NORTHROCK PARTNERS, LLC

PrivateCIK: 1632097
Location

MINNEAPOLIS, MN

654
Positions
$6.20B
Total AUM (reported)
77.01M
Total Shares

Allocation by class

TOTAL AUM$6.20B654 positions
STATE STREET SPD$1.28B20.7%
COM$840.59M13.6%
MORTGAGE BACKED$497.02M8.0%
S&P 500 ETF SHS$351.61M5.7%
SHORT TERM TREAS$284.95M4.6%
0-3 MNTH TREASRY$225.77M3.6%
UNIT SER 1$225.01M3.6%

Portfolio Concentration

Top 318.8%4–1025.7%11–2521.0%Rest34.5%TOP 1044.5%0%100%
Top 3$1.17B18.8%
4–10$1.59B25.7%
11–25$1.30B21.0%
Rest$2.14B34.5%

Top 3 weight

18.8%

Top 10 weight

44.5%

Voting Authority Distribution

Total shares with voting rights: 77.01M

Sole

Full voting authority

0.00

shares

% of voting shares0.0%
Shared

Joint voting authority

0.00

shares

% of voting shares0.0%
None

No voting authority

77.01M

shares

% of voting shares100.0%

Investment Discretion (by position count)

Sole654
Shared0
Other0
Dominant voting typeNone · 100.0% of voting shares
Institutional Holdings654
Rows:

J P MORGAN EXCHANGE TRADED F

SOLE
MORTGAGE BACKED
Shares9.75M
TypeSH
Market value$497.02M
8.01%
Sole
0.00
Shared
0.00
None
9.75M

VANGUARD INDEX FDS

SOLE
S&P 500 ETF SHS
Shares588.42K
TypeSH
Market value$351.61M
5.67%
Sole
0.00
Shared
0.00
None
588.42K

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares4.16M
TypeSH
Market value$318.75M
5.14%
Sole
0.00
Shared
0.00
None
4.16M

VANGUARD SCOTTSDALE FDS

SOLE
SHORT TERM TREAS
Shares4.87M
TypeSH
Market value$284.95M
4.59%
Sole
0.00
Shared
0.00
None
4.87M

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares4.59M
TypeSH
Market value$259.49M
4.18%
Sole
0.00
Shared
0.00
None
4.59M

ISHARES TR

SOLE
0-3 MNTH TREASRY
Shares2.24M
TypeSH
Market value$225.77M
3.64%
Sole
0.00
Shared
0.00
None
2.24M

INVESCO QQQ TR

SOLE
UNIT SER 1
Shares389.84K
TypeSH
Market value$225.01M
3.63%
Sole
0.00
Shared
0.00
None
389.84K

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares2.19M
TypeSH
Market value$214.87M
3.46%
Sole
0.00
Shared
0.00
None
2.19M

APPLE INC

SOLE
COM
Shares779.01K
TypeSH
Market value$197.71M
3.19%
Sole
0.00
Shared
0.00
None
779.01K

STATE STR SPDR S&P 500 ETF T

SOLE
TR UNIT
Shares285.39K
TypeSH
Market value$185.60M
2.99%
Sole
0.00
Shared
0.00
None
285.39K

ISHARES TR

SOLE
GLB INFRASTR ETF
Shares2.67M
TypeSH
Market value$178.81M
2.88%
Sole
0.00
Shared
0.00
None
2.67M

ISHARES TR

SOLE
HDG MSCI EAFE
Shares3.07M
TypeSH
Market value$130.66M
2.11%
Sole
0.00
Shared
0.00
None
3.07M

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares1.34M
TypeSH
Market value$114.42M
1.84%
Sole
0.00
Shared
0.00
None
1.34M

ISHARES TR

SOLE
RUS 1000 ETF
Shares298.26K
TypeSH
Market value$106.35M
1.71%
Sole
0.00
Shared
0.00
None
298.26K

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares1.08M
TypeSH
Market value$103.96M
1.68%
Sole
0.00
Shared
0.00
None
1.08M

J P MORGAN EXCHANGE TRADED F

SOLE
ULTRA SHT MUNCPL
Shares1.49M
TypeSH
Market value$76.03M
1.23%
Sole
0.00
Shared
0.00
None
1.49M

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares797.91K
TypeSH
Market value$75.47M
1.22%
Sole
0.00
Shared
0.00
None
797.91K

LATTICE STRATEGIES TR

SOLE
HARTFORD US EQTY
Shares1.27M
TypeSH
Market value$75.25M
1.21%
Sole
0.00
Shared
0.00
None
1.27M

ISHARES TR

SOLE
RUS MID CAP ETF
Shares707.77K
TypeSH
Market value$68.82M
1.11%
Sole
0.00
Shared
0.00
None
707.77K

ISHARES TR

SOLE
MSCI EAFE ETF
Shares683.68K
TypeSH
Market value$66.41M
1.07%
Sole
0.00
Shared
0.00
None
683.68K

ISHARES INC

SOLE
CORE MSCI EMKT
Shares945.63K
TypeSH
Market value$65.96M
1.06%
Sole
0.00
Shared
0.00
None
945.63K

SPDR SERIES TRUST

SOLE
STATE STREET SPD
Shares682.30K
TypeSH
Market value$65.92M
1.06%
Sole
0.00
Shared
0.00
None
682.30K

MICROSOFT CORP

SOLE
COM
Shares159.28K
TypeSH
Market value$58.96M
0.95%
Sole
0.00
Shared
0.00
None
159.28K

NVIDIA CORPORATION

SOLE
COM
Shares337.01K
TypeSH
Market value$58.77M
0.95%
Sole
0.00
Shared
0.00
None
337.01K

ISHARES TR

SOLE
CORE UNIVRSL USD
Shares1.19M
TypeSH
Market value$55.05M
0.89%
Sole
0.00
Shared
0.00
None
1.19M
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