In December 2023, NorthRock sold a majority stake to a subsidiary of Sammons Financial Group. Rob Nelson and Todd Moser still maintain a large minority ownership interest, each holding less than 25% and remaining actively involved in the leadership and daily operation of the business. Sammons is a privately held, employee-owned company based in Des Moines, IA focused largely in the financial sector to include insurance, annuities and investment products. NorthRock is a full-service wealth management firm offering a comprehensive suite of financial planning, consulting and investment portfolio management services. As of December 31, 2023, NorthRock had approximately $5,447,451,000 in discretionary and $351,368,000 in non-discretionary assets under management. While this brochure generally describes the business of NorthRock, certain sections also discuss the activities of its officers, partners, directors (or other persons occupying a similar status or performing similar functions), employees, or other persons who provide investment advice on NorthRock’s behalf and are subject to the Firm’s supervision or control. DESCRIPTION OF THE PROGRAM The NorthRock Partners Advisory Services Program (the “Program”) is an investment advisory program sponsored by NorthRock, a registered investment adviser, formed in 2013. The Program is offered as a wrap fee program, which, among other things, provides the ability to trade in certain investment products without incurring separate brokerage commissions, transaction charges, or fees related to NorthRock’s non-advisory services. NorthRock’s wrap fee program is an arrangement under which clients receive investment advisory services (which may include portfolio management, asset allocation or advice concerning the selection of other investment advisers), other non-investment advisory services (e.g., tax), as applicable, and the execution of client transactions through the independent custodians and broker-dealers, Charles Schwab & Co., Inc. (“Schwab”), and Fidelity Institutional (“Fidelity”) for a fee not based upon transactions in their accounts. Prior to receiving services through the Program, clients are required to enter into a written agreement with NorthRock setting forth the relevant terms and conditions of the advisory relationship (the “Agreement”). Clients must also open a new securities brokerage account and complete a new account agreement with a qualified custodian – e.g., Schwab, Fidelity or another custodian NorthRock approves under the Program (collectively “Financial Institutions”). At the onset of the Program, NorthRock advisors work with clients to understand their individual investment objectives, liquidity and cash flow needs, time horizon and risk tolerance, as well as any other factors pertinent to their specific financial situations. After an analysis of the relevant information, NorthRock generally assists its clients in developing an appropriate strategy for managing their assets and financial affairs. NorthRock manages

clients’ investment portfolios on a discretionary or non-discretionary basis by allocating assets among the various investment products available under the Program, as described further in Item 8 (below). NorthRock tailors its advisory services to accommodate the needs of its individual clients and, on a continuous basis, seeks to ensure that its clients’ portfolios are managed in a manner consistent with a client’s specific investment profiles. NorthRock consults with clients on an initial and ongoing basis to determine their specific risk tolerance, time horizon, liquidity constraints and other factors relevant to the management and advisement of their portfolios. Clients are advised to promptly notify the Firm if there are changes in their financial situation, in any of the information or documents provided to NorthRock or if they wish to place any limitations on the management of their portfolios. Clients may impose reasonable restrictions or mandates on the management of their accounts if the Firm determines, in its sole discretion, the conditions would not materially impact the performance of a management strategy or prove overly burdensome to the Firm’s management efforts. Under the Program, NorthRock may also offer clients a variety of financial planning, consulting services, or other non-investment advice and advisory services (“Personal Office® services”) which are customized to accommodate the needs and resources of each client and may address a broad range of matters, including, but not limited to: ●Cash Flow & Budgeting ●Bill Pay ●Lending ●Credit Analysis ●Trust & Estate Administration ●Business Planning ●Tax Planning ●Protection Planning ●Succession Planning ●Tax Preparation ●Retirement Planning ●Financial Reporting ●Wealth Transfer ●Family Financial Planning ●Executive Compensation ●Charitable Planning ●Educational Funding ●Mortgages ●Estate Planning ●Employee Benefits In performing these services, NorthRock is not required to verify any information received from the client or from the client’s other professionals (e.g., attorneys, accountants, etc.) and is expressly authorized to rely on such information. For any Personal Office® services, NorthRock may recommend its own services, its Supervised Persons in their individual capacities as insurance agents, or the services of third-party professionals to implement its recommendations. A potential conflict of interest exists if NorthRock recommends clients engage the Firm or its Supervised Persons for services to be rendered outside of the Program. Clients are under no obligation to act upon any such recommendations and clients retain absolute discretion over all such implementation decisions. Clients are advised that it remains their responsibility to promptly notify NorthRock if there is ever any change in their financial situation or investment objectives for the purpose of reviewing, evaluating or revising NorthRock’s previous recommendations and/or services.