Appleton, WI Office

NorthRock Partners provides comprehensive wealth management and advisory services to individuals (including high-net-worth clients), trusts, estates, retirement plans, charitable organizations, and business entities. Services delivered through its wrap-fee Advisory Services Program include financial planning, portfolio management (discretionary and non-discretionary), and retirement-plan consulting, and the firm may serve ERISA plan clients in either a 3(21) or 3(38) capacity.

The firm describes a tailored, holistic investment approach rooted in broad asset allocation, diversification, and periodic rebalancing, and frequently uses Independent Managers to implement strategies while maintaining ongoing oversight. NorthRock also integrates private market allocations, including privately placed pooled vehicles and illiquid investments, into client portfolios where appropriate and uses AI and other automated tools to support tax-aware investing, risk assessment, and portfolio monitoring while retaining human review of recommendations.

NorthRock is notable among peers for sponsoring and advising private funds and accepting performance-based compensation (including carried interest) for certain fund investors, with private-fund and fund-level fees potentially included within client Program accounts. The firm also has affiliated tax and accounting services (NorthRock Partners Tax Services, LLC and Private Tax Services, LLC), employees who are licensed insurance agents, and strategic revenue-sharing relationships with managers such as CIO Capital Group, Coller, and other private-market partners—arrangements the firm discloses as creating potential conflicts that it addresses through its policies and oversight.