NORTHROCK PARTNERS, LLC

CRD

167908

SEC file #

801-78194

EIN

274761668

DBA names

—

Economics

AUM

$12.19B

AUM band

$1B+

AUM trajectory

'20 · $1.29B

'21 · $2.76B

'22 · $3.27B

'23 · $4.19B

'25 · $6.60B

'26 · $12.19B

'20'26

$1.29B → $12.19B▲ +846%

sec adv history

Client mix

Individuals Other	2,523
Individuals High Net Worth	2,255
Corporations	20
Charitable Organizations	12
Pooled Investment Vehicles	1

Operations

Employees (total)

233

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 14 advisors

'21 · 18 advisors

'22 · 21 advisors

'23 · 28 advisors

'25 · 50 advisors

'26 · 91 advisors

'20'26

14 advisors → 91 advisors▲ +550%

sec adv history

Primary office

MINNEAPOLIS MN

Branches

—

Custodian & Brokerage

Primary custodian

Charles Schwablow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesPortfolio mgmt — businesses

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

03/31/2026

facebook.com/profile.php?id=100080818425879(social)

ADV-W filed at

—

Website

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

SAMMONS FINANCIAL GROUP WEALTH

Top Owner Pct

62.5

Top Owner Entity Kind

Owner Count

Control Persons

SAMMONS FINANCIAL GROUP WEALTH

MOSER, TODD, ALAN

Solo Advisor Indicator

Succession Risk Solo Owner

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

fallback_guess:northrock.com

rdap

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book

Yes

Form 5500 Plan Count

Form 5500 Total Participants

1889

Form 5500 Compensation Trajectory 3y

2010	0
2011	0
2012	0
2013	0
2015	0

Form 5500 Plan Count Trajectory 3y

2024	2
2010	1
2011	1
2012	1
2013	1

Schedule C Service Provider Rows

SEC EDGAR

Edgar Cik

0001632097

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2015-02-17

Edgar Last Filing Date

2026-05-15

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-15

Accession0001172661-26-002224

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (11)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Charles Schwab	14
Fidelity	8
E*trade	4
U.s. Bank	2

adv brochure

Edgar Addresses

Mailing

225 SOUTH 6TH STREETSUITE 1400MINNEAPOLIS, MN 55402

Business

225 SOUTH 6TH STREETSUITE 1400MINNEAPOLIS, MN 55402

Edgar EIN

274761668

Edgar Recent Filings

13F-HR2026-05-15 · 0001172661-26-002224

13F-HR2026-02-17 · 0001172661-26-001063

Firm Has Custody

Yes

Mailing Office Differs

Trust Company Affiliate

IAR · Executive Officer · 2.5%

People (54)

4147327

SHOEMAKER, KATHLEEN, SWEENEY

IAR · Executive Officer · 2.5%

2353759

DuBrueler, James, Marshall

Executive Officer · 2.5%

6895730

Mock, Michael, Lee

Executive Officer · 2.5%

7637766

Shauna Kristin Bednar

THOMAS CHRISTOPHER MCGANNON

7992585

Bradford Daniel Stimpson

7566238

Austin James Righeimer

RYAN MICHAEL PECKSKAMP

5791061

Marcus William Medema

Anthony Vincent Cameranesi

8223933

Brandon Alan Wohlrabe

CHARLES OTTO BENZIGER

STEVEN MICHAEL MINKOFF

COURTNEY ELIZABETH HORN

GARDNER, JEREMY, JAMES

Erika Itzel Navarrete

CHRISTOPHER SCOTT SANTI

Abram Isaiah Collaguazo

DONWIN SYLVESTER BRAUN