Northrock Partners, LLC

NorthRock Partners, LLC is an SEC registered investment adviser established in 2013, offering the NorthRock Partners Advisory Services Program as a wrap fee program. The firm provides investment advisory services, portfolio management, and financial planning tailored to clients' individual needs. Clients may receive services such as cash flow management, tax planning, estate administration, and retirement planning. The Program Fee ranges between 0.50% to 1.50% per annum based on assets under management. Clients may also incur additional fees related to pooled investment funds sponsored by NorthRock, potentially totaling up to 2.35% per annum. NorthRock may manage clients' investment portfolios on a discretionary or non-discretionary basis, allocating assets among various investment products. The firm evaluates and selects Independent Managers to manage client assets, monitoring their performance regularly. Clients have the option to invest in privately placed securities, REITs, mutual funds, ETFs, and other investment vehicles. NorthRock acts as a fiduciary, putting clients' interests first and maintaining a high standard of business conduct. The firm's Code of Ethics ensures compliance with securities laws and the prevention of conflicts of interest. Clients receive regular account reviews and reports, and the firm does not require prepayment exceeding $1,200 in fees. NorthRock compensates third parties for client referrals, with referral fees paid from the Program Fee. The firm's financial condition is stable, with no bankruptcy petitions involving owners or managers in the past ten years.