DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Northrock Partners, LLC
Latest filing Jul 17, 2026
First filing on the tape Jun 5, 2013 · 73 filings
SEC status approved since Jun 13, 2013
RAUM
$12B
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
99%
$12B individuals and HNW
Advisors
92
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
233
91 advisory (5.B.1)
Offices
24
beyond the principal office
Private funds
1
reported on Schedule D
History
73 filings and snapshots on the tape
RAUM$12B as of Jul 17, 2026
Mar 24, 2014$837M then
HNW client RAUM$11B as of Jul 17, 2026
Mar 29, 2018$1.0B then
State-registered IARs (5.B.3)75 as of Jul 17, 2026
Mar 24, 20147 then
Employees (5.A)233 as of Jul 17, 2026
Mar 24, 201425 then
Private funds1 as of Jul 17, 2026
Feb 28, 20251 then
RAUM +85% over the last fiscal year+43% a year over threeIARs 44 to 75offices 10 to 24
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Multi-office growth platform · an independent wealth manager (not a wirehouse, national broker-dealer RIA or broker-dealer affiliated firm) with at least five offices, at least 50 advisors, and RAUM up at least 20 percent over the last annual amendment
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $132MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $507,420derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 3.7derived25 offices incl. principal (1.F.5)
- RAUM growth, one year
- +85%derivedbetween the last two annual amendments
- Advisor growth, one year
- +70%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +80%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, educational seminars, otherreportedItem 5.G
- Wrap fee program
- $11BreportedItem 5.I
- Custody
- $6.6B, 3,179 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 2derivedhalf or more of a firm's advisors moved here within 14 days
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$11B90%
- Individuals$1.1B9.0%
- Corporations and businesses$76.0M0.6%
- Charitable organizations$67.0M0.5%
- Pooled investment vehicles$74,9130.0%
- Individual clients
- 2,523reported
- HNW clients
- 2,255reported
- Pension plan clients
- n/areported
- Charitable clients
- 12reported
- Accounts
- 24,014reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $6.6B for 3,179 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
92 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Brian Jon Kruse | Minneapolis, Mn | Dec 10, 2013 | 15 y | 1 |
| Robert Dean Nelson | Minneapolis, Mn | Jan 23, 2014 | 33 y | 1 |
| Brent Troy FieldChartered Financial Analyst | Minneapolis, Mn | Jan 23, 2014 | 26 y | 0 |
| Donwin Sylvester Braun | Minneapolis, Mn | Jan 23, 2014 | 24 y | 0 |
| Erin Robert Berns | Minneapolis, Mn | Dec 16, 2016 | 12 y | 1 |
| Brent T Putz | Minneapolis, Mn | Jan 10, 2017 | 20 y | 1 |
| Shawn Jay JacobsonCertified Financial Planner, Chartered Financial Consultant | Minneapolis, Mn | Feb 10, 2017 | 34 y | 1 |
| Jed Roland Magstadt | Minneapolis, Mn | May 18, 2017 | 9 y | 1 |
| Peter Joseph Hoff | Alexandria, Mn | May 19, 2017 | 10 y | 0 |
| Christopher Warren JasperCertified Financial Planner | Deer Park, Il | Aug 9, 2019 | 23 y | 1 |
| Todd Alan MoserCertified Financial Planner | Deer Park, Il | Aug 9, 2019 | 23 y | 1 |
| Charles F ThalheimerCertified Financial Planner | Deer Park, Il | Aug 9, 2019 | 20 y | 2 |
| Brian Robert BarrettCertified Financial Planner | Deer Park, Il | Aug 12, 2019 | 11 y | 0 |
| Joshua Robert Glorch | Minneapolis, Mn | Aug 12, 2019 | 24 y | 1 |
| Kristin Kay BildenCertified Financial Planner | Minneapolis, Mn | Apr 5, 2021 | 27 y | 0 |
| Elliot Carl Edward Risbrudt | Minneapolis, Mn | Apr 6, 2021 | 14 y | 1 |
| Lori Suzanne O'ConnorChartered Financial Analyst | Minneapolis, Mn | Jun 30, 2021 | 26 y | 0 |
| Ryan Michael Peckskamp | Minneapolis, Mn | Nov 9, 2021 | 16 y | 2 |
| Paul Hill | Minneapolis, Mn | Nov 9, 2021 | 10 y | 1 |
| Rachel Edith Smith | Appleton, Wi | Feb 4, 2022 | 13 y | 3 |
| Ryan Scott WirthChartered Financial Consultant | Minneapolis, Mn | Feb 4, 2022 | 10 y | 1 |
| Jason Michael Mahn | Minneapolis, Mn | Feb 4, 2022 | 11 y | 1 |
| Dylan Henning SeubertCertified Financial Planner | Appleton, Wi | Feb 4, 2022 | 16 y | 3 |
| Jared Taylor Lorts | Minneapolis, Mn | Mar 3, 2022 | 21 y | 2 |
| Kathleen Sweeney Shoemaker | Minneapolis, Mn | Aug 12, 2022 | 32 y | 0 |
| Jackson SattervallChartered Financial Analyst | Minneapolis, Mn | Jan 10, 2023 | 12 y | 0 |
| Erin Tobin RogersCertified Financial Planner | Ellicott City, Md | Aug 4, 2023 | 13 y | 4 |
| Cameron John Rosenow | Raleigh, Nc | Aug 4, 2023 | 17 y | 4 |
| Anthony Vincent Cameranesi | Minneapolis, Mn | Aug 23, 2023 | 10 y | 2 |
| Jack M RadfordCertified Financial Planner | Minneapolis, Mn | Aug 23, 2023 | 13 y | 0 |
| Courtney Elizabeth Horn | San Francisco, Ca | Oct 27, 2023 | 24 y | 3 |
| Ryan MastersonChartered Financial Analyst | Issaquah, Wa | Oct 27, 2023 | 13 y | 4 |
| Andrew Edward Czajkowski | Minneapolis, Mn | Oct 27, 2023 | 14 y | 2 |
| Erika Itzel NavarreteCertified Financial Planner | San Fransico, Ca | Oct 27, 2023 | 10 y | 1 |
| Alison Bowe Diessner | San Francisco, Ca | Oct 27, 2023 | 23 y | 1 |
| Steven Michael MinkoffCertified Financial Planner | San Francisco, Ca | Oct 27, 2023 | 35 y | 1 |
| Thomas Christopher McgannonChartered Financial Analyst | Minneapolis, Mn | Jul 30, 2024 | 18 y | 1 |
| Shauna Kristin BednarCertified Financial Planner | Minneapolis, Mn | Oct 21, 2024 | 13 y | 0 |
| Anthony David PondelCertified Financial Planner | Wapakoneta, Oh | Feb 28, 2025 | 33 y | 3 |
| Charles Otto Benziger | Minneapolis, Mn | Jul 1, 2025 | 13 y | 2 |
Advisor movement
2 left, 24 joined in 12 months
net +22 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 2.2% of current headcount7 left over 36 months
Left, latest
- Michael Cooney to Calamos Wealth Management LLCJun 1, 2026 · RIA to RIA
- Sean Patrick Hanson to Empirical Wealth ManagementMay 19, 2026 · RIA to RIA
- Rael Rubin to SeiaAug 28, 2025 · RIA to affiliated broker-dealer or bank
- Anthony David Mlachnik to Annex Wealth Management, LLCMay 19, 2025 · RIA to RIA
- Joshua John Timblin to Newedge AdvisorsMay 19, 2025 · RIA to affiliated broker-dealer or bank
- Austin James Righeimer to Beacon Pointe Advisors, LLCMar 14, 2025 · RIA to RIA
- Colton F Higgins to Creative PlanningAug 22, 2024 · RIA to RIA
- Daniel Basinger to Victory Wealth Management, LLCAug 25, 2022 · RIA to a state-registered adviser
- Linda Kay Winkelman to Bcu Wealth Advisors, LLCMay 31, 2022 · RIA to RIA
- Sumit Mehta to Pure Financial Advisors, LLCApr 21, 2022 · RIA to RIA
- Craig James Bartlett to Wipfli Financial Advisors, LLCOct 12, 2021 · RIA to RIA
- Craig James Morcos to Commonwealth Financial NetworkApr 1, 2021 · RIA to affiliated broker-dealer or bank
- Genevieve Grace Bajaj to Fidelity Personal And Workplace AdvisorsMar 17, 2021 · RIA to affiliated broker-dealer or bank
- Dominic Jon Knauf to Pure Financial Advisors, LLCJan 19, 2021 · RIA to RIA
- Mark J Sommerville to Hsbc Securities (USA) Inc.May 14, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- Marc Richard Kowalski from Kowalski Financial Inc.Jul 15, 2026 · RIA to RIA
- Christopher Kendall Johnson from Vantage Financial Partners, LLCMay 29, 2026 · RIA to RIA
- Abram Isaiah Collaguazo from Vantage Financial Partners, LLCApr 14, 2026 · RIA to RIA
- Matthew David Niederbaumer from Vantage Financial Partners, LLCApr 14, 2026 · RIA to RIA
- Adam Heath Walter from Vantage Financial Partners, LLCApr 14, 2026 · RIA to RIA
- Trevor Ellis Meyer from Ameriprise Financial Services, LLCApr 6, 2026 · Affiliated broker-dealer or bank to independent RIA
- Andrew Allen Meyer from Vantage Financial Partners, LLCApr 3, 2026 · RIA to RIA
- Jesse Allen Niederbaumer from Vantage Financial Partners, LLCApr 2, 2026 · RIA to RIA
- Rachel Ann Pease from Vantage Financial Partners, LLCApr 1, 2026 · RIA to RIA
- Konstantinos Georje Georgostathis from Vantage Financial Partners, LLCApr 1, 2026 · RIA to RIA
- Thomas W. Titus from Vantage Financial Partners, LLCApr 1, 2026 · RIA to RIA
- Philip Mark Nybroten from Vantage Financial Partners, LLCApr 1, 2026 · RIA to RIA
- Michael Phillip Franks from Vantage Financial Partners, LLCApr 1, 2026 · RIA to RIA
- Jordana Rose Lokken from Ameriprise Financial Services, LLCApr 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- Jeremy James Gardner from Vantage Financial Partners, LLCApr 1, 2026 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Vantage Financial Partners, LLCApr 29, 2026 · Columbus, Oh
- 6 joined from Vantage Financial Partners, LLCApr 29, 2026 · Elm Grove, Wi · Firm absorbed
- 2 joined from Vantage Financial Partners, LLCApr 10, 2026 · Huron, Sd
- 3 joined from Ameriprise Financial Services, LLCJan 28, 2026 · Morris, Il
- 4 joined from Parkside Advisors LLCJul 17, 2025 · San Francisco, Ca · Firm absorbed
- 18 joined from Ameriprise Financial Services, LLCJul 14, 2025 · Roseville, Ca
- 2 joined from Ameriprise Financial Services, LLCJul 11, 2025 · Carson City, Nv
- 7 joined from Ameriprise Financial Services, LLCOct 31, 2023 · San Francisco, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Northrock Credit Access Opportunity I, LP | $74,913 | 253 | Jul 17, 2026 |
Owners and control persons
Schedule A and B, latest filing
- Berrigan Sean Baenen · Presidentcontrolsince 10/2020 · owns less than 5%
- K Robert Bardot · Chief Financial Officercontrolsince 05/2022 · owns less than 5%
- B Samuel Cari · Chief Legal Officercontrolsince 04/2022 · owns less than 5%
- Marshall James Dubrueler · Chief Financial Officer, Sammons Financial Group Wealthcontrolsince 03/2026 · owns less than 5%
- Troy Brent Field · Chief Investment Officer Group Wealthcontrolsince 10/2013 · owns less than 5%
- Alan Todd Moser · Managing Membercontrolsince 08/2019 · owns 10% to 25%
- Dean Robert Nelson · Managing Member, Ceo & Founding Partnercontrolsince 10/2013 · owns 10% to 25%
- Sweeney Kathleen Shoemaker · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
Entity owners
- Sammons Financial Group Wealth Management Holdings, LLC · Managing Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- Northrock Partners Tax Services, LLCinsurancey
Advisers that list Northrock Partners, LLC as a related person
- 321109 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 91 | 33 | 0 | ||
| Roseville, Ca | 19 | 7 | 0 | ||
| Elm Grove, Wi | 6 | 6 | 0 | ||
| Deer Park, Il | 6 | 0 | 1 | ||
| Appleton, Wi | 5 | 1 | 0 | ||
| San Francisco, Ca | 4 | 1 | 0 | ||
| Morris, Il | 4 | 4 | 0 | ||
| Shorewood, Il | 4 | 4 | 0 | ||
| Huron, Sd | 3 | 3 | 0 | ||
| Berkeley, Ca | 3 | 0 | 0 | ||
| Valparaiso, In | 3 | 3 | 0 | ||
| Watertown, Sd | 3 | 3 | 0 | ||
| Carson City, Nv | 2 | 0 | 0 | ||
| Blue Ash, Oh | 2 | 2 | 0 | ||
| Youngstown, Oh | 2 | 2 | 0 | ||
| Alexandria, Mn | 2 | 0 | 0 | ||
| Columbus, Oh | 2 | 2 | 0 | ||
| San Fransico, Ca | 1 | 0 | 1 | ||
| Milwaukee, Wi | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Deer Park, IL6 employees
- San Rafael, CA4 employees
- Appleton, WI3 employees
- San Francisco, CA3 employees
- Alexandria, MN2 employees
- Milwaukee, WI2 employees
- , 1 employees
- Raleigh, NC1 employees
ADV anomalies
10 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 17, 2026DuBrueler, James, Marshall (CHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTH) appeared on Schedule A between the filings of 2024-03-14 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 17, 2026Baenen, Sean, Berrigan (PRESIDENT) left Schedule A between the filings of 2024-03-14 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 17, 2026BARDOT, ROBERT, K (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2024-03-14 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 17, 2026CARI, SAMUEL, B (CHIEF LEGAL OFFICER) left Schedule A between the filings of 2024-03-14 and 2026-07-17peers: independent wealth managers, $5B to $20B (289)
- growth on all axesCombination · filing Mar 31, 2026RAUM, offices and advisors all grew 25 percent or more in one year: a platform in expansion or an acquisition. RAUM $6,596,242,797 to $12,185,185,517, advisors 44 to 75, private clients 2656 to 4778, offices 10 to 18 (2025-02-28 to 2026-03-31)peers: independent wealth managers, $5B to $20B (289)
- client count surgeChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 2,656.0 to 4,778.0 (+80.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +6.0% (224 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $5B to $20B (224) · 95% percentile
- advisor count surgeChange between filings · filing Mar 31, 2026advisory representatives (Item 5.B.3) moved from 44.0 to 75.0 (+70.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +6.0% (220 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $5B to $20B (220) · 94% percentile
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 12,834.0 to 24,014.0 (+87.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +8.0% (253 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $5B to $20B (253) · 95% percentile
- office count surgeChange between filings · filing Mar 31, 2026offices other than the principal office (Item 1.F.5) moved from 10.0 to 18.0 (+80.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was 0.0% (142 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $5B to $20B (142) · 95% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $6,596,242,797 to $12,185,185,517 (+85.0%) between the annual amendments of 2025-02-28 and 2026-03-31; the peer median change was +18.0% (271 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $5B to $20B (271) · 96% percentile
What changed
consecutive filings, newest first
- Other offices · 18 to 24Mar 31, 2026 to Jul 17, 2026
- Accounts · 12,834 to 24,014Feb 20, 2026 to Mar 31, 2026
- Advisory employees · 50 to 91Feb 20, 2026 to Mar 31, 2026
- Charity clients · 17 to 12Feb 20, 2026 to Mar 31, 2026
- Corporate clients · 24 to 20Feb 20, 2026 to Mar 31, 2026
- HNW clients · 1,354 to 2,255Feb 20, 2026 to Mar 31, 2026
- Individual clients · 1,302 to 2,523Feb 20, 2026 to Mar 31, 2026
- Assets in custody · $3.3B to $6.6BFeb 20, 2026 to Mar 31, 2026
- Employees · 161 to 233Feb 20, 2026 to Mar 31, 2026
- State-registered IARs · 44 to 75Feb 20, 2026 to Mar 31, 2026
- Other offices · 19 to 18Feb 20, 2026 to Mar 31, 2026
- Discretionary RAUM · $6.2B to $12BFeb 20, 2026 to Mar 31, 2026
- HNW RAUM · $5.9B to $11BFeb 20, 2026 to Mar 31, 2026
- Individual RAUM · $589M to $1.1BFeb 20, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $366M to $660MFeb 20, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $74,913Feb 20, 2026 to Mar 31, 2026
- RAUM · $6.6B to $12BFeb 20, 2026 to Mar 31, 2026
- Other offices · 16 to 19Jul 11, 2025 to Jan 23, 2026
- Financial planning clients · 251-500 to 251-500May 19, 2025 to Jul 11, 2025
- Other offices · 9 to 16May 19, 2025 to Jul 11, 2025
- Other offices · 10 to 9Feb 28, 2025 to May 19, 2025
- Accounts · 11,981 to 12,834Jan 10, 2025 to Feb 28, 2025
- Advisory employees · 39 to 50Jan 10, 2025 to Feb 28, 2025
- Advisory activities · 6 to 7Jan 10, 2025 to Feb 28, 2025
- Charity clients · 10 to 17Jan 10, 2025 to Feb 28, 2025
- Corporate clients · 10 to 24Jan 10, 2025 to Feb 28, 2025
- HNW clients · 1,199 to 1,354Jan 10, 2025 to Feb 28, 2025
- Individual clients · 1,259 to 1,302Jan 10, 2025 to Feb 28, 2025
- Pooled vehicle clients · unset to 1.0Jan 10, 2025 to Feb 28, 2025
- Assets in custody · $2.3B to $3.3BJan 10, 2025 to Feb 28, 2025
- Employees · 154 to 161Jan 10, 2025 to Feb 28, 2025
- Financial planning clients · 51-100 to 251-500Jan 10, 2025 to Feb 28, 2025
- State-registered IARs · 41 to 44Jan 10, 2025 to Feb 28, 2025
- Other offices · 8 to 10Jan 10, 2025 to Feb 28, 2025
- Private funds · unset to 1Jan 10, 2025 to Feb 28, 2025
- Discretionary RAUM · $5.4B to $6.2BJan 10, 2025 to Feb 28, 2025
- HNW RAUM · $5.2B to $5.9BJan 10, 2025 to Feb 28, 2025
- Individual RAUM · $569M to $589MJan 10, 2025 to Feb 28, 2025
- Non-discretionary RAUM · $351M to $366MJan 10, 2025 to Feb 28, 2025
- Pooled vehicle RAUM · unset to 0.0Jan 10, 2025 to Feb 28, 2025
Signals
46 dated events
- Christopher Scott Santi no longer holds an investment adviser registration (last listed at Northrock Partners, Llc on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Northrock Partners, Llc reported 24 offices beyond its principal office, up from 18 (2026-03-31 to 2026-07-17)Jul 17, 2026 · Office count change · derived
- Michael Cooney left Northrock Partners, Llc for Calamos Wealth Management Llc (registered 2026-06-02)Jun 1, 2026 · Advisor changed firm · fact
- Sean Patrick Hanson left Northrock Partners, Llc for Empirical Wealth Management (registered 2026-06-23)May 19, 2026 · Advisor changed firm · fact
- 4 advisors left Vantage Financial Partners, LLC (Elm Grove, WI) for Northrock Partners, LLC on the same dayApr 29, 2026 · Team lift-out · derived
- 4 advisors left Vantage Financial Partners, LLC (Loveland, OH) for Northrock Partners, LLC on the same dayApr 29, 2026 · Team lift-out · derived
- 2 advisors left Vantage Financial Partners, LLC (Huron, SD) for Northrock Partners, LLC on the same dayApr 10, 2026 · Team lift-out · derived
- Northrock Partners, Llc reported RAUM $12.2B, up 85% from $6.6B (2026-02-20 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Northrock Partners, Llc reported 75 state-registered advisory representatives, up from 44 (2026-02-20 to 2026-03-31)Mar 31, 2026 · Advisor headcount change · derived
- 3 advisors left Ameriprise Financial Services, LLC (Morris, IL) for Northrock Partners, LLC a day apartJan 28, 2026 · Team lift-out · derived
- Rael Rubin left Northrock Partners, Llc for Seia (registered 2025-10-01)Aug 28, 2025 · Advisor changed firm · fact
- Parkside Advisors LLC's advisors moved to Northrock Partners, LLC (San Francisco, CA): 4 of 4 registered, on the same dayJul 17, 2025 · Firm absorbed (people side) · derived
- 18 advisors left Ameriprise Financial Services, LLC (Roseville, CA) for Northrock Partners, LLC within 17 daysJul 14, 2025 · Team lift-out · derived
- Northrock Partners, Llc reported 16 offices beyond its principal office, up from 9 (2025-05-19 to 2025-07-11)Jul 11, 2025 · Office count change · derived
- 2 advisors left Ameriprise Financial Services, LLC (Carson City, NV) for Northrock Partners, LLC within 3 daysJul 11, 2025 · Team lift-out · derived
- Joshua John Timblin left Northrock Partners, Llc for Newedge Advisors (registered 2025-06-27)May 19, 2025 · Advisor changed firm · fact
- Anthony David Mlachnik left Northrock Partners, Llc for Annex Wealth Management, Llc (registered 2025-07-09)May 19, 2025 · Advisor changed firm · fact
- Austin James Righeimer left Northrock Partners, Llc for Beacon Pointe Advisors, Llc (registered 2025-03-31)Mar 14, 2025 · Advisor changed firm · fact
- Colton F Higgins left Northrock Partners, Llc for Creative Planning (registered 2024-08-19)Aug 22, 2024 · Advisor changed firm · fact
- Northrock Partners, Llc reported 41 state-registered advisory representatives, up from 29 (2023-12-26 to 2024-03-14)Mar 14, 2024 · Advisor headcount change · derived
- Northrock Partners, Llc reported RAUM $5.8B, up 38% from $4.2B (2023-12-26 to 2024-03-14)Mar 14, 2024 · RAUM change · derived
- Barr Matthew Olson (Managing Member) no longer on Schedule A of Northrock Partners, Llc (listed 2023-12-26, absent 2024-03-14)Mar 14, 2024 · Control person left · inference
- 7 advisors left Ameriprise Financial Services, LLC (San Francisco, CA) for Northrock Partners, LLC a day apartOct 31, 2023 · Team lift-out · derived
- Troy Brent Field (Chief Investment Officer) appeared on Schedule A of Northrock Partners, LlcMar 31, 2023 · Control person joined · fact
- Bernard James Lund (Chief Compliance Officer & Founding Partner) no longer on Schedule A of Northrock Partners, Llc (listed 2023-01-20, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Sweeney Kathleen Shoemaker (Chief Compliance Officer) appeared on Schedule A of Northrock Partners, LlcMar 30, 2023 · Control person joined · fact
- K Robert Bardot (Chief Financial Officer) appeared on Schedule A of Northrock Partners, LlcDec 8, 2022 · Control person joined · fact
- Daniel Basinger left Northrock Partners, Llc for Victory Wealth Management, Llc (registered 2022-08-24)Aug 25, 2022 · Advisor changed firm · fact
- Linda Kay Winkelman left Northrock Partners, Llc for Bcu Wealth Advisors, Llc (registered 2023-01-10)May 31, 2022 · Advisor changed firm · fact
- Sumit Mehta left Northrock Partners, Llc for Pure Financial Advisors, Llc (registered 2023-03-07)Apr 21, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Northrock Partners, LLC · Independent Sponsorsshared crd · capital_provider
- Northrock Partners, LLC · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 415-978-1231reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 510-883-1350reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/foundation-xreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/northrock-xreportedpublic record, Form ADV, Sep 17, 2026
- Website
- northrockberkeley.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (612) 367-8800reportedpublic record, Form ADV, Jul 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026