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Northrock Partners, LLC

Northrock Partners, LLC. CRD 167908

Northrock Partners, LLC logo

CRD: 167908

Northrock Partners, LLC

Minneapolis, MN, 55402
6123678800
$12.2B Total AUM
$11.5B Disc. AUM
38.9% 3Y CAGR
233 Employees
4,811 ADV. Clients
13 yrs Firm Age

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Firm Details

Custodian
Charles Schwab & Company · Fidelity/NFS · TD Ameritrade · US Bank
Clients
Retail and Institutional
Platforms
Momentum primeElement
Established Date
06-13-2013
Office Locations
22

Office Locations

100 Smith Ranch Road Suite 104 SAN Rafael CA
13230 Watertown Plank RD ELM Grove WI
13230 Watertown Plank RD STE A ELM Grove WI

About Northrock Partners, LLC

NorthRock Partners is a Minneapolis-based RIA delivering integrated financial and lifestyle advisory services, with dedicated practices for corporate executives, athletes/entertainers (NorthRock X), and philanthropic clients (Foundation X). The firm provides financial planning, tax/estate and insurance planning, and portfolio construction and investment management using asset-allocation approaches across ETFs, mutual funds, and select alternatives.

Team overview

41 AVG AGE
$133.9M AVG AUM / ADVISOR
$2.5M AVG AUM / CLIENT
2.7 yrs AVG TENURE
233 Employees
91 Advisory Reps
75 RIA Reps
13yrs Firm Age

Insights

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Asset Classes

Value harbor Zenith Value Zenith optima Wave momentum Fusion Zenith matrix

Client Personas

Timber Quantum momentum Peak atlas

CRM

Quantum

Custodian

Peak

Investment Themes

Alpha

Investment Vehicles

Unison peak Ridge Oak

Platform

Fusion Horizon

Services

Peak element Atlas vector Capital optima Ridge element Glacier foundation Radial wave Glacier quantum Quantum glacier Beacon quantum Momentum Horizon

Technology

Optima Peak value

Owner & Executives

TODD ALAN MOSER

TODD ALAN MOSER

Managing Member, Partner

CRD
#4645357
Ownership
10% but less than 25%
(367) 384-7668
vertex.focus@primecapital.com
in linkedin.com/in/optima-catalyst
ROBERT DEAN NELSON

ROBERT DEAN NELSON

Chief Executive Officer, Founder, FOUNDING PARTNER, Managing Member

CRD
#2363984
Ownership
10% but less than 25%
(418) 382-6355
prime.foundation@vertexcapital.com
in linkedin.com/in/vital-insight
D

Delta optima

Alpha glacier

CRD
#33900
Ownership
3.5%
(791) 668-2118
value.summit@glaciercapital.com
in linkedin.com/in/capital-matrix

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Contacts

BRIAN ROBERT BARRETT

BRIAN ROBERT BARRETT

Advisor

CRD
#6287392
(461) 471-8750
eagle.focus@horizoncapital.com
in linkedin.com/in/zenith-alpha
Samantha Jane Barrett

Samantha Jane Barrett

Advice Strategist

CRD
#6826625
(419) 767-5839
eagle.element@meridiancapital.com
in linkedin.com/in/harbor-peak
S

Summit beacon

Ridge timber momentum

CRD
#51228
(474) 895-7758
matrix.unison@ridgecapital.com
in linkedin.com/in/element-north

Showing 2 of 93 contacts

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
12-08-2022
12-26-2023
06-13-2024
07-11-2025
03-31-2026
Category Assets AVG. Account size
Discretionary $11,524,962,460 $501,151
Non-Discretionary $660,223,057 $649,187
Total $12,185,185,517 $507,420

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Separately Managed Accounts

Total SMA Asset: $12,185,110,604

$12.2B Total SMA
Public Funds:
14.6%
Equity - Exchange:
19.9%
Cash:
6.9%
Municipal Bonds:
16.0%
Other:
20.8%
U.S. Government/Agency:
10.9%
Equity - OTC:
4.1%
Private Funds:
6.8%
Asset class Assets Assets %
Public Funds $351,825,401 14.6%
Equity - Exchange $479,542,841 19.9%
Cash $166,273,648 6.9%
Municipal Bonds $385,562,083 16.0%
Other $501,230,708 20.8%
U.S. Government/Agency $262,664,169 10.9%
Equity - OTC $98,800,284 4.1%
Private Funds $163,863,884 6.8%
Total $2,409,763,018 100.0%

13F Holdings | Q1 2026

Issuer Class Cusip Ticker % Value
EMBER ATLAS OPTIMA PIONEER N4Y6UB5FV FNNKI 0.95% $25,206,274
CREST MERIDIAN OPTIMA RIDGE G17YLBRSW SBSGL 2.58% $108,611,052
WAVE WAVE PRIME INSIGHT EMH1ARZ9Z XHP 10.46% $59,760,063
PATHWAY CATALYST EAGLE ALPHA XNTMMNG0W SGT 5.01% $40,226,473
TIMBER INSIGHT CREST INSIGHT D97GK3557 HFU 3.58% $62,782,935
RIDGE ALPHA FRONTIER CREST B3JO347SO XIT 5.49% $109,592,213
PRIME SIGNAL VALUE LEGACY MPEMG26RC JROIP 10.68% $89,068,915
NORTH CAPITAL VECTOR VALUE ZMCQDQIF0 THS 10.27% $72,400,979

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