Highrock Capital Management Inc.

Highrock Capital Management Inc. is a fee-only investment adviser registered with the securities regulator of New York, with its main office in Uniondale, New York. On its latest Form ADV, filed October 21, 2026, it reports 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.

Key facts from Form ADV

Registration	State-registered: New York
Firm CRD number	340720
Office	405 RXR Plaza, #A183 Uniondale, NY 11556
Phone	(516) 861-9818
Website	www.highrockcapitalmgmt.com
Regulatory assets under management	Not reported
Individual clients	Fewer than 5
Financial planning clients	0
How it charges	Percentage of assets, Fixed fee, Subscription
Services	Financial planning, Portfolio management
Employees	1
Disciplinary disclosures	None reported
Latest Form ADV filing	October 21, 2026

Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.

What this means for you

• It offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
• It also charges a percentage of assets managed for ongoing investment management.
• It provides financial planning services, not only portfolio management.
• It reports no disciplinary history on Form ADV.

Before you hire any adviser

Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.

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