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Brock Anthony Riggi

Brock A. Riggi

NORTHROCK PARTNERS | Financial Advisor
Shorewood, IL 60404
Some features on this profile are disabled
CRD#: 6208468
Brock Anthony Riggi

Professional summary

Brock Anthony Riggi, CFP®, who also goes by Brock A Riggi, Brock Riggi, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Shorewood, Illinois.

Brock is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Brock has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?
Insurance Planning
Comprehensive Financial Planni...
Business Succession Planning
Investment Planning
Education Planning
Budgeting
Employee and Employer Plan Ben...
Debt Management
Retirement Planning
Estate Planning
Tax Planning
Are you a "fiduciary"?
Yes

Aliases

Brock A Riggi | Brock Riggi

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brock Anthony Riggi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2017

Experience

Current

January 23, 2026 - Present

NORTHROCK PARTNERS, LLC

Office #1: 862 Center Ct. Unit D, Shorewood, IL 60404Office #2: 116 E. Washington Street Suite 4, Morris, IL 60450Office #3: 260 Franklin Street, Valparaiso, IN 46383
RIA
CRD#: 167908
Shorewood, IL
Past

January 10, 2014 - February 17, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Morris, IL
Past

November 19, 2013 - February 17, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Morris, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NORTHROCK PARTNERS, LLC
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA
Registered Investment Advisory firm - (6/13/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Illinois
(1/23/2026)
IAR
Indiana
(1/23/2026)
IAR
Texas
(1/23/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/9/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/19/2013
General Securities Representative Examination

Current Firm

NORTHROCK PARTNERS, LLC
NORTHROCK PARTNERS, LLC
3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA
Registered Investment Advisory firm - (6/13/2013 Approved)
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Contact information

Main Address
225 South Sixth Street Suite 1400, Minneapolis, MN 55402
Mailing Address
Phone number
(612) 367-8800
Established
Firm type
Fiscal year end
# of Employees
161

SEC notice filing (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NORTHROCK PARTNERS ADV 2A BROCHURE (7/10/2025)
NORTHROCK PARTNERS WRAP BROCHURE MARCH 2024 (2/26/2025)

Regulatory assets under management

Total Number of Accounts12,834
AUM (Assets Under Management)$ 6,596,242,797

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/26/2025
Cover Page
Report
11/05/2024
Cover Page
Report
01/29/2024
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NORTHROCK PARTNERS, LLC

NORTHROCK PARTNERS, LLC

Financial AdvisorCRD#: 167908Shorewood, IL 60404

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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