NORTHROCK PARTNERS, LLC
CRD #167908 SEC #801-78194 MINNEAPOLIS, MN (612) 367-8800
SEC Registered Private Funds
Total AUM
$6.6B
Discretionary
$6.2B
Employees
161
Clients
251
Accounts
12,834
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Minnesota
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jul 1, 2025
- Branch Offices
- 11
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| BARDOT, ROBERT, K | I | CHIEF FINANCIAL OFFICER | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT & CHIEF FINANCIAL OFFICER | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | PRESIDENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| Baenen, Sean, Berrigan | I | MANAGING PARTNER & HEAD OF CORPORATE DEVELOPMENT | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| CARI, SAMUEL, B | I | CHIEF LEGAL OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FIELD, BRENT, TROY | I | CHIEF INVESTMENT OFFICER | NA | Control |
| FLOOD, KEITH, OWEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| KNAUF, DOMINIC, JON | I | MANAGING MEMBER | NA | Control |
| KNAUF, DOMINIC, JON | I | MANAGING MEMBER | NA | Control |
| KNAUF, DOMINIC, JON | I | MANAGING MEMBER | NA | Control |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| KRUSE, BRIAN, JON | I | MEMBER | NA | |
| LUND, JAMES, BERNARD | I | CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER | NA | Control |
| LUND, JAMES, BERNARD | I | CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER | NA | Control |
| LUND, JAMES, BERNARD | I | CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER | NA | Control |
| LUND, JAMES, BERNARD | I | CHIEF COMPLIANCE OFFICER & FOUNDING PARTNER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MEHTA, SUMIT | I | CHIEF FINANCIAL OFFICER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | NA | Control |
| PRO TEM HOLDINGS, LLC | DE | MANAGER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SHOEMAKER, KATHLEEN, SWEENEY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| SMITH, JEFFREY, ANDREW | I | CHIEF LEGAL OFFICER & CHIEF COMPLIANCE OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| VENNERSTROM, EMILY, JO | I | CHIEF OPERATING OFFICER | NA | Control |
| WITCRAFT, TODD, DAVID | I | CHIEF OPERATIONS OFFICER, CHIEF COMPLIANCE OFFICER | NA | |
| WITCRAFT, TODD, DAVID | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CFO, COO AND CCO | NA | Control |
| INTERIM HOLDINGS, LLC | DE | MEMBER | E | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| SAMMONS FINANCIAL GROUP WEALTH MANAGEMENT HOLDINGS, LLC | DE | MANAGING MEMBER | D | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MEMBER & VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, PRESIDENT & CEO, FOUNDING PARTNER | C | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| ARMSTRONG, WARD, DOUGLAS | I | MANAGING MEMBER & CHIEF COMPLIANCE OFFICER | B | Control |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| JURKOVICH, DAWN, DEBORAH | I | MEMBER | B | |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, CCO, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| LUND, JAMES, BERNARD | I | MANAGING MEMBER, SENIOR VICE PRESIDENT, FOUNDING PARTNER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| MOSER, TODD, ALAN | I | MANAGING MEMBER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| NELSON, ROBERT, DEAN | I | MANAGING MEMBER, CEO & FOUNDING PARTNER | B | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
| OLSON, MATTHEW, BARR | I | MANAGING MEMBER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PKS HOLDINGS, LLC | DE | PRO TEM HOLDINGS, LLC | E | Control |
| PURCELL, JOHN, PETER | I | PKS HOLDINGS, LLC | C | Control |
| STAFF, MICHAEL, THEODORE | I | PKS HOLDINGS, LLC | C | Control |
Registrations
Federal
IA
Jul 1, 2025 REGISTERED
Notice Filings (42)
AR AZ CA CO CT FL GA HI IA ID IL IN KS LA MA MD ME MI MN MO MT NC ND NE NH NJ NM NV NY OH OK OR PA SC SD TN TX UT VA VI WA WI
Address
225 SOUTH SIXTH STREETSUITE 1400
MINNEAPOLIS, MN 55402
United States
Phone: (612) 367-8800