Northrock Partners, Llc
SEC-registered
Insurance-Affiliated · Large ($10B–$100B)
CRD 167908
· SEC file 801-78194
· Minneapolis, MN
· www.facebook.comhttps
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ADV data as of Jul 17, 2026
- Regulatory AUM
- $12.2B
- Discretionary
- $11.5B
- Clients
- 4,811
- Avg AUM / client
- $2.5M
- Accounts
- 24,014
- Employees
- 233
AUM over time
$0
$12.2B
Oct 2013
Jul 2026
Annual snapshots from Form ADV filings · as of Jul 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,523 | $1.1B | 8.97% |
| High net worth individuals | 2,255 | $10.9B | 89.9% |
| Pooled investment vehicles (non-investment companies) | 1 | $74.9K | 0.0% |
| Charitable organizations | 12 | $67.0M | 0.55% |
| Corporations and other businesses | 20 | $76.0M | 0.62% |
People (94)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Brent Troy Field | Chief Investment Officer | CFA | Oct 2013 (13y) | Less than 5% |
| Robert Dean Nelson | Managing Member, Ceo & Founding Partner | Oct 2013 (13y) | 10% – 25% | |
| Todd Alan Moser | Managing Member | CFP | Aug 2019 (7y) | 10% – 25% |
| Baenen, Sean, Berrigan | President | Oct 2020 (6y) | Less than 5% | |
| Cari, Samuel, B | Chief Legal Officer | Apr 2022 (4y) | Less than 5% | |
| Bardot, Robert, K | Chief Financial Officer | May 2022 (4y) | Less than 5% | |
| Kathleen Sweeney Shoemaker | Chief Compliance Officer | Aug 2022 (4y) | Less than 5% | |
| Brian Jon Kruse | Registered representative | Dec 2013 (13y) | ||
| Donwin Sylvester Braun | Registered representative | Jan 2014 (13y) | ||
| Erin Robert Berns | Registered representative | Dec 2016 (10y) | ||
| Brent T Putz | Registered representative | Jan 2017 (10y) | ||
| Shawn Jay Jacobson | Registered representative | CFP Chartered Financial Consultant | Feb 2017 (9y) | |
| Jed Roland Magstadt | Registered representative | May 2017 (9y) | ||
| Peter Joseph Hoff | Registered representative | May 2017 (9y) | ||
| Charles F Thalheimer | Registered representative | CFP | Aug 2019 (7y) | |
| Christopher Warren Jasper | Registered representative | CFP | Aug 2019 (7y) | |
| Brian Robert Barrett | Registered representative | CFP | Aug 2019 (7y) | |
| Joshua Robert Glorch | Registered representative | Aug 2019 (7y) | ||
| Kristin Kay Bilden | Registered representative | CFP | Apr 2021 (5y) | |
| Elliot Carl Edward Risbrudt | Registered representative | Apr 2021 (5y) | ||
| Lori Suzanne O'connor | Registered representative | CFA | Jun 2021 (5y) | |
| Paul Hill | Registered representative | Nov 2021 (5y) | ||
| Ryan Michael Peckskamp | Registered representative | Nov 2021 (5y) | ||
| Dylan Henning Seubert | Registered representative | CFP | Feb 2022 (4y) | |
| Jason Michael Mahn | Registered representative | Feb 2022 (4y) | ||
| Rachel Edith Smith | Registered representative | Feb 2022 (4y) | ||
| Ryan Scott Wirth | Registered representative | Chartered Financial Consultant | Feb 2022 (4y) | |
| Jared Taylor Lorts | Registered representative | Mar 2022 (4y) | ||
| Jackson Sattervall | Registered representative | CFA | Jan 2023 (4y) | |
| Cameron John Rosenow | Registered representative | Aug 2023 (3y) | ||
| Erin Tobin Rogers | Registered representative | CFP | Aug 2023 (3y) | |
| Anthony Vincent Cameranesi | Registered representative | Aug 2023 (3y) | ||
| Jack M Radford | Registered representative | CFP | Aug 2023 (3y) | |
| Alison Bowe Diessner | Registered representative | Oct 2023 (3y) | ||
| Andrew Edward Czajkowski | Registered representative | Oct 2023 (3y) | ||
| Courtney Elizabeth Horn | Registered representative | Oct 2023 (3y) | ||
| Erika Itzel Navarrete | Registered representative | CFP | Oct 2023 (3y) | |
| Ryan Masterson | Registered representative | CFA | Oct 2023 (3y) | |
| Steven Michael Minkoff | Registered representative | CFP | Oct 2023 (3y) | |
| Thomas Christopher Mcgannon | Registered representative | CFA | Jul 2024 (2y) | |
| Shauna Kristin Bednar | Registered representative | CFP | Oct 2024 (2y) | |
| Anthony David Pondel | Registered representative | CFP | Feb 2025 (1y) | |
| Audrey Ellen Grubman | Registered representative | CFP | Jul 2025 (1y) | |
| Bradford Daniel Stimpson | Registered representative | Jul 2025 (1y) | ||
| Charles Otto Benziger | Registered representative | Jul 2025 (1y) | ||
| Angela Rene' Parker | Registered representative | CFP | Jul 2025 (1y) | |
| Bret Andrew Glover | Registered representative | CFP | Jul 2025 (1y) | |
| Christopher Scott Santi | Registered representative | Chartered Financial Consultant | Jul 2025 (1y) | |
| Cody Michael Okeefe | Registered representative | Jul 2025 (1y) | ||
| Colin Stephen Grahl | Registered representative | CFP | Jul 2025 (1y) | |
| Heather Lynn Smart | Registered representative | CFP | Jul 2025 (1y) | |
| Karen Marie Bothe | Registered representative | CFP | Jul 2025 (1y) | |
| Kenton Aaron Bradley | Registered representative | CFP | Jul 2025 (1y) | |
| Kristin R Bluemel Redman | Registered representative | Jul 2025 (1y) | ||
| Monika Lynn Reyes | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Rhonda Hamil | Registered representative | CFP | Jul 2025 (1y) | |
| Stephanie Jo Kerns | Registered representative | CFP | Jul 2025 (1y) | |
| Sean Gillis | Registered representative | Jul 2025 (1y) | ||
| Terry Dale Sherrill | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Carolynn Fellman | Registered representative | Jul 2025 (1y) | ||
| Stephen Michael Westlake | Registered representative | CFP Chartered Financial Consultant | Jul 2025 (1y) | |
| Austin James Righeimer | Registered representative | CFP CFA | Aug 2025 (1y) | |
| Jason T Morrall | Registered representative | Nov 2025 (1y) | ||
| Alec R Leasure | Registered representative | Jan 2026 (1y) | ||
| Andrew Dunbar | Registered representative | Jan 2026 (1y) | ||
| Brock Anthony Riggi | Registered representative | CFP | Jan 2026 (1y) | |
| Robert Thomas Martin | Registered representative | Jan 2026 (1y) | ||
| Keaton William Duchow | Registered representative | Jan 2026 (1y) | ||
| Marcus William Medema | Registered representative | Feb 2026 (0y) | ||
| Austen David Clark | Registered representative | Feb 2026 (0y) | ||
| Brandon Alan Wohlrabe | Registered representative | CFP | Feb 2026 (0y) | |
| Juan Jose Gonzales Gascon | Registered representative | Feb 2026 (0y) | ||
| Matthew Lee Larson | Registered representative | CFA | Feb 2026 (0y) | |
| Samantha Jane Barrett | Registered representative | Feb 2026 (0y) | ||
| Briana Christine Harmon | Registered representative | Feb 2026 (0y) | ||
| Carol Ann Mac Donald | Registered representative | Feb 2026 (0y) | ||
| John Martin Wiitala | Registered representative | CFP | Mar 2026 (0y) | |
| Benjamin Lee Irons | Registered representative | Apr 2026 (0y) | ||
| Jeremy James Gardner | Registered representative | Apr 2026 (0y) | ||
| Jordana Rose Lokken | Registered representative | Apr 2026 (0y) | ||
| Konstantinos Georje Georgostathis | Registered representative | CFP | Apr 2026 (0y) | |
| Michael Phillip Franks | Registered representative | Apr 2026 (0y) | ||
| Philip Mark Nybroten | Registered representative | Apr 2026 (0y) | ||
| Rachel Ann Pease | Registered representative | Apr 2026 (0y) | ||
| Thomas W. Titus | Registered representative | Apr 2026 (0y) | ||
| Jesse Allen Niederbaumer | Registered representative | Apr 2026 (0y) | ||
| Andrew Allen Meyer | Registered representative | Apr 2026 (0y) | ||
| Trevor Ellis Meyer | Registered representative | Apr 2026 (0y) | ||
| Abram Isaiah Collaguazo | Registered representative | Apr 2026 (0y) | ||
| Adam Heath Walter | Registered representative | CFP | Apr 2026 (0y) | |
| Matthew David Niederbaumer | Registered representative | CFP | Apr 2026 (0y) | |
| Christopher Kendall Johnson | Registered representative | May 2026 (0y) | ||
| Joshua Ray Woodbury Phipps | Registered representative | Jun 2026 (0y) | ||
| Marc Richard Kowalski | Registered representative | CFP | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Sammons Financial Group Wealth Management Holdings, Llc | Managing Member | Dec 2023 | A | 50% – 75% |
Undisclosed: 0% – 30% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/17/2026 | 1.59 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- Charles Schwab & Co. $8.5B (70% of AUM) Jul 2026
- Fidelity $2.3B (19% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 17, 2026.
View current Form ADV (SEC/IAPD) ↗