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High Rock Capital LLC (Boston)


High Rock Capital LLC is a large advisory firm based in Boston. It manages $869.4 million of regulatory assets for 19 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Massachusetts.

High Rock Capital provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

High Rock Capital: assets under management

The assets under management (AUM) of High Rock Capital LLC is $869.4 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -57% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $869.4 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $45.76 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay High Rock Capital LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 1 indirect owner.

Name Entity Date acquired Ownership Employer ID
David Louis Diamond Owner 1 Nov 1997 75% - 100% 4379921

Based in Boston

The principal office where High Rock Capital LLC performs its advisory services is located at 28 State Street, 18 Th Fl., Boston, MA 02109, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 617-747-5800 or by fax 617-747-5858. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday.


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