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NORTHROCK PARTNERS, LLC
CRD 167908File 801-78194
APPROVED
Retail clients
Custody
Filing as of Sep 18, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$12.19B
Top 10% of cohort (national)
Discretionary AUM
$11.52B
Non-discretionary $660.2M
Clients
4,811
24,014 accounts
Employees
233
Top 10% of cohort in MN
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Jun 13, 2013
- Principal office
- 225 SOUTH SIXTH STREET, SUITE 1400, MINNEAPOLIS, MN, 55402
- Phone
- (612) 367-8800
- Website
- https://northrock-x.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $12.19B
- Discretionary AUM
- $11.52B
- Non-discretionary AUM
- $660.2M
- Discretionary accounts
- 22,997
- Non-discretionary accounts
- 1,017
- Total accounts
- 24,014
- AUM per client
- $2.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 20 | $76.0M |
| Charitable organizations | 12 | $67.0M |
| High net worth individuals | 2,255 | $10.95B |
| Pooled investment vehicles | 1 | $75K |
| Individuals (other than high net worth individuals) | 2,523 | $1.09B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other
- Other advisory activities
- Financial planning services
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 161 | 233 | increased by72 |
| Apr 1, 2026 | Clients | 2,698 | 4,811 | increased by2,113 |
| Apr 1, 2026 | AUM | $6,596,242,797 | $12,185,185,517 | increased by$5,588,942,720 |
| Apr 1, 2026 | Accounts | 12,834 | 24,014 | increased by11,180 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 143 | 161 | increased by18 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,564 | 2,698 | increased by1,134 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $4,188,037,335 | $6,596,242,797 | increased by$2,408,205,462 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 7,862 | 12,834 | increased by4,972 |
| Apr 1, 2022 | Employees | 101 | 143 | increased by42 |
| Apr 1, 2022 | Clients | 1,462 | 1,564 | increased by102 |
| Apr 1, 2022 | AUM | $3,265,785,526 | $4,188,037,335 | increased by$922,251,809 |
| Apr 1, 2022 | Accounts | 7,083 | 7,862 | increased by779 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NORTHROCK PARTNERS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NORTHROCK PARTNERS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.