NorthRock Partners, LLC

CIK 1632097 · EDGAR ↗

sum of disclosed values for 2026-03-31; 0 positions have no disclosed value and are left out of the sum, counted here rather than dropped: $6.2B
every reported holding for this filer and quarter, including ones with no disclosed value: 678
positions with no comparable holding in the prior quarter (kind new), 2026-03-31: 110
positions absent from this quarter's filing after being held last quarter (kind exit), 2026-03-31 — inferred from absence, not a sale record: 51

Quarter-end snapshot, filed up to 45 days later — not current holdings. What a 13F covers ↓

Changes · Quarter ended 2026-03-31. Newest filing in this build: 2026-07-31. Per-row filing dates are on each receipt.

Position changes into quarter 2026-03-31
The reviewed ticker for the filed issuer name and share class, the same mapping the Reported positions table uses. Symbols are never inferred from names; — means no reviewed mapping.	position matched across quarters by exact reported CUSIP over a registry gap — never a name match	NEW / ADD / TRIM / EXIT by share count · NO CHANGE = same shares; the value moved with price, so never an ADD or a TRIM · EXIT = absent this quarter (disposed, delisted, confidential, or reported by an affiliate) — the filing does not say which · NO PRIOR = no comparable prior quarter on record (a first filing, or a quarter filed inside an affiliate's report), so not called a new stake · n/c = not classifiable: value undisclosed on one side of the pair, or neither shares nor value can classify it · †v: the reported share count is unchanged across the pair; this build's data classified the change from its reported value; builds from 2026-09-10 on read it as NO CHANGE	derived by Public Filings from the published data; “no value” means the source did not disclose a usable value — never zero	reported unit changed across the pair (SH↔PRN); the share delta is withheld rather than fabricated	Prev value	Curr value	Prev shares	Curr shares
—	share class as filed: MORTGAGE BACKED · position key `sid:sec:prov:5a598625d369c85cf388412d5159335b` · issuer key `iss:2409`	ADD	+$33.8M	+672,967	$463M	$497M	9,072,433	9,745,400
—	share class as filed: S&P 500 ETF SHS · position key `sid:sec:prov:127f0021d8310eeeecdea8298c5f12e5` · issuer key `iss:2483`	ADD	+$4.0M	+34,062	$348M	$352M	554,355	588,417
—	share class as filed: STATE STREET SPD · position key `pos:14221` · issuer key `iss:1602`	ADD	+$13.2M	+355,073	$306M	$319M	3,809,436	4,164,509
—	share class as filed: SHORT TERM TREAS · position key `sid:sec:prov:5c0159d8e365eac662fab857eba96ecb` · issuer key `iss:2482`	ADD	+$7.0M	+135,541	$278M	$285M	4,732,147	4,867,688
—	share class as filed: STATE STREET SPD · position key `pos:12962` · issuer key `iss:1602`	ADD	+$8.6M	+169,114	$251M	$259M	4,417,191	4,586,305
—	share class as filed: 0-3 MNTH TREASRY · position key `sid:sec:prov:e38118ea8b169e3aaee9194c66190079` · issuer key `iss:2406`	ADD	+$23.1M	+223,483	$203M	$226M	2,019,427	2,242,910
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: UNIT SER 1 · position key `pos:11173` · issuer key `iss:995`	ADD	−$5.7M	+14,320	$231M	$225M	375,518	389,838
—	share class as filed: STATE STREET SPD · position key `pos:12580` · issuer key `iss:1602`	ADD	−$8.7M	+99,203	$224M	$215M	2,095,412	2,194,615
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: COM · position key `pos:13215` · issuer key `iss:144`	ADD	−$2.3M	+43,158	$199M	$196M	730,854	774,012
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: TR UNIT · position key `pos:11570` · issuer key `iss:1599`	TRIM	−$12.5M	−5,098	$198M	$185M	289,992	284,894
—	share class as filed: GLB INFRASTR ETF · position key `pos:16688` · issuer key `iss:1013`	ADD	+$90.2M	+1,224,062	$88.7M	$179M	1,444,781	2,668,843
—	share class as filed: HDG MSCI EAFE · position key `sid:sec:prov:d27f2c722aeaa22848f78d13de53539a` · issuer key `iss:2405`	ADD	+$18.5M	+361,968	$112M	$131M	2,712,794	3,074,762
—	share class as filed: STATE STREET SPD · position key `pos:10894` · issuer key `iss:1602`	ADD	+$4.1M	+40,077	$110M	$114M	1,303,671	1,343,748
—	share class as filed: RUS 1000 ETF · position key `pos:12858` · issuer key `iss:1012`	TRIM	−$5.2M	−504	$112M	$106M	298,766	298,262
—	share class as filed: STATE STREET SPD · position key `pos:13139` · issuer key `iss:1602`	ADD	+$6.5M	+28,549	$97.5M	$104M	1,054,792	1,083,341
—	share class as filed: ULTRA SHT MUNCPL · position key `sid:sec:prov:ef912dff846ec8e01a7c18bd575e3523` · issuer key `iss:2408`	ADD	+$15.7M	+307,333	$60.3M	$76.0M	1,184,016	1,491,349
—	share class as filed: STATE STREET SPD · position key `pos:15174` · issuer key `iss:1602`	ADD	+$4.4M	+16,239	$71.1M	$75.5M	781,673	797,912
—	share class as filed: HARTFORD US EQTY · position key `sid:sec:prov:244b3c1c191b7c444e1cb51126c3a381` · issuer key `cusip6:518416`	TRIM	−$2.0M	−64,675	$77.3M	$75.3M	1,339,244	1,274,569
—	share class as filed: RUS MID CAP ETF · position key `pos:16063` · issuer key `iss:1012`	TRIM	−$394K	−11,153	$69.2M	$68.8M	718,922	707,769
—	share class as filed: MSCI EAFE ETF · position key `pos:14648` · issuer key `iss:1012`	ADD	+$834K	+856	$65.6M	$66.4M	682,820	683,676

Flags: no row carries a flag.

1–20 of the 100 changes on this page

Mark-to-market only (no share change) · 36

Positions whose share count is identical in both quarters; the value changed with price, not with a decision.

Positions held with no share change into quarter 2026-03-31
The reviewed ticker for the filed issuer name and share class, the same mapping the Reported positions table uses. Symbols are never inferred from names; — means no reviewed mapping.	position matched across quarters by exact reported CUSIP over a registry gap — never a name match	NEW / ADD / TRIM / EXIT by share count · NO CHANGE = same shares; the value moved with price, so never an ADD or a TRIM · EXIT = absent this quarter (disposed, delisted, confidential, or reported by an affiliate) — the filing does not say which · NO PRIOR = no comparable prior quarter on record (a first filing, or a quarter filed inside an affiliate's report), so not called a new stake · n/c = not classifiable: value undisclosed on one side of the pair, or neither shares nor value can classify it · †v: the reported share count is unchanged across the pair; this build's data classified the change from its reported value; builds from 2026-09-10 on read it as NO CHANGE	derived by Public Filings from the published data; “no value” means the source did not disclose a usable value — never zero	Prev value	Curr value	Prev shares	Curr shares
—	share class as filed: US CORE EQUITY 2 · position key `sid:sec:prov:365ed936e5e9529653cac956d30ecf93` · issuer key `cusip6:25434V`	NO CHANGE	−$82.0K	$4.4M	$4.4M	112,300	112,300
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: COM · position key `pos:11683` · issuer key `iss:1491` PUT	NO CHANGE	−$389K	$3.0M	$2.6M	13,200	13,200
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: CL A · position key `pos:11533` · issuer key `iss:1645`	NO CHANGE	−$382K	$2.7M	$2.3M	180,000	180,000
—	share class as filed: CL A · position key `sid:sec:prov:15b122a1959cdc720dffb69686bc9994` · issuer key `cusip6:433313`	NO CHANGE	−$310K	$1.8M	$1.5M	39,231	39,231
—	share class as filed: DLY NVDA BULL 2X · position key `sid:sec:prov:55cec447802de2fc1c827161c7690c56` · issuer key `iss:2376`	NO CHANGE	−$307K	$1.7M	$1.4M	14,400	14,400
—	share class as filed: US HLTHCARE ETF · position key `pos:16180` · issuer key `iss:1012`	NO CHANGE	−$58.7K	$1.1M	$1.0M	16,975	16,975
—	share class as filed: US MKTWIDE VALUE · position key `sid:sec:prov:1e6f07bffab058d990fc818109d271bc` · issuer key `cusip6:25434V`	NO CHANGE	+$33.8K	$843K	$877K	18,092	18,092
—	share class as filed: COM · position key `pos:11404` · issuer key `iss:1150`	NO CHANGE	−$12.3K	$855K	$842K	10,897	10,897
—	share class as filed: COM · position key `sid:sec:prov:a1dbe4b0ff0a06b91f737b25fcffc2ea` · issuer key `cusip6:65406E`	NO CHANGE	+$124K	$549K	$673K	4,530	4,530
—	share class as filed: BUYBACK ACHIEV · position key `pos:15811` · issuer key `iss:1000`	NO CHANGE	−$15.4K	$672K	$656K	5,000	5,000
—	share class as filed: STOXX GLOBR INF · position key `sid:sec:prov:a3f668ddd140d4fd2bd9749f5188e5a9` · issuer key `cusip6:33939L`	NO CHANGE	+$34.0K	$598K	$632K	9,879	9,879
—	share class as filed: COM NEW · position key `pos:11678` · issuer key `iss:2374`	NO CHANGE	+$133K	$486K	$619K	4,427	4,427
—	share class as filed: SPONSORED ADS · position key `sid:sec:prov:ec5c59752514fd965214f6dbddd12a12` · issuer key `cusip6:058934`	NO CHANGE	−$70.3K	$632K	$562K	34,998	34,998
—	share class as filed: EUROPE HEDGED EQ · position key `pos:11817` · issuer key `iss:1982`	NO CHANGE	−$6.8K	$472K	$466K	8,902	8,902
—	share class as filed: SPON ADR B · position key `sid:sec:prov:ed86b2db3e03b786c79f298d91634c8e` · issuer key `cusip6:05961W`	NO CHANGE	−$76.7K	$541K	$464K	6,000	6,000
—	share class as filed: LARGE CAP GROWTH · position key `pos:12338` · issuer key `iss:1000`	NO CHANGE	−$4.0K	$430K	$426K	3,380	3,380
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: CL A SUB VTG · position key `pos:10891` · issuer key `iss:353`	NO CHANGE	−$79.2K	$381K	$302K	4,127	4,127
—	share class as filed: US EQT ETF · position key `sid:sec:prov:be75af0056554524224123e99ef018fb` · issuer key `cusip6:025072`	NO CHANGE	−$1.6K	$302K	$301K	2,705	2,705
—	share class as filed: S&P 500 GARP ETF · position key `pos:10334` · issuer key `iss:1000`	NO CHANGE	−$17.2K	$314K	$297K	2,758	2,758
—	share class as filed: CALIF AMT MUN · position key `sid:sec:prov:9d6f69703d0869f1058aa251cb336ac9` · issuer key `iss:2403`	NO CHANGE	−$3.5K	$291K	$287K	12,026	12,026
—	share class as filed: DIVERSIFID FXD · position key `sid:sec:prov:526321eeb365af073d1ad56b3a025c7f` · issuer key `cusip6:19761L`	NO CHANGE	−$4.2K	$283K	$278K	15,400	15,400
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: COM · position key `pos:13638` · issuer key `iss:1380`	NO CHANGE	+$39.4K	$230K	$269K	1,826	1,826
—	share class as filed: STATE STREET SPD · position key `pos:11469` · issuer key `iss:1602`	NO CHANGE	+$1.4K	$266K	$267K	4,100	4,100
—	share class as filed: SHS BEN INT · position key `sid:sec:prov:b408c85a86bb31819e9c5c6f360eb7a1` · issuer key `cusip6:040919`	NO CHANGE	−$77.7K	$344K	$267K	11,860	11,860
—	share class as filed: STATE STREET SPD · position key `pos:18026` · issuer key `iss:1602`	NO CHANGE	+$6.6K	$254K	$260K	2,842	2,842
—	share class as filed: GLOBAL EQUITY · position key `sid:sec:prov:1eb9531d63c831f60db3863dbfe0d493` · issuer key `iss:2405`	NO CHANGE	−$2.9K	$228K	$225K	4,326	4,326
—	share class as filed: COM · position key `sid:sec:prov:b965dd2c9f3194bb720eb10650750f8f` · issuer key `cusip6:376546`	NO CHANGE	+$2.4K	$143K	$146K	10,262	10,262
—	share class as filed: COM NEW · position key `sid:sec:prov:b3eac0049a05318940034d59e570785c` · issuer key `cusip6:746228`	NO CHANGE	−$10.2K	$121K	$111K	11,000	11,000
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: SPONSORED ADS · position key `pos:17467` · issuer key `iss:1751` CALL	NO CHANGE	+$10.2K	$91.2K	$101K	300	300
—	share class as filed: COM · position key `sid:sec:prov:0ab9f07ec452c2b55c6ae5926daa3c90` · issuer key `cusip6:98212N`	NO CHANGE	−$52.4K	$148K	$96.0K	62,344	62,344
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: CL B NEW · position key `pos:11205` · issuer key `iss:255` CALL	NO CHANGE	−$4.7K	$101K	$95.8K	200	200
—	share class as filed: COM · position key `sid:sec:prov:d1063f52517bfc72e42d76eab256e99f` · issuer key `cusip6:37892C`	NO CHANGE	−$60.7K	$137K	$76.4K	148,121	148,121
—	share class as filed: COM · position key `sid:sec:prov:3afd4ea41b27296586109d67bc50fc4d` · issuer key `cusip6:42727E`	NO CHANGE	+$4.1K	$42.3K	$46.4K	34,139	34,139
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: COM CL A · position key `pos:13980` · issuer key `iss:1561` CALL	NO CHANGE	−$14.0K	$59.1K	$45.2K	3,000	3,000
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: COM CL A · position key `pos:16095` · issuer key `iss:151` CALL	NO CHANGE	−$27.6K	$67.4K	$39.8K	100	100
a reviewed mapping row for this filed issuer name and share class (never inferred from the name)	share class as filed: ISHARES · position key `pos:11024` · issuer key `iss:1014` CALL	NO CHANGE	+$744	$12.9K	$13.6K	200	200

Flags: no row carries a flag.

Holdings without a security ID are counted, not compared. Method ↗

Reported positions — 2026-03-31

445 issuers · 678 rows

View

This build carries one quarter for this manager: 2026-03-31. Notable managers carry four published quarters, others two.

This list carries reported issuer names and security identities, without a dated ticker mapping. Symbols are not inferred from names.

a position composed from a base filing plus NEW-HOLDINGS amendments keeps every source row here; the composition's latest filed date is the one shown served from this build's published holdings (derived from the filer's own reported rows); every row resolves to its filing

Share of total reported value, calculated only when the full position list has disclosed values. This is 13F long value, not total assets.

value undisclosed on the filing: retained and counted, excluded from sums, never shown as $0

—

SPDR SERIES TRUST

16 positions · 16 reported rows

Rows NorthRock Partners, LLC reported for SPDR SERIES TRUST, as it reported them
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$319M	4,164,509
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$259M	4,586,305
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$215M	2,194,615
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$114M	1,343,748
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$104M	1,083,341
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$75.5M	797,912
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$65.9M	682,296
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$31.7M	1,107,517
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$5.6M	192,498
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$4.3M	29,528
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$1.8M	23,093
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$1.2M	4,892
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$395K	11,780
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$267K	4,100
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$260K	2,842
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$218K	3,686

ticker not yet mapped

$1.2B

16,232,662

19.3%

—

ISHARES TR

39 positions · 39 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · RUS 1000 ETF CUSIP — src ↗	$106M	298,262
ISHARES TR · RUS MID CAP ETF CUSIP — src ↗	$68.8M	707,769
ISHARES TR · MSCI EAFE ETF CUSIP — src ↗	$66.4M	683,676
ISHARES TR · 7-10 YR TRSY BD CUSIP — src ↗	$50.0M	524,082
ISHARES TR · RUSSELL 2000 ETF CUSIP — src ↗	$47.5M	191,351
ISHARES TR · RUS 1000 GRW ETF CUSIP — src ↗	$41.1M	385,930
ISHARES TR · CORE S&P SCP ETF CUSIP — src ↗	$34.2M	274,803
ISHARES TR · S&P 500 VAL ETF CUSIP — src ↗	$32.9M	155,844
ISHARES TR · CORE US AGGBD ET CUSIP — src ↗	$30.8M	309,931
ISHARES TR · CORE S&P500 ETF CUSIP — src ↗	$18.6M	28,452
ISHARES TR · RUS MD CP GR ETF CUSIP — src ↗	$11.5M	89,844
ISHARES TR · RUS 1000 VAL ETF CUSIP — src ↗	$10.0M	46,827
ISHARES TR · S&P 500 GRWT ETF CUSIP — src ↗	$8.1M	71,554
ISHARES TR · CORE S&P MCP ETF CUSIP — src ↗	$2.7M	39,875
ISHARES TR · U.S. TECH ETF CUSIP — src ↗	$2.7M	14,651
ISHARES TR · DOW JONES US ETF CUSIP — src ↗	$2.6M	16,498
ISHARES TR · S&P SML 600 GWT CUSIP — src ↗	$2.6M	17,811
ISHARES TR · SELECT DIVID ETF CUSIP — src ↗	$2.2M	14,753
ISHARES TR · EXPANDED TECH CUSIP — src ↗	$1.8M	22,183
ISHARES TR · S&P 100 ETF CUSIP — src ↗	$1.8M	5,554
ISHARES TR · CORE S&P TTL STK CUSIP — src ↗	$1.6M	11,277
ISHARES TR · U.S. REAL ES ETF CUSIP — src ↗	$1.5M	16,100
ISHARES TR · MSCI EMG MKT ETF CUSIP — src ↗	$1.3M	22,586
ISHARES TR · RUS MDCP VAL ETF CUSIP — src ↗	$1.1M	7,403
ISHARES TR · US HLTHCARE ETF CUSIP — src ↗	$1.0M	16,975
ISHARES TR · RUS 2000 VAL ETF CUSIP — src ↗	$993K	5,236
ISHARES TR · RUS 2000 GRW ETF CUSIP — src ↗	$889K	2,832
ISHARES TR · EXPND TEC SC ETF CUSIP — src ↗	$457K	3,852
ISHARES TR · U.S. FINLS ETF CUSIP — src ↗	$422K	3,587
ISHARES TR · RUSSELL 3000 ETF CUSIP — src ↗	$413K	1,114
ISHARES TR · U.S. BAS MTL ETF CUSIP — src ↗	$364K	2,068
ISHARES TR · 1 3 YR TREAS BD CUSIP — src ↗	$350K	4,243
ISHARES TR · SP SMCP600VL ETF CUSIP — src ↗	$315K	2,655
ISHARES TR · IBOXX INV CP ETF CUSIP — src ↗	$279K	2,560
ISHARES TR · S&P MC 400VL ETF CUSIP — src ↗	$232K	1,747
ISHARES TR · CORE S&P US VLU CUSIP — src ↗	$216K	2,113
ISHARES TR · ISHARES BIOTECH CUSIP — src ↗	$216K	1,278
ISHARES TR · S&P MC 400GR ETF CUSIP — src ↗	$200K	1,989
ISHARES TR · RUSSELL 2000 ETF · CALL CUSIP — src ↗	$49.6K	200

ticker not yet mapped

$554M

4,009,465

8.9%

—

J P MORGAN EXCHANGE TRADED F · MORTGAGE BACKED CUSIP 46654Q575
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$497M

9,745,400

8.0%

—

VANGUARD INDEX FDS

13 positions · 13 reported rows

Rows NorthRock Partners, LLC reported for VANGUARD INDEX FDS, as it reported them
VANGUARD INDEX FDS · S&P 500 ETF SHS CUSIP 922908363 src ↗	$352M	588,417
VANGUARD INDEX FDS · TOTAL STK MKT CUSIP — src ↗	$26.0M	81,046
VANGUARD INDEX FDS · SMALL CP ETF CUSIP — src ↗	$12.7M	48,648
VANGUARD INDEX FDS · REAL ESTATE ETF CUSIP 922908553 src ↗	$9.7M	109,381
VANGUARD INDEX FDS · GROWTH ETF CUSIP — src ↗	$7.3M	99,802
VANGUARD INDEX FDS · EXTEND MKT ETF CUSIP — src ↗	$4.3M	21,097
VANGUARD INDEX FDS · VALUE ETF CUSIP — src ↗	$2.5M	12,994
VANGUARD INDEX FDS · SM CP VAL ETF CUSIP — src ↗	$2.5M	11,437
VANGUARD INDEX FDS · MID CAP ETF CUSIP — src ↗	$2.1M	29,370
VANGUARD INDEX FDS · LARGE CAP ETF CUSIP — src ↗	$1.1M	3,676
VANGUARD INDEX FDS · MCAP GR IDXVIP CUSIP 922908538 src ↗	$701K	2,722
VANGUARD INDEX FDS · SML CP GRW ETF CUSIP 922908595 src ↗	$593K	1,961
VANGUARD INDEX FDS · MCAP VL IDXVIP CUSIP 922908512 src ↗	$547K	2,968

ticker not yet mapped

$422M

1,013,519

6.8%

—

VANGUARD SCOTTSDALE FDS

9 positions · 9 reported rows

Rows NorthRock Partners, LLC reported for VANGUARD SCOTTSDALE FDS, as it reported them
VANGUARD SCOTTSDALE FDS · SHORT TERM TREAS CUSIP 92206C102 src ↗	$285M	4,867,688
VANGUARD SCOTTSDALE FDS · MTG-BKD SECS ETF CUSIP 92206C771 src ↗	$44.9M	957,078
VANGUARD SCOTTSDALE FDS · LONG TERM TREAS CUSIP 92206C847 src ↗	$13.3M	239,924
VANGUARD SCOTTSDALE FDS · SHRT TRM CORP BD CUSIP 92206C409 src ↗	$12.4M	156,828
VANGUARD SCOTTSDALE FDS · INT-TERM CORP CUSIP — src ↗	$6.8M	82,660
VANGUARD SCOTTSDALE FDS · INTER TERM TREAS CUSIP 92206C706 src ↗	$1.6M	26,476
VANGUARD SCOTTSDALE FDS · VNG RUS1000VAL CUSIP 92206C714 src ↗	$1.2M	13,028
VANGUARD SCOTTSDALE FDS · LG-TERM COR BD CUSIP 92206C813 src ↗	$829K	11,100
VANGUARD SCOTTSDALE FDS · VNG RUS1000GRW CUSIP 92206C680 src ↗	$293K	2,671

ticker not yet mapped

$366M

6,357,453

5.9%

—

ISHARES TR

18 positions · 18 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · GLB INFRASTR ETF CUSIP — src ↗	$179M	2,668,843
ISHARES TR · MBS ETF CUSIP — src ↗	$44.3M	466,390
ISHARES TR · EAFE GRWTH ETF CUSIP — src ↗	$17.3M	155,640
ISHARES TR · US AER DEF ETF CUSIP — src ↗	$11.2M	51,095
ISHARES TR · ISHS 5-10YR INVT CUSIP — src ↗	$10.4M	196,247
ISHARES TR · EAFE VALUE ETF CUSIP — src ↗	$7.2M	97,378
ISHARES TR · ESG OPTIMIZED CUSIP — src ↗	$3.6M	27,246
ISHARES TR · 10-20 YR TRS ETF CUSIP — src ↗	$1.5M	15,371
ISHARES TR · ESG MSCI KLD 400 CUSIP — src ↗	$1.4M	11,434
ISHARES TR · USD INV GRDE ETF CUSIP — src ↗	$1.0M	20,182
ISHARES TR · INTL TREA BD ETF CUSIP — src ↗	$964K	23,487
ISHARES TR · U.S. MED DVC ETF CUSIP — src ↗	$613K	11,499
ISHARES TR · TRUST ISHARE 0-1 CUSIP — src ↗	$593K	5,375
ISHARES TR · NATIONAL MUN ETF CUSIP — src ↗	$549K	5,174
ISHARES TR · JPMORGAN USD EMG CUSIP — src ↗	$478K	5,092
ISHARES TR · INTL SEL DIV ETF CUSIP — src ↗	$304K	7,145
ISHARES TR · 3 7 YR TREAS BD CUSIP — src ↗	$255K	2,148
ISHARES TR · EAFE SML CP ETF CUSIP — src ↗	$237K	3,027

ticker not yet mapped

$281M

3,772,773

4.5%

—

ISHARES TR

6 positions · 6 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · 0-3 MNTH TREASRY CUSIP 46436E718 src ↗	$226M	2,242,910
ISHARES TR · US TECH BRKTHR CUSIP 46436E502 src ↗	$5.3M	94,890
ISHARES TR · ESG SELECT SCRE CUSIP 46436E569 src ↗	$2.3M	47,274
ISHARES TR · ESG EAFE ETF CUSIP 46436E759 src ↗	$2.3M	30,772
ISHARES TR · ESG SELECT SCRE CUSIP 46436E551 src ↗	$863K	19,020
ISHARES TR · ESG SELECT SCREE CUSIP 46436E544 src ↗	$320K	7,352

ticker not yet mapped

$237M

2,442,218

3.8%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

INVESCO QQQ TR · UNIT SER 1 CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$225M

389,838

3.6%

—

ISHARES TR

7 positions · 7 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · HDG MSCI EAFE CUSIP 46434V803 src ↗	$131M	3,074,762
ISHARES TR · CORE UNIVRSL USD CUSIP 46434V613 src ↗	$55.1M	1,191,852
ISHARES TR · CORE DIV GRWTH CUSIP — src ↗	$8.4M	120,395
ISHARES TR · CORE MSCI EURO CUSIP 46434V738 src ↗	$7.5M	106,545
ISHARES TR · MSCI INTL QUALTY CUSIP 46434V456 src ↗	$559K	12,098
ISHARES TR · U S EQUITY FACTR CUSIP 46434V282 src ↗	$344K	5,218
ISHARES TR · GLOBAL EQUITY CUSIP 46434V316 src ↗	$225K	4,326

ticker not yet mapped

$203M

4,515,196

3.3%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

APPLE INC

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for APPLE INC, as it reported them
APPLE INC · COM CUSIP — src ↗	$196M	774,012
APPLE INC · COM · PUT CUSIP — src ↗	$1.3M	5,000

$198M

779,012

3.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

STATE STR SPDR S&P 500 ETF T

3 positions · 3 reported rows

Rows NorthRock Partners, LLC reported for STATE STR SPDR S&P 500 ETF T, as it reported them
STATE STR SPDR S&P 500 ETF T · TR UNIT CUSIP — src ↗	$185M	284,894
STATE STR SPDR S&P 500 ETF T · TR UNIT · CALL CUSIP — src ↗	$260K	400
STATE STR SPDR S&P 500 ETF T · TR UNIT · PUT CUSIP — src ↗	$65.0K	100

$186M

285,394

3.0%

—

J P MORGAN EXCHANGE TRADED F

4 positions · 4 reported rows

Rows NorthRock Partners, LLC reported for J P MORGAN EXCHANGE TRADED F, as it reported them
J P MORGAN EXCHANGE TRADED F · ULTRA SHT MUNCPL CUSIP 46641Q654 src ↗	$76.0M	1,491,349
J P MORGAN EXCHANGE TRADED F · INCOME ETF CUSIP 46641Q159 src ↗	$699K	15,180
J P MORGAN EXCHANGE TRADED F · DIV RTN INT EQ CUSIP 46641Q209 src ↗	$307K	4,306
J P MORGAN EXCHANGE TRADED F · ULTRA SHRT ETF CUSIP 46641Q837 src ↗	$238K	4,695

ticker not yet mapped

$77.3M

1,515,530

1.2%

—

BLACKROCK ETF TRUST

5 positions · 5 reported rows

Rows NorthRock Partners, LLC reported for BLACKROCK ETF TRUST, as it reported them
BLACKROCK ETF TRUST · DYNAMIC EQTY ACT CUSIP — src ↗	$26.7M	1,097,932
BLACKROCK ETF TRUST · ISHARES US EQUIT CUSIP — src ↗	$25.1M	431,747
BLACKROCK ETF TRUST · ISHARES A I INNO CUSIP — src ↗	$13.6M	414,031
BLACKROCK ETF TRUST · DISCIPLINED VOLA CUSIP — src ↗	$10.1M	409,187
BLACKROCK ETF TRUST · ISHARES US LARG CUSIP — src ↗	$433K	14,046

ticker not yet mapped

$76.0M

2,366,943

1.2%

—

ISHARES INC

4 positions · 4 reported rows

Rows NorthRock Partners, LLC reported for ISHARES INC, as it reported them
ISHARES INC · CORE MSCI EMKT CUSIP — src ↗	$66.0M	945,629
ISHARES INC · MSCI EMRG CHN CUSIP — src ↗	$5.9M	75,044
ISHARES INC · MSCI JAPAN ETF CUSIP — src ↗	$2.5M	29,215
ISHARES INC · ESG AWR MSCI EM CUSIP — src ↗	$1.6M	35,826

ticker not yet mapped

$76.0M

1,085,714

1.2%

—

LATTICE STRATEGIES TR

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for LATTICE STRATEGIES TR, as it reported them
LATTICE STRATEGIES TR · HARTFORD US EQTY CUSIP 518416409 src ↗	$75.3M	1,274,569
LATTICE STRATEGIES TR · HARTFORD MLT ETF CUSIP 518416102 src ↗	$226K	5,730

ticker not yet mapped

$75.5M

1,280,299

1.2%

—

SCHWAB STRATEGIC TR

19 positions · 19 reported rows

Rows NorthRock Partners, LLC reported for SCHWAB STRATEGIC TR, as it reported them
SCHWAB STRATEGIC TR · US AGGREGATE B CUSIP — src ↗	$28.1M	1,209,030
SCHWAB STRATEGIC TR · US LRG CAP ETF CUSIP — src ↗	$10.3M	403,164
SCHWAB STRATEGIC TR · 1000 INDEX ETF CUSIP — src ↗	$5.5M	175,317
SCHWAB STRATEGIC TR · SHT TM US TRES CUSIP — src ↗	$3.7M	153,276
SCHWAB STRATEGIC TR · US MID-CAP ETF CUSIP — src ↗	$3.5M	111,965
SCHWAB STRATEGIC TR · INTL EQTY ETF CUSIP — src ↗	$2.2M	90,907
SCHWAB STRATEGIC TR · LONG TERM US CUSIP — src ↗	$1.5M	49,130
SCHWAB STRATEGIC TR · US SML CAP ETF CUSIP — src ↗	$1.4M	47,361
SCHWAB STRATEGIC TR · FUNDAMENTAL INTL CUSIP — src ↗	$1.2M	24,133
SCHWAB STRATEGIC TR · US LCAP GR ETF CUSIP — src ↗	$992K	34,059
SCHWAB STRATEGIC TR · US BRD MKT ETF CUSIP — src ↗	$835K	33,258
SCHWAB STRATEGIC TR · INT-TRM U.S TRES CUSIP — src ↗	$670K	26,877
SCHWAB STRATEGIC TR · US LCAP VA ETF CUSIP — src ↗	$553K	18,134
SCHWAB STRATEGIC TR · EMRG MKTEQ ETF CUSIP — src ↗	$537K	16,285
SCHWAB STRATEGIC TR · US DIVIDEND EQ CUSIP — src ↗	$525K	17,098
SCHWAB STRATEGIC TR · FUNDAMENTAL US L CUSIP — src ↗	$428K	15,371
SCHWAB STRATEGIC TR · FUNDAMENTAL US S CUSIP — src ↗	$355K	10,960
SCHWAB STRATEGIC TR · FUNDAMENTAL EMER CUSIP — src ↗	$247K	6,448
SCHWAB STRATEGIC TR · 5 10YR CORP BD CUSIP — src ↗	$211K	9,316

ticker not yet mapped

$62.8M

2,452,089

1.0%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

MICROSOFT CORP

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for MICROSOFT CORP, as it reported them
MICROSOFT CORP · COM CUSIP — src ↗	$58.2M	157,278
MICROSOFT CORP · COM · CALL CUSIP — src ↗	$740K	2,000

$59.0M

159,278

1.0%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

NVIDIA CORPORATION · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$58.8M

337,012

0.9%

—

SPDR INDEX SHS FDS

3 positions · 3 reported rows

Rows NorthRock Partners, LLC reported for SPDR INDEX SHS FDS, as it reported them
SPDR INDEX SHS FDS · STATE STREET SPD CUSIP 78463X509 src ↗	$52.8M	1,124,639
SPDR INDEX SHS FDS · STATE STREET SPD CUSIP 78463X434 src ↗	$2.7M	29,217
SPDR INDEX SHS FDS · STATE STREET SPD CUSIP 78463X541 src ↗	$200K	2,684

ticker not yet mapped

$55.7M

1,156,540

0.9%

—

SELECT SECTOR SPDR TR

10 positions · 10 reported rows

Rows NorthRock Partners, LLC reported for SELECT SECTOR SPDR TR, as it reported them
SELECT SECTOR SPDR TR · STATE STREET TEC CUSIP — src ↗	$17.8M	134,002
SELECT SECTOR SPDR TR · STATE STREET FIN CUSIP 81369Y605 src ↗	$11.4M	230,873
SELECT SECTOR SPDR TR · STATE STREET IND CUSIP 81369Y704 src ↗	$6.5M	40,424
SELECT SECTOR SPDR TR · STATE STREET HEA CUSIP 81369Y209 src ↗	$5.7M	38,690
SELECT SECTOR SPDR TR · STATE STREET ENE CUSIP 81369Y506 src ↗	$4.7M	76,026
SELECT SECTOR SPDR TR · STATE STREET CON CUSIP 81369Y407 src ↗	$3.3M	30,147
SELECT SECTOR SPDR TR · STATE STREET COM CUSIP 81369Y852 src ↗	$3.1M	28,203
SELECT SECTOR SPDR TR · STATE STREET CON CUSIP — src ↗	$411K	5,014
SELECT SECTOR SPDR TR · STATE STREET REA CUSIP 81369Y860 src ↗	$228K	5,595
SELECT SECTOR SPDR TR · STATE STREET FIN · PUT CUSIP 81369Y605 src ↗	$24.7K	500

ticker not yet mapped

$53.2M

589,474

0.9%

—

ISHARES TR

7 positions · 7 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · 0-5 YR TIPS ETF CUSIP 46429B747 src ↗	$23.6M	227,876
ISHARES TR · US TREAS BD ETF CUSIP 46429B267 src ↗	$15.5M	677,582
ISHARES TR · A RATE CP BD ETF CUSIP 46429B291 src ↗	$3.3M	69,682
ISHARES TR · FLTG RATE NT ETF CUSIP 46429B655 src ↗	$3.1M	60,803
ISHARES TR · MSCI USA MIN VOL CUSIP 46429B697 src ↗	$2.8M	30,132
ISHARES TR · CORE HIGH DV ETF CUSIP 46429B663 src ↗	$862K	31,764
ISHARES TR · MSCI EAFE MIN VL CUSIP 46429B689 src ↗	$228K	2,499

ticker not yet mapped

$49.4M

1,100,338

0.8%

—

FIRST TR EXCHNG TRADED FD VI · FT VEST LADDERED CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$48.3M

1,429,232

0.8%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred) verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ALPHABET INC

3 positions · 3 reported rows

Rows NorthRock Partners, LLC reported for ALPHABET INC, as it reported them
ALPHABET INC · CAP STK CL A CUSIP — src ↗	$19.5M	67,978
ALPHABET INC · CAP STK CL C CUSIP — src ↗	$17.8M	62,084
ALPHABET INC · CAP STK CL A · CALL CUSIP — src ↗	$28.8K	100

$37.4M

130,162

0.6%

—

INVESCO EXCH TRADED FD TR II

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for INVESCO EXCH TRADED FD TR II, as it reported them
INVESCO EXCH TRADED FD TR II · NASDAQ 100 ETF CUSIP — src ↗	$26.7M	112,440
INVESCO EXCH TRADED FD TR II · INVESCO PHLX SM CUSIP 46138G615 src ↗	$9.5M	159,046

ticker not yet mapped

$36.2M

271,486

0.6%

—

VANGUARD WHITEHALL FDS

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for VANGUARD WHITEHALL FDS, as it reported them
VANGUARD WHITEHALL FDS · INTL HIGH ETF CUSIP — src ↗	$30.5M	323,544
VANGUARD WHITEHALL FDS · HIGH DIV YLD CUSIP — src ↗	$1.1M	7,098

ticker not yet mapped

$31.5M

330,642

0.5%

—

AB ACTIVE ETFS INC · TAX AWARE INTERM CUSIP 00039J889
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$31.4M

1,242,535

0.5%

—

VANGUARD TAX-MANAGED FDS · VAN FTSE DEV MKT CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$29.6M

461,341

0.5%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

MONDELEZ INTL INC · CL A CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$29.5M

512,580

0.5%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

PROGRESSIVE CORP

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for PROGRESSIVE CORP, as it reported them
PROGRESSIVE CORP · COM CUSIP — src ↗	$26.6M	134,202
PROGRESSIVE CORP · COM · PUT CUSIP — src ↗	$2.6M	13,200

$29.2M

147,402

0.5%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

PHILIP MORRIS INTL INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$29.0M

175,418

0.5%

—

ISHARES TR

8 positions · 8 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · ESG AWR MSCI USA CUSIP 46435G425 src ↗	$9.6M	67,679
ISHARES TR · INVESTMENT GRADE CUSIP 46435G219 src ↗	$7.9M	175,208
ISHARES TR · ESG AW MSCI EAFE CUSIP 46435G516 src ↗	$6.0M	62,593
ISHARES TR · ESG AWRE 1 5 YR CUSIP 46435G243 src ↗	$2.6M	103,191
ISHARES TR · CONV BD ETF CUSIP 46435G102 src ↗	$1.0M	10,110
ISHARES TR · FALN ANGLS USD CUSIP 46435G474 src ↗	$832K	31,126
ISHARES TR · CORE MSCI INTL CUSIP 46435G326 src ↗	$266K	3,181
ISHARES TR · MSCI UK ETF NEW CUSIP 46435G334 src ↗	$260K	5,707

ticker not yet mapped

$28.4M

458,795

0.5%

—

SPDR SERIES TRUST

7 positions · 7 reported rows

Rows NorthRock Partners, LLC reported for SPDR SERIES TRUST, as it reported them
SPDR SERIES TRUST · STATE STREET SPD CUSIP 78468R663 src ↗	$20.6M	224,326
SPDR SERIES TRUST · STATE STREET SPD CUSIP — src ↗	$3.4M	71,374
SPDR SERIES TRUST · STATE STREET SPD CUSIP 78468R887 src ↗	$1.5M	10,812
SPDR SERIES TRUST · STATE STREET SPD CUSIP 78468R812 src ↗	$1.2M	6,777
SPDR SERIES TRUST · STATE STREET SPD CUSIP 78468R788 src ↗	$622K	13,671
SPDR SERIES TRUST · STATE STREET SPD CUSIP 78468R770 src ↗	$476K	3,961
SPDR SERIES TRUST · STATE STREET SPD CUSIP 78468R796 src ↗	$383K	7,222

ticker not yet mapped

$28.1M

338,143

0.5%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

AMAZON COM INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$27.0M

129,681

0.4%

BERKSHIRE HATHAWAY INC DEL

3 positions · 3 reported rows

Rows NorthRock Partners, LLC reported for BERKSHIRE HATHAWAY INC DEL, as it reported them
BERKSHIRE HATHAWAY INC DEL · CL B NEW CUSIP — src ↗	$20.2M	42,083
BERKSHIRE HATHAWAY INC DEL · CL A CUSIP — src ↗	$6.5M	9
BERKSHIRE HATHAWAY INC DEL · CL B NEW · CALL CUSIP — src ↗	$95.8K	200

$26.7M

42,292

0.4%

—

ISHARES TR

5 positions · 5 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · MSCI USA MMENTM CUSIP 46432F396 src ↗	$15.0M	62,429
ISHARES TR · CORE MSCI EAFE CUSIP 46432F842 src ↗	$4.6M	51,195
ISHARES TR · MSCI USA QLT FCT CUSIP 46432F339 src ↗	$3.4M	17,585
ISHARES TR · MSCI USA VALUE CUSIP 46432F388 src ↗	$2.6M	18,375
ISHARES TR · CORE MSCI TOTAL CUSIP 46432F834 src ↗	$1.0M	11,663

ticker not yet mapped

$26.6M

161,247

0.4%

—

INVESCO EXCHANGE TRADED FD T

11 positions · 11 reported rows

Rows NorthRock Partners, LLC reported for INVESCO EXCHANGE TRADED FD T, as it reported them
INVESCO EXCHANGE TRADED FD T · S&P500 QUALITY CUSIP — src ↗	$16.9M	224,229
INVESCO EXCHANGE TRADED FD T · S&P500 EQL WGT CUSIP — src ↗	$5.5M	28,809
INVESCO EXCHANGE TRADED FD T · BUYBACK ACHIEV CUSIP — src ↗	$656K	5,000
INVESCO EXCHANGE TRADED FD T · LARGE CAP GROWTH CUSIP — src ↗	$426K	3,380
INVESCO EXCHANGE TRADED FD T · WATER RES ETF CUSIP — src ↗	$391K	5,847
INVESCO EXCHANGE TRADED FD T · S&P500 EQL TEC CUSIP — src ↗	$383K	8,467
INVESCO EXCHANGE TRADED FD T · S&P 500 GARP ETF CUSIP — src ↗	$297K	2,758
INVESCO EXCHANGE TRADED FD T · S&P MDCP MOMNTUM CUSIP — src ↗	$294K	2,029
INVESCO EXCHANGE TRADED FD T · S&P 500 TOP 50 CUSIP — src ↗	$223K	4,084
INVESCO EXCHANGE TRADED FD T · RAFI US 1000 ETF CUSIP — src ↗	$214K	4,501
INVESCO EXCHANGE TRADED FD T · INTL DIVI ACHI CUSIP — src ↗	$214K	9,609

ticker not yet mapped

$25.5M

298,713

0.4%

—

VANGUARD INTL EQUITY INDEX F

3 positions · 3 reported rows

Rows NorthRock Partners, LLC reported for VANGUARD INTL EQUITY INDEX F, as it reported them
VANGUARD INTL EQUITY INDEX F · FTSE EMR MKT ETF CUSIP 922042858 src ↗	$23.5M	435,614
VANGUARD INTL EQUITY INDEX F · FTSE EUROPE ETF CUSIP 922042874 src ↗	$1.1M	13,134
VANGUARD INTL EQUITY INDEX F · ALLWRLD EX US CUSIP — src ↗	$826K	11,003

ticker not yet mapped

$25.5M

459,751

0.4%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

PROCTER & GAMBLE CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$23.7M

164,427

0.4%

—

ISHARES TR

6 positions · 6 reported rows

Rows NorthRock Partners, LLC reported for ISHARES TR, as it reported them
ISHARES TR · ESG AWARE MSCI CUSIP 46435U663 src ↗	$6.5M	138,397
ISHARES TR · FUTURE AI & TECH CUSIP 46435U556 src ↗	$6.0M	128,549
ISHARES TR · ESG AWR US AGRGT CUSIP 46435U549 src ↗	$4.4M	91,601
ISHARES TR · SYSTEMATIC BD ET CUSIP 46435U796 src ↗	$3.8M	42,829
ISHARES TR · CYBERSECURITY CUSIP 46435U135 src ↗	$2.1M	47,260
ISHARES TR · CORE DIVID ETF CUSIP 46435U861 src ↗	$1.0M	18,572

ticker not yet mapped

$23.7M

467,208

0.4%

—

BLACKROCK ETF TRUST II

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for BLACKROCK ETF TRUST II, as it reported them
BLACKROCK ETF TRUST II · ISHARES FLEXIBLE CUSIP — src ↗	$17.9M	344,179
BLACKROCK ETF TRUST II · ISHARES AAA CLO CUSIP — src ↗	$2.9M	56,642

ticker not yet mapped

$20.8M

400,821

0.3%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

TESLA INC

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for TESLA INC, as it reported them
TESLA INC · COM CUSIP — src ↗	$18.0M	48,390
TESLA INC · COM · CALL CUSIP — src ↗	$112K	300

$18.1M

48,690

0.3%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

JPMORGAN CHASE & CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$17.8M

60,410

0.3%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ABBVIE INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$14.1M

64,756

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ALTRIA GROUP INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$13.1M

198,271

0.2%

—

DBX ETF TR

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for DBX ETF TR, as it reported them
DBX ETF TR · XTRACK USD HIGH CUSIP 233051432 src ↗	$11.0M	305,036
DBX ETF TR · XTRACKRS S&P 500 CUSIP 233051143 src ↗	$1.4M	23,208

ticker not yet mapped

$12.4M

328,244

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

BROADCOM INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$11.1M

35,927

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

META PLATFORMS INC · CL A CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$10.9M

19,050

0.2%

—

VANGUARD SPECIALIZED FUNDS · DIV APP ETF CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$10.7M

49,661

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

KEURIG DR PEPPER INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$10.6M

403,937

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

EXXON MOBIL CORP · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$10.3M

60,712

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

UNITED PARCEL SVCS INC · CL B CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$10.3M

104,539

0.2%

—

VANGUARD CHARLOTTE FDS · TOTAL INT BD ETF CUSIP 92203J407
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$9.8M

204,816

0.2%

—

VANGUARD WORLD FD

3 positions · 3 reported rows

Rows NorthRock Partners, LLC reported for VANGUARD WORLD FD, as it reported them
VANGUARD WORLD FD · INF TECH ETF CUSIP 92204A702 src ↗	$8.7M	99,329
VANGUARD WORLD FD · CONSUM DIS ETF CUSIP 92204A108 src ↗	$553K	1,539
VANGUARD WORLD FD · CONSUM STP ETF CUSIP 92204A207 src ↗	$524K	2,334

ticker not yet mapped

$9.7M

103,202

0.2%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

VISA INC · COM CL A CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$9.2M

30,491

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

CHEVRON CORPORATION · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$9.1M

44,183

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

JOHNSON & JOHNSON · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$8.5M

34,953

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

COSTCO WHOLESALE CORPORATION · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$7.6M

7,660

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

WALMART INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$7.3M

58,822

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

CATERPILLAR INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$7.1M

10,086

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

MCDONALDS CORP · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$7.1M

22,807

0.1%

—

DIMENSIONAL ETF TRUST

5 positions · 5 reported rows

Rows NorthRock Partners, LLC reported for DIMENSIONAL ETF TRUST, as it reported them
DIMENSIONAL ETF TRUST · US CORE EQUITY 2 CUSIP 25434V708 src ↗	$4.4M	112,300
DIMENSIONAL ETF TRUST · US MKTWIDE VALUE CUSIP 25434V724 src ↗	$877K	18,092
DIMENSIONAL ETF TRUST · US EQUITY MARKET CUSIP 25434V401 src ↗	$873K	12,315
DIMENSIONAL ETF TRUST · US TARGETED VLU CUSIP 25434V609 src ↗	$327K	5,233
DIMENSIONAL ETF TRUST · US SMALL CAP ETF CUSIP 25434V500 src ↗	$324K	4,548

ticker not yet mapped

$6.8M

152,488

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

HAWKINS INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$6.7M

43,827

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ELI LILLY & CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$6.6M

7,201

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

AMERIPRISE FINL INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$6.6M

14,871

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

PEPSICO INC

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for PEPSICO INC, as it reported them
PEPSICO INC · COM CUSIP — src ↗	$5.7M	36,577
PEPSICO INC · COM · PUT CUSIP — src ↗	$31.1K	200

$5.7M

36,777

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

NETFLIX INC. · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$5.5M

57,568

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ORACLE CORP · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$5.2M

35,419

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

KRAFT HEINZ CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$5.2M

229,271

0.1%

—

PROSHARES TR · ULTRAPRO QQQ CUSIP 74347X831
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$5.1M

122,144

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

WELLS FARGO & CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$5.0M

62,961

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

LOCKHEED MARTIN CORP · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.8M

7,975

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

PALANTIR TECHNOLOGIES INC · CL A CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.5M

31,098

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

STRYKER CORPORATION · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.3M

12,985

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

INTERNATIONAL BUSINESS MACHS · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.2M

17,298

0.1%

—

WISDOMTREE TR

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for WISDOMTREE TR, as it reported them
WISDOMTREE TR · JAPN HEDGE EQT CUSIP — src ↗	$3.9M	24,576
WISDOMTREE TR · US MIDCAP DIVID CUSIP — src ↗	$294K	5,586

ticker not yet mapped

$4.2M

30,162

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

AMERICAN EXPRESS CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.2M

13,797

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ISHARES GOLD TR · ISHARES NEW CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.1M

46,777

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

MERCK & CO INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.1M

34,262

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

CORNING INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.0M

29,321

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

TAIWAN SEMICONDUCTOR MANUFAC

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for TAIWAN SEMICONDUCTOR MANUFAC, as it reported them
TAIWAN SEMICONDUCTOR MANUFAC · SPONSORED ADS CUSIP — src ↗	$3.9M	11,468
TAIWAN SEMICONDUCTOR MANUFAC · SPONSORED ADS · CALL CUSIP — src ↗	$101K	300

$4.0M

11,768

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

CISCO SYS INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$4.0M

51,081

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ABBOTT LABORATORIES · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.9M

37,785

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

ADVANCED MICRO DEVICES INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.8M

18,737

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

VEEVA SYS INC · CL A COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.8M

21,441

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

BOEING CO

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for BOEING CO, as it reported them
BOEING CO · COM CUSIP — src ↗	$3.7M	18,538
BOEING CO · COM · PUT CUSIP — src ↗	$19.9K	100

$3.7M

18,638

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

BANK AMERICA CORP · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.6M

74,588

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

HOME DEPOT INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.6M

10,995

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

RTX CORPORATION · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.5M

18,340

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

TARGET CORP · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.3M

27,428

0.1%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

COCA COLA CO · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.2M

42,441

0.1%

—

GLOBAL X FDS

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for GLOBAL X FDS, as it reported them
GLOBAL X FDS · US INFR DEV ETF CUSIP 37954Y673 src ↗	$2.9M	58,015
GLOBAL X FDS · GLOBAL X URANIUM CUSIP 37954Y871 src ↗	$206K	4,262

ticker not yet mapped

$3.2M

62,277

0.1%

—

WISDOMTREE TR · FLOATNG RAT TREA CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$3.1M

61,409

0.0%

—

VANECK ETF TRUST

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for VANECK ETF TRUST, as it reported them
VANECK ETF TRUST · SEMICONDUCTR ETF CUSIP — src ↗	$2.6M	6,889
VANECK ETF TRUST · JUNIOR GOLD MINE CUSIP 92189F791 src ↗	$352K	2,933

ticker not yet mapped

$3.0M

9,822

0.0%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

SPDR GOLD TR · GOLD SHS CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$3.0M

6,864

0.0%

—

INVESCO EXCH TRADED FD TR II

4 positions · 4 reported rows

Rows NorthRock Partners, LLC reported for INVESCO EXCH TRADED FD TR II, as it reported them
INVESCO EXCH TRADED FD TR II · NATL AMT MUNI CUSIP — src ↗	$1.0M	45,153
INVESCO EXCH TRADED FD TR II · S&P500 LOW VOL CUSIP 46138E354 src ↗	$925K	12,646
INVESCO EXCH TRADED FD TR II · S&P GBL WATER CUSIP 46138E263 src ↗	$573K	8,966
INVESCO EXCH TRADED FD TR II · CALIF AMT MUN CUSIP 46138E206 src ↗	$287K	12,026

ticker not yet mapped

$2.8M

78,791

0.0%

—

VANGUARD BD INDEX FDS

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for VANGUARD BD INDEX FDS, as it reported them
VANGUARD BD INDEX FDS · TOTAL BND MRKT CUSIP — src ↗	$2.5M	34,121
VANGUARD BD INDEX FDS · INTERMED TERM CUSIP 921937819 src ↗	$284K	3,676

ticker not yet mapped

$2.8M

37,797

0.0%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

GE VERNOVA INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$2.7M

3,129

0.0%

—

EA SERIES TRUST · MARKETDESK FOCUS CUSIP 02072L417
2026-03-31 filed 2026-05-15 +45d

src ↗

ticker not yet mapped

$2.7M

101,840

0.0%

—

NEW YORK LIFE INVESTMENTS ET

2 positions · 2 reported rows

Rows NorthRock Partners, LLC reported for NEW YORK LIFE INVESTMENTS ET, as it reported them
NEW YORK LIFE INVESTMENTS ET · NYLI FTSE INTERN CUSIP 45409B560 src ↗	$2.3M	68,582
NEW YORK LIFE INVESTMENTS ET · NYLI HEDGE MULTI CUSIP 45409B107 src ↗	$344K	10,076

ticker not yet mapped

$2.6M

78,658

0.0%

verified against the SEC company list on 2026-09-10 — a reviewed mapping row for this filed issuer name and class (never inferred)

BLACKROCK INC · COM CUSIP —
2026-03-31 filed 2026-05-15 +45d

src ↗

$2.6M

2,743

0.0%

1–20 of the 100 issuers on this page

One line per issuer, largest first — open a line for its reported rows. Grouping ↗

Book shape

Tick = median of the 8,748 tracked filers with a 2026-03-31 book (the index median: the 8,662 with a complete book). Concentration uses reported 13F long value, not total assets; the index is withheld when any position lacks a value.

share of the period's disclosed value held in the top-N positions; denominator is reported 13F value, not total assets: 65.4%below median 80.0%
integer Herfindahl–Hirschman index in basis points over disclosed position values: 262 bpsbelow median 446 bps
holdings with no disclosed value (undisclosed, or unreadable on the filing) — kept and counted, never shown as zero: 678 / 678median book 97.5 positions

729 quarter-over-quarter rows

Filing history

Available filing periods
Period	Source
2026-03-31	EDGAR ↗

Complete source filings on SEC EDGAR

The filing on EDGAR is the record, including any filed after this build.

Open NorthRock Partners, LLC's 13F filings on SEC EDGAR ↗

A 13F is a quarterly, long-only snapshot filed up to 45 days late — not current holdings. what a 13F covers ↗

13F reports cover LONG positions in Section 13(f) securities (US exchange-traded equities plus reportable options, warrants, certain convertibles) held by managers with at least $100M in such securities — so managers below that threshold are absent entirely. No short positions, no cash, no non-13(f) assets — not a full portfolio, and not a census of institutional ownership.

Positions are quarter-end snapshots filed up to 45 days late — not current holdings: a position may have changed or closed since the quarter ended.

Values are the manager's stated market value at quarter-end in era-dependent units (whole dollars for form versions effective 2023-01-03 onward, thousands before), normalized here to whole dollars; each record notes its original unit.

Affiliated managers may report the same position, so one position can appear under more than one filer.

Positions under confidential treatment may be omitted until a later amendment discloses them.

These are disclosures, not investment advice.

Changes · Q1 2026Quarter ended 2026-03-31. Newest filing in this build: 2026-07-31. Per-row filing dates are on each receipt.

Reported positions — 2026-03-31

Book shape

Filing history

Changes · Quarter ended 2026-03-31. Newest filing in this build: 2026-07-31. Per-row filing dates are on each receipt.