The HIGH ROCK ADVISORS is a privately held investment adviser that advises $1.45Bn in regulatory assets under management held in 1 SEC fund types across 1 investment strategies. HIGH ROCK ADVISORS is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 541.08% over the last 5-years.
The Group has been registered with the SEC for 8.78 years and is comprised of 1 filing and 0 relying advisers. They operate out of 3 office locations with their Headquarters at 19 RAILROAD PLACE SUITE 301, SARATOGA SPRINGS, NEW YORK. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 66 employees comprised of 21 investment and 45 non-investment staff. The total number of Employees increased by 83.33% over the last 5-years.
Their $1.45Bn in assets advised are owned by 2 private funds, 0 public funds and BDCs and 1 other account. Assets of High Net Worth Individuals clients own $1.16Bn or 79.96% of Total Assets and Pooled Investment Vehicles (Not IC or BDC) own $234.29mn or 16.11% of Total Assets.
The Group's top investment strategies include Real Estate, representing 100% of total assets, respectively.
They advise 4 types of clients, top clients are High Net Worth Individuals and Pooled Investment Vehicles (Not IC or BDC).
The Group uses 1 Fund Administrators, 1 Fund Auditors, 0 Prime Brokers, 5 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 1 private funds with $61.79mn in assets.
The Group discloses advisory fees, fixed fees, management fees and performance-based fees.
HIGH ROCK ADVISORS names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.