Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Private Funds
Private funds reported by Northrock Partners, LLC
Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Northrock Partners, LLC.
Reported ownership and control details
Form ADV · Filing date 2026-09-18 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | ROBERT DEAN NELSONMANAGING MEMBER, CEO & FOUNDING PARTNERIndividual | NORTHROCK PARTNERS, LLC | 10% to less than 25%Code B | Yes | MANAGING MEMBER, CEO & FOUNDING PARTNER10/2013 | Schedule APDF page 45 |
| 2 | TODD ALAN MOSERMANAGING MEMBERIndividual | NORTHROCK PARTNERS, LLC | 10% to less than 25%Code B | Yes | MANAGING MEMBER08/2019 | Schedule APDF page 45 |
| 3 | KATHLEEN SWEENEY SHOEMAKERCHIEF COMPLIANCE OFFICERIndividual | NORTHROCK PARTNERS, LLC | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER03/2023 | Schedule APDF page 46 |
| 4 | BRENT TROY FIELDCHIEF INVESTMENT OFFICERIndividual | NORTHROCK PARTNERS, LLC | Less than 5%Code NA | Yes | CHIEF INVESTMENT OFFICER10/2013 | Schedule APDF page 46 |
| 5 | Michael Lee MockPRESIDENT, SAMMONS FINANCIAL GROUP WEALTHIndividual | NORTHROCK PARTNERS, LLC | Less than 5%Code NA | Yes | PRESIDENT, SAMMONS FINANCIAL GROUP WEALTH12/2025 | Schedule APDF page 46 |
| 6 | James Marshall DuBruelerCHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTHIndividual | NORTHROCK PARTNERS, LLC | Less than 5%Code NA | Yes | CHIEF FINANCIAL OFFICER, SAMMONS FINANCIAL GROUP WEALTH03/2026 | Schedule APDF page 46 |
| 7 | NORTHROCK PARTNERS INTERMEDIATE, LLCMANAGING MEMBERDomestic entity | NORTHROCK PARTNERS, LLC | 75% or moreCode E | Yes | MANAGING MEMBER10/2023 | Schedule APDF page 46 |
| 8 | GREATBANC TRUST COMPANY, TRUSTEETRUSTEEDomestic entity | SEI EMPLOYEE STOCK OWNERSHIP TRUST | 75% or moreCode E | Yes | TRUSTEE01/2010 | Schedule BPDF page 46 |
| 9 | SEI EMPLOYEE STOCK OWNERSHIP TRUSTSHAREHOLDERDomestic entity | SAMMONS ENTERPRISES, INC. | 75% or moreCode E | Yes | SHAREHOLDER01/2010 | Schedule BPDF page 46 |
| 10 | SAMMONS ENTERPRISES, INC.SHAREHOLDERDomestic entity | SAMMONS CORPORATION | 75% or moreCode E | Yes | SHAREHOLDER01/2024 | Schedule BPDF page 46 |
| 11 | SAMMONS CORPORATIONSHAREHOLDERDomestic entity | CONSOLIDATED INVESTMENT SERVICES, INC. | 75% or moreCode E | Yes | SHAREHOLDER01/2024 | Schedule BPDF page 46 |
| 12 | CONSOLIDATED INVESTMENT SERVICES, INC.SHAREHOLDERDomestic entity | SAMMONS FINANCIAL GROUP, INC. | 75% or moreCode E | Yes | SHAREHOLDER01/1990 | Schedule BPDF page 46 |
| 13 | SAMMONS FINANCIAL GROUP, INC.MANAGING MEMBERDomestic entity | SAMMONS FINANCIAL GROUP WEALTH MANGAGEMENT HOLDINGS, LLC | 75% or moreCode E | Yes | MANAGING MEMBER09/2023 | Schedule BPDF page 46 |
| 14 | SAMMONS FINANCIAL GROUP WEALTH MANGAGEMENT HOLDINGS, LLCMANAGING MEMBERDomestic entity | NORTHROCK PARTNERS HOLDCO, LLC | 50% to less than 75%Code D | Yes | MANAGING MEMBER10/2023 | Schedule BPDF page 46 |
| 15 | NORTHROCK PARTNERS HOLDCO, LLCMANAGING MEMBERDomestic entity | NORTHROCK PARTNERS INTERMEDIATE, LLC | 75% or moreCode E | Yes | MANAGING MEMBER10/2023 | Schedule BPDF page 46 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 9/18/2026 5:06:11 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.