Highrock Capital Management Inc.

HighRock Capital Management Inc. provides portfolio management (available on either a discretionary or non‑discretionary basis), financial planning services — including separate employer‑sponsored retirement plan allocation engagements with optional annual reviews — and a paid impersonal research subscription that includes time‑sensitive Research Alerts. The firm’s brochure also discloses that it currently reports no assets under management and no portfolio management clients.

The firm’s investment process is grounded in fundamental analysis, supported by quantitative screening and technical analysis used specifically for timing; its advice focuses primarily on U.S. exchange‑listed equities and exchange‑traded funds and is tailored to each client’s objectives, risk tolerance and any written restrictions. Research reports and Alerts document illustrative entry, add, trim and reassessment levels, and the same analytical framework is applied to both published coverage and securities considered for client portfolios.

Distinctive features noted in the brochure include that, despite its small size, HighRock operates as a corporate research publisher rather than as a traditional solo practitioner and sells tiered subscriptions (including a Research + Alerts tier) in addition to offering advisory services. The brochure emphasizes specific controls and disclosures to address conflicts from publishing and trading on the same ideas — simultaneous distribution to clients and subscribers, a pre‑distribution blackout, express disclosure of any firm or employee positions in published pieces, and a publication log with third‑party timing records.