# NORTHROCK PARTNERS, LLC

NORTHROCK PARTNERS, LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser.

## Registration

- CRD: 167908
- Type: SEC-registered investment adviser
- SEC file number: 801-78194
- Location: 225 SOUTH SIXTH STREET, SUITE 1400, MINNEAPOLIS, MN, 55402
- Phone: (612) 367-8800
- Latest filing: 2026-07-17
- Regulatory AUM: $12.2B
- Discretionary AUM: $11.5B
- Non-discretionary AUM: $660.2M
- Clients: 233
- Accounts: 24,014

## Business model

- Compensation: % of AUM, Fixed
- Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos, Other

## Officers, owners & control persons (29)

_Showing 25 of 29 people._

| Name | Role | Location |
| --- | --- | --- |
| Todd Alan Moser | MANAGING MEMBER | — |
| Robert Dean Nelson | MANAGING MEMBER, CEO & FOUNDING PARTNER | — |
| Sean Berrigan Baenen | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | — |
| Samuel B Cari | CHIEF LEGAL OFFICER | — |
| Robert K Bardot | CHIEF FINANCIAL OFFICER | — |
| Kathleen Sweeney Shoemaker | CHIEF COMPLIANCE OFFICER | — |
| Brent Troy Field | CHIEF INVESTMENT OFFICER | — |
| Emily Jo Vennerstrom | CHIEF OPERATING OFFICER | — |
| SMITH CLARENCE ANDREW | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | — |
| STAFF MICHAEL THEODORE | MEMBER | — |
| PURCELL JOHN PETER | MEMBER | — |
| ARMSTRONG WARD DOUGLAS | MANAGING MEMBER; MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | — |
| FLOOD KEITH OWEN | CHIEF COMPLIANCE OFFICER | — |
| LUND JAMES BERNARD | CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER; MANAGING MEMBER, SENIOR VICE PRESIDENT; MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER (+2 more) | — |
| NELSON ROBERT DEAN | MANAGING MEMBER; MANAGING MEMBER, CEO & FOUNDING PARTNER; MANAGING MEMBER, PRESIDENT (+1 more) | — |
| WITCRAFT TODD DAVID | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER; MANAGING MEMBER, SENIOR VICE PRESIDENT, CFO, COO AND CCO | — |
| KRUSE BRIAN JON | MEMBER | — |
| JURKOVICH DAWN DEBORAH | MEMBER | — |
| OLSON MATTHEW BARR | MANAGING MEMBER | — |
| MOSER MARTIN ALAN | MANAGING MEMBER | — |
| KNAUF DOMINIC JON | MANAGING MEMBER | — |
| Baenen Sean Berrigan | PRESIDENT; PRESIDENT & CHIEF FINANCIAL OFFICER | — |
| MEHTA SUMIT | CHIEF FINANCIAL OFFICER | — |
| CARI SAMUEL B | CHIEF LEGAL OFFICER | — |
| BARDOT ROBERT K | CHIEF FINANCIAL OFFICER | — |


## Private funds (1)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| NORTHROCK CREDIT ACCESS OPPORTUNITY I, LP | Other Private Fund | Delaware | 253 | $75K | $100K |


## Branch offices (24)

_Showing 15 of 24 offices._

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| ROSEVILLE | CA | 23 | 916-232-4512 |
| DEER PARK | IL | 8 | 847-620-5551 |
| SAN FRANCISCO | CA | 7 | 415-978-2061 |
| SAN RAFAEL | CA | 6 | 415-978-2062 |
| APPLETON | WI | 5 | 920-416-8531 |
| BERKELEY | CA | 5 | 415-978-1231 |
| ELM GROVE | WI | 5 | 262-439-8587 |
| BLUE ASH | OH | 4 | 513-239-2933 |
| SHOREWOOD | IL | 4 | 815-697-4611 |
| MORRIS | IL | 4 | 815-697-4378 |
| WATERTOWN | SD | 3 | 605-753-6822 |
| VALPARAISO | IN | 3 | 815-697-5639 |
| HURON | SD | 3 | 605-352-4124 |
| COLUMBUS | OH | 2 | 614-799-2900 |
| ALEXANDRIA | MN | 2 | 320-762-1880 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/167908/brochure
- Similar advisers: https://search.stillhousedata.com/firm/167908/similar
- Related entities: https://search.stillhousedata.com/firm/167908/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/167908

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.