# Highrock Capital Management Inc.

> Highrock Capital Management Inc. is a state-registered investment advisory firm in Uniondale, NY, registered since 2026, reporting under $25 million in regulatory assets under management in its Form ADV filing dated August 28, 2026.

- CRD: 340720
- Filed as: HIGHROCK CAPITAL MANAGEMENT INC.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Uniondale, NY
- Filing period: October 2026
- Form ADV filing dated: August 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/340720
- AdvisorCensus page: https://advisorcensus.com/firm/highrock-capital-management-inc-uniondale-ny-340720

## Quick answers

**How is Highrock Capital Management Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Highrock Capital Management Inc. reports these compensation arrangements: a percentage of assets under its management; subscription fees (for a newsletter or periodical); fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Highrock Capital Management Inc. located?**
Highrock Capital Management Inc.'s principal office is in Uniondale, NY, according to its Form ADV.

**Is Highrock Capital Management Inc. registered with the SEC or a state?**
Highrock Capital Management Inc. is a state-registered investment advisory firm, registered since 2026. Status as filed: APPROVED. CRD 340720.

**How much does Highrock Capital Management Inc. manage?**
Highrock Capital Management Inc. reports $0 in regulatory assets under management in its Form ADV filing dated August 28, 2026.

**Does Highrock Capital Management Inc. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/340720

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Subscription fees (for a newsletter or periodical)
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $0
- Discretionary: $0
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $0 |
| High net worth individuals | Fewer than 5 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | Fewer than 5 | $0 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Publication of periodicals or newsletters
- Market timing services

### Firm details
- Registered since: 2026 (0 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [highrockcapitalmgmt.com](https://highrockcapitalmgmt.com)

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Highrock Capital Management Inc. (CRD 340720): Form ADV filing data as of October 2026.