NORTHROCK PARTNERS, LLC

PrivateCIK: 1632097

Location

MINNEAPOLIS, MN

669

Positions

$6.89B

Total AUM (reported)

79.04M

Total Shares

Allocation by class

COM$941.39M13.7%

S&P 500 ETF SHS$411.92M6.0%

MORTGAGE BACKED$409.62M5.9%

ST STR P500ETF$406.85M5.9%

ST STR P500VAL$297.24M4.3%

ST STR P500GRW$276.86M4.0%

0-3 MTH TREASURY$275.53M4.0%

Portfolio Concentration

Top 3$1.23B17.8%

4–10$1.83B26.5%

11–25$1.51B21.9%

Rest$2.33B33.7%

Top 3 weight

17.8%

Top 10 weight

44.4%

Voting Authority Distribution

Total shares with voting rights: 79.04M

Sole

Full voting authority

0.00

% of voting shares0.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

79.04M

% of voting shares100.0%

Investment Discretion (by position count)

Sole669

Shared0

Other0

Dominant voting typeNone · 100.0% of voting shares

Institutional Holdings669

Rows:

VANGUARD INDEX FDS

SOLE

S&P 500 ETF SHS

Shares599.76K

TypeSH

Market value$411.92M

5.98%

Sole

0.00

Shared

0.00

None

599.76K

J P MORGAN EXCHANGE TRADED F

SOLE

MORTGAGE BACKED

Shares8.08M

TypeSH

Market value$409.62M

5.94%

Sole

0.00

Shared

0.00

None

8.08M

SPDR SERIES TRUST

SOLE

ST STR P500ETF

Shares4.63M

TypeSH

Market value$406.85M

5.90%

Sole

0.00

Shared

0.00

None

4.63M

SPDR SERIES TRUST

SOLE

ST STR P500VAL

Shares4.89M

TypeSH

Market value$297.24M

4.31%

Sole

0.00

Shared

0.00

None

4.89M

SPDR SERIES TRUST

SOLE

ST STR P500GRW

Shares2.33M

TypeSH

Market value$276.86M

4.02%

Sole

0.00

Shared

0.00

None

2.33M

ISHARES TR

SOLE

0-3 MTH TREASURY

Shares2.74M

TypeSH

Market value$275.53M

4.00%

Sole

0.00

Shared

0.00

None

2.74M

INVESCO QQQ TR

SOLE

UNIT SER 1

Shares373.69K

TypeSH

Market value$275.18M

3.99%

Sole

0.00

Shared

0.00

None

373.69K

VANGUARD SCOTTSDALE FDS

SOLE

SHORT TERM TREAS

Shares4.71M

TypeSH

Market value$274.17M

3.98%

Sole

0.00

Shared

0.00

None

4.71M

APPLE INC

SOLE

COM

Shares776.92K

TypeSH

Market value$224.81M

3.26%

Sole

0.00

Shared

0.00

None

776.92K

ISHARES TR

SOLE

GLB INFRASTR ETF

Shares3.08M

TypeSH

Market value$204.87M

2.97%

Sole

0.00

Shared

0.00

None

3.08M

STATE STR SPDR S&P 500 ETF T

SOLE

TR UNIT

Shares273.29K

TypeSH

Market value$204.09M

2.96%

Sole

0.00

Shared

0.00

None

273.29K

SPDR SERIES TRUST

SOLE

ST STR SP400VAL

Shares1.43M

TypeSH

Market value$135.35M

1.96%

Sole

0.00

Shared

0.00

None

1.43M

ISHARES TR

SOLE

HDG MSCI EAFE

Shares2.84M

TypeSH

Market value$133.27M

1.93%

Sole

0.00

Shared

0.00

None

2.84M

SPDR SERIES TRUST

SOLE

ST STR SP400GRW

Shares1.15M

TypeSH

Market value$129.31M

1.88%

Sole

0.00

Shared

0.00

None

1.15M

ISHARES TR

SOLE

RUS 1000 ETF

Shares295.23K

TypeSH

Market value$120.90M

1.75%

Sole

0.00

Shared

0.00

None

295.23K

AB ACTIVE ETFS INC

SOLE

TAX AW INTER ETF

Shares3.87M

TypeSH

Market value$99.50M

1.44%

Sole

0.00

Shared

0.00

None

3.87M

SPDR SERIES TRUST

SOLE

ST STR SP600SM C

Shares834.09K

TypeSH

Market value$91.01M

1.32%

Sole

0.00

Shared

0.00

None

834.09K

ISHARES INC

SOLE

CORE MSCI EMKT

Shares1.10M

TypeSH

Market value$90.80M

1.32%

Sole

0.00

Shared

0.00

None

1.10M

SPDR SERIES TRUST

SOLE

ST STR SP600GRWO

Shares732.40K

TypeSH

Market value$87.25M

1.27%

Sole

0.00

Shared

0.00

None

732.40K

LATTICE STRATEGIES TR

SOLE

HARTFORD US EQTY

Shares1.21M

TypeSH

Market value$81.77M

1.19%

Sole

0.00

Shared

0.00

None

1.21M

ISHARES TR

SOLE

RUS MID CAP ETF

Shares680.48K

TypeSH

Market value$75.07M

1.09%

Sole

0.00

Shared

0.00

None

680.48K

ISHARES TR

SOLE

MSCI EAFE ETF

Shares681.25K

TypeSH

Market value$70.77M

1.03%

Sole

0.00

Shared

0.00

None

681.25K

NVIDIA CORPORATION

SOLE

COM

Shares325.44K

TypeSH

Market value$65.12M

0.95%

Sole

0.00

Shared

0.00

None

325.44K

ISHARES TR

SOLE

7-10 YR TRSY BD

Shares662.23K

TypeSH

Market value$62.63M

0.91%

Sole

0.00

Shared

0.00

None

662.23K

FIRST TR EXCHNG TRADED FD VI

SOLE

FT LADD BUFF ETF

Shares1.69M

TypeSH

Market value$61.63M

0.89%

Sole

0.00

Shared

0.00

None

1.69M

Issuer	Class	Shares	Type	Value / Portfolio %	None
VANGUARD INDEX FDSSOLE	S&P 500 ETF SHS	599.76K	SH	$411.92M 5.98%	599.76K
J P MORGAN EXCHANGE TRADED FSOLE	MORTGAGE BACKED	8.08M	SH	$409.62M 5.94%	8.08M
SPDR SERIES TRUSTSOLE	ST STR P500ETF	4.63M	SH	$406.85M 5.90%	4.63M
SPDR SERIES TRUSTSOLE	ST STR P500VAL	4.89M	SH	$297.24M 4.31%	4.89M
SPDR SERIES TRUSTSOLE	ST STR P500GRW	2.33M	SH	$276.86M 4.02%	2.33M
ISHARES TRSOLE	0-3 MTH TREASURY	2.74M	SH	$275.53M 4.00%	2.74M
INVESCO QQQ TRSOLE	UNIT SER 1	373.69K	SH	$275.18M 3.99%	373.69K
VANGUARD SCOTTSDALE FDSSOLE	SHORT TERM TREAS	4.71M	SH	$274.17M 3.98%	4.71M
APPLE INCSOLE	COM	776.92K	SH	$224.81M 3.26%	776.92K
ISHARES TRSOLE	GLB INFRASTR ETF	3.08M	SH	$204.87M 2.97%	3.08M
STATE STR SPDR S&P 500 ETF TSOLE	TR UNIT	273.29K	SH	$204.09M 2.96%	273.29K
SPDR SERIES TRUSTSOLE	ST STR SP400VAL	1.43M	SH	$135.35M 1.96%	1.43M
ISHARES TRSOLE	HDG MSCI EAFE	2.84M	SH	$133.27M 1.93%	2.84M
SPDR SERIES TRUSTSOLE	ST STR SP400GRW	1.15M	SH	$129.31M 1.88%	1.15M
ISHARES TRSOLE	RUS 1000 ETF	295.23K	SH	$120.90M 1.75%	295.23K
AB ACTIVE ETFS INCSOLE	TAX AW INTER ETF	3.87M	SH	$99.50M 1.44%	3.87M
SPDR SERIES TRUSTSOLE	ST STR SP600SM C	834.09K	SH	$91.01M 1.32%	834.09K
ISHARES INCSOLE	CORE MSCI EMKT	1.10M	SH	$90.80M 1.32%	1.10M
SPDR SERIES TRUSTSOLE	ST STR SP600GRWO	732.40K	SH	$87.25M 1.27%	732.40K
LATTICE STRATEGIES TRSOLE	HARTFORD US EQTY	1.21M	SH	$81.77M 1.19%	1.21M
ISHARES TRSOLE	RUS MID CAP ETF	680.48K	SH	$75.07M 1.09%	680.48K
ISHARES TRSOLE	MSCI EAFE ETF	681.25K	SH	$70.77M 1.03%	681.25K
NVIDIA CORPORATIONSOLE	COM	325.44K	SH	$65.12M 0.95%	325.44K
ISHARES TRSOLE	7-10 YR TRSY BD	662.23K	SH	$62.63M 0.91%	662.23K
FIRST TR EXCHNG TRADED FD VISOLE	FT LADD BUFF ETF	1.69M	SH	$61.63M 0.89%	1.69M

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