| USFR Wisdomtree Floating Rate Tre | Reduce -60.9% | 0.01% | −0.02 |
| ARM Arm Holdings PLC-ADR | Sold out | 0.00% | −0.02 |
| TDTT NT Iboxx 3Y Dur Tips ETF | Sold out | 0.00% | −0.02 |
| NTGR Netgear Inc. | Sold out | 0.00% | −0.02 |
| KHC The Kraft Heinz Co. | Reduce -1.1% | 0.30% | −0.02 |
| UPS United Parcel Service Class B | Reduce -13.6% | 0.05% | −0.02 |
| XLV SS Health Care Select Sector | Reduce -30.5% | 0.03% | −0.02 |
| VGT Vanguard Info Tech ETF | Reduce -3.4% | 0.11% | −0.02 |
| MBB iShares MBS ETF | Reduce -22.3% | 0.04% | −0.02 |
| SYK Stryker Corp. | Reduce -0.6% | 0.20% | −0.02 |
Portfolio Buys Q2 2024 → Q3 2024
| VGSH Vanguard Short-Term Treasury | Add +12081.3% | 5.43% | +5.38 |
| JMST JPM Ultra-Short Muni Income | Add +5348.0% | 0.74% | +0.73 |
| S Sentinelone Inc. Class A | New | 0.17% | +0.17 |
| NVDA Nvidia Corp. | Add +26.9% | 2.05% | +0.17 |
| CAH Cardinal Health Inc. | Add +42.1% | 0.43% | +0.12 |
| TSLA Tesla Inc. | Add +2.4% | 0.53% | +0.08 |
| IAU iShares Gold Trust | New | 0.08% | +0.08 |
| FTSM First Trust Enh Short Mat FD | New | 0.05% | +0.05 |
| GDX Vaneck Gold Miners ETF | Add +5557.3% | 0.03% | +0.03 |
| SMMU PIMCO SHRT TRM Muni BND ETF | New | 0.03% | +0.03 |
| WFC Wells Fargo & Co. | Add +44.5% | 0.14% | +0.02 |
| SPGI S&P Global Inc. | Add +36.7% | 0.08% | +0.02 |
| BF.B Brown-Forman Corp. Class B | New | 0.02% | +0.02 |
| IBM Intl Business Machines Corp. | Add +5.3% | 0.14% | +0.02 |
| TMO Thermo Fisher Scientific Inc. | Add +23.7% | 0.12% | +0.02 |
| UNH Unitedhealth Group Inc. | Add +7.1% | 0.30% | +0.02 |
| ET Energy Transfer LP | New | 0.02% | +0.02 |
| CRM Salesforce Inc. | Add +18.8% | 0.20% | +0.02 |
| ORCL Oracle Corp. | Add +5.3% | 0.19% | +0.02 |
| BMY Bristol-Myers Squibb Co. | Add +53.7% | 0.04% | +0.02 |
| WMT Walmart Inc. | Add +5.6% | 0.18% | +0.02 |
| BRK.B Berkshire Hathaway Inc. Class B | Add +3.4% | 0.66% | +0.02 |
| VV Vngrd Mrgstr LRG-Cap ETF-Usd | Add +761.5% | 0.02% | +0.02 |
| SMH Vaneck Semiconductor ETF | Add +284.6% | 0.02% | +0.01 |
| META Meta Platforms Inc. Class A | Add +3.0% | 0.63% | +0.01 |
| HD Home Depot Inc. | Add +3.6% | 0.23% | +0.01 |
| TEL Te Connectivity PLC | New | 0.01% | +0.01 |
| MMM 3M Co. | Add +9.4% | 0.06% | +0.01 |
| SLV iShares Silver Trust | New | 0.01% | +0.01 |
| BMA Banco Macro SA-ADR | New | 0.01% | +0.01 |
| BBAR Bbva Argentina SA-ADR | New | 0.01% | +0.01 |
| KKR KKR & Co. Inc. | New | 0.01% | +0.01 |
| CSCO Cisco Systems Inc. | Add +16.5% | 0.10% | +0.01 |
| ILMN Illumina Inc. | New | 0.01% | +0.01 |
| PGR Progressive Corp. | Add +1.0% | 0.16% | +0.01 |
| GNRC Generac Holdings Inc. | New | 0.01% | +0.01 |
| SIL Global X Silver Miners ETF | New | 0.01% | +0.01 |
| VFC VF Corp. | New | 0.01% | +0.01 |
| BND Vanguard Total Bond Market | Add +387.5% | 0.01% | +0.01 |
| LULU Lululemon Athletica Inc. | Add +137.0% | 0.02% | +0.01 |
| GPN Global Payments Inc. | New | 0.01% | +0.01 |
| NULV Nuveen ESG Large-Cap Val ETF | Add +49.0% | 0.03% | +0.01 |
| WLY Wiley (john) & Sons Class A | Add +21.1% | 0.05% | +0.01 |
| GRMN Garmin Ltd. | New | 0.01% | +0.01 |
| IDXX Idexx Laboratories Inc. | Add +62.4% | 0.03% | +0.01 |
| GLW Corning Inc. | New | 0.01% | +0.01 |
| EXAS Exact Sciences Corp. | New | 0.01% | +0.01 |
| AHR American Healthcare REIT Inc. | New | 0.01% | +0.01 |
| CAT Caterpillar Inc. | Add +4.2% | 0.13% | +0.01 |
| HUDSON PAC PPTYS INC | New | 0.01% | +0.01 |
Options Activity Q2 2024 → Q3 2024
| AAPL Apple Inc. | put | New | 12,000 | $2.8M |
| MSFT Microsoft Corp. | call | Add +38.1% | 2,900 | $1.2M |
| SPY SS SPDR S&P 500 ETF Trust-US | put | Reduce -28.6% | 1,500 | $861K |
| SPY SS SPDR S&P 500 ETF Trust-US | call | Add +8.3% | 1,300 | $746K |
| TSM Taiwan Semiconductor-SP ADR | call | Add +200.0% | 300 | $52K |
| IWM iShares Russell 2000 ETF | call | Add +100.0% | 200 | $44K |
| TLT iShares 20+ Year Treasury BD | call | Sold out | 300 | $28Kbefore exit |
| V Visa Inc. Class A | call | Sold out | 100 | $26Kbefore exit |
| AMD Advanced Micro Devices | call | Sold out | 100 | $16Kbefore exit |
| GDX Vaneck Gold Miners ETF | call | Sold out | 200 | $7Kbefore exit |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 669 | $6.9B | VOO, JMTG, SPYM, SPYV, SPYG |
| Q1 2026 | 652 | $6.2B | JMTG, VOO, SPYM, VGSH, SPYV |
| Q4 2025 | 600 | $5.9B | JMTG, VOO, SPYM, VGSH, SPYV |
| Q3 2025 | 849 | $5.5B | JMTG, SPYM, VOO, VGSH, SPYV |
| Q2 2025Amended | 667 | $3.8B | JMTG, SPYM, SPYV, VGSH, SPYG |
| Q1 2025 | 840 | $3.0B | SPYV, VGSH, SPYM, SPY, SGOV |
| Q4 2024Amended | 764 | $3.1B | SPYV, SPYM, VGSH, SPY, AAPL |
| Q3 2024Amended | 825 | $3.0B | SPY, SPYV, AAPL, SGOV, SPYG |
| Q2 2024Amended | 799 | $2.7B | SPY, SPYV, SGOV, SPYG, AAPL |
| Q1 2024Amended | 803 | $2.6B | SPY, SPYV, SGOV, SPYG, AAPL |