State-registered independent wealth management RIA
Highrock Capital Management Inc.
As of its Form ADV filed August 28, 2026, Highrock Capital Management Inc., a state-registered independent wealth management RIA in Uniondale, New York, reported no regulatory assets under management.
Registration
- Registration
- State-registered, Approved
- CRD number
- 340720
- SEC file number
- None (state-registered)
- Registered since
- July 16, 2026
- Latest Form ADV filing
- August 28, 2026
- Organized as
- Corporation
- Fiscal year ends
- December
- Other offices
- 0
Key figures
- Regulatory assets under management
- $0
- Discretionary
- $0
- Non-discretionary
- $0
- Accounts
- 0 (0 discretionary)
- Clients
- 0, approximate as reported
- Employees
- 1
- Advisory staff
- 1 performing investment advisory functions
- Average account
- Not reported
- Asset growth, 1 year
- Not reported
- Asset growth, 3-year annual rate
- Not reported
- Asset growth, 5-year annual rate
- Not reported
- Client growth, 1 year
- Not reported
Independent wealth management RIA: individual and high net worth clients hold at least half of its regulatory assets, it offers financial planning or portfolio management for individuals, and it is not a broker-dealer, a bank or part of one by the directory's rules. How firms are classed.
Growth rates come from the SEC's yearly snapshots and are left blank when the years are not comparable.
Rankings
Among independent wealth management RIAs.
| Ranking | Nationally | In New York | Value |
|---|---|---|---|
| Independent RIAs with the most advisory staff | #10,188 | #598 | 1 |
| Newest independent RIAs | #1,111 | #73 | $0 |
Assets over time
Data table
| As of | RAUM |
|---|---|
| October 7, 2026 | $0 |
Clients and services
Client mix
| Measure | Bar | RAUM |
|---|---|---|
| Individuals (other than high net worth) fewer than 5 clients | $0 | |
| High net worth individuals fewer than 5 clients | $0 | |
| Other fewer than 5 clients | $0 |
How the firm is paid
- A percentage of assets under management
- Subscription fees
- Fixed fees
Advisory services
- Financial planning
- Portfolio management for individuals or small businesses
- Publication of periodicals or newsletters
- Market timing services
Financial planning clients (Item 5.H): 0.
Wrap fee program sponsor or portfolio manager: no.
Other business, affiliations and custody
Other business activities (Item 6.A)
None reported.
Financial industry affiliations (Item 7.A)
None reported.
Custody (Item 9)
The firm reported custody of client cash or securities.
Investment adviser representatives
- IARs registered with the firm
- 1
- Also registered through a broker-dealer
- 0
- Employees who are IARs (Form ADV 5.B(3))
- 1
0 of the firm's 1 IAR are registered in jurisdictions that require IAR CE. IAR CE requirements by state.
Counts only. AdvisorIQ does not list individual people.
Disclosures
Our source has no Form ADV Item 11 detail for this firm. See the detail on IAPD.
Succession and acquired firms
On Form ADV Item 4 the firm did not report succeeding to another adviser's business.
Similar-sized firms in New York
| Firm | City | RAUM |
|---|---|---|
| Turtle Wealth | Springwater | $0 |
| Aldebaran Capital | Brooklyn | $0 |
| Future Proof Consulting Group LLC | White Plains | $0 |
| Novera Wealth, Inc. | New York | $0 |
| Heirmont Wealth Management | Uniondale | $0 |
The five independent RIAs nearest in regulatory assets with a main office in the same state.
Elsewhere
- Highrock Capital Management Inc. on IAPD: Form ADV, brochures and disclosure detail.
- Firm website: www.highrockcapitalmgmt.com
- Independent RIAs in New York
Firm data as of October 7, 2026, from IA_FIRM_STATE_Feed_10_07_2026.xml.gz. Figures are as the firm reported them; corrections are made on Form ADV and appear after the next monthly reload.
Data as of October 7, 2026, from Form ADV. Sources: SEC registered adviser data (ia100226.zip) and IAPD compilation reports. How the directory is built.