Unclaimed Profile

Sumit Mehta

NORTHROCK PARTNERS, LLC·MINNEAPOLIS, Minnesota

SIE, Series 7, Series 63, Series 65, Series 7911 years registeredNORTHROCK PARTNERS, LLC

225 SOUTH SIXTH STREET, MINNEAPOLIS, MN 55402CRD# 2846983Firm CRD# 167908

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Sumit Mehta · MINNEAPOLIS, MN

Registration

CRD #2846983 · NORTHROCK PARTNERS, LLC · 11 years registered

Brand Profile

Not yet started

Career History

PURE FINANCIAL ADVISORS, LLC

Mar 2023 – present

NORTHROCK PARTNERS, LLC

Nov 2021 – Apr 2022

MINNEAPOLIS, MN

MAZAKALI

Jun 2019 – Dec 2021

SAN FRANCISCO, CA

GROWTH CAPITAL SERVICES, INC.

Aug 2018 – Mar 2019

DENVER, CO

J.P. MORGAN SECURITIES LLC

Jun 2015 – Sep 2016

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Series 65

Series 79

Registration record

First registered · June 1, 2015

Years registered · 11

Disclosure History

1994Criminal·Final Disposition

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

NORTHROCK PARTNERS, LLC

CRD 167908 · SEC 801-78194

AUM

$5.8B

Regulatory assets under management

Employees

154

11,981 client accounts

Services offered by NORTHROCK PARTNERS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at NORTHROCK PARTNERS, LLC →

Introduction

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Frequently Asked Questions

What services does Sumit Mehta offer?

Sumit Mehta specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MINNEAPOLIS, Minnesota for a consultation.

What are Sumit Mehta's credentials?

Sumit Mehta is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Sumit Mehta located?

Sumit Mehta is based in MINNEAPOLIS, Minnesota, working with NORTHROCK PARTNERS, LLC. Their office serves clients in the MINNEAPOLIS metropolitan area and surrounding communities.

How does Sumit Mehta charge for services?

Sumit Mehta's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NORTHROCK PARTNERS, LLC?

NORTHROCK PARTNERS, LLC has approximately 154 employees and manages $5.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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