HIGHSTONE GROUP
COMPREHENSIVE FINANCIAL PLANNING CORPORATION Legal Name
Adviser information for HIGHSTONE GROUP last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 177 | $219.3M |
| Total | 177 | $219.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 168 | $140.5M |
| HNW Individuals | 9 | $78.8M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesCommissions |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Identifiers
| SEC RIA File Number | 801-112136 |
|---|---|
| SEC ERA File Number | 801-112136 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 107549 |
| Legal Entity Identifier | None |
Principal Office
4205 DOVER ROADRICHMOND
VA
United States
Monday - Friday, 8:30 AM TO 6:00 PM
Tel: 804-285-7010, Fax: 804-285-7046
Websites
Chief Compliance Officer
JUSTIN P. HOCHSTEIN
VICE PRESIDENT
4205 DOVER ROAD
RICHMOND
VA
United States
Tel:
804-285-7010
Fax:
804-285-7046
J*********@*****************M
(Full email address available in API data)
Regulatory Contact
AMY HOCHSTEIN CLARK
SECRETARY / TREASURER
4205 DOVER ROAD
RICHMOND
VA
United States
Tel:
804-285-7010
Fax:
804-285-7046
A*****@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HOCHSTEIN, RONALD, JOHN | Individual | – | PRESIDENT/CHIEF FINANCIAL OFFICER | 01/1993 | > 75% |
| CLARK, AMY, HOCHSTEIN | Individual | – | SECRETARY / TREASURER | 02/2001 | < 5% |
| HOCHSTEIN, JUSTIN, PARKER | Individual | – | VICE - PRESIDENT, CHIEF COMPLIANCE OFFICER | 01/2002 | < 5% |