Austen David Clark
Investment Adviser Representative at Northrock Partners, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Austen David Clark is an investment adviser representative with Northrock Partners, LLC in San Francisco, CA, where they have been registered since 2026. They have worked in the securities industry since 2023 and were previously registered with Ballentine Partners. They have passed the Series 65 (investment adviser) exam. They are registered to provide investment advice in California.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Ballentine Partners, LLCOct 2021 – Feb 2025Waltham, MA
- Stonestreet WineryAug 2021 – Oct 2021Healdsburg, CA
- NERA Economic ConsultingSep 2020 – May 2021New York, NY
- Momentum IncOct 2018 – May 2020Warwick, RI
- Exiger LLCJun 2019 – Aug 2019New York, NY
- Rhode Island Country ClubJun 2016 – Aug 2018Barrington, RI
- Aquasport Jetski RentalsJun 2016 – Sep 2017West Dennis, MA
- Brown UniversitySep 2016 – May 2020Providence, RI
- UnemployedMay 2021 – Aug 2021Providence, RI
- NorthRock Partners, LLCAug 2025 – no end date reportedSan Francisco, CA
- UnemployedMar 2025 – Aug 2025Rumford, RI
- UnemployedMay 2020 – Sep 2020Providence, NY
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northrock Partners, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Estimated blended rate
- 0.0125
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 91
- Offices listed on AdvisorFinder:
- 8
- Main office:
- Minneapolis, MN
- SEC file number:
- 801-78194
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 18, 2026
View full firm profileOther advisors at Northrock Partners, LLC
Showing 12 of 91 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Austen David Clark has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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