John C. Rocchio

NEWSTONE CAPITAL PARTNERS

Dallas, TX 75219

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CRD#: 2397335

Professional summary

John Crowley Rocchio, who also goes by John Clowley Rocchio, is a registered financial advisor currently at NEWSTONE CAPITAL PARTNERS, LLC located in Dallas, Texas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. John has worked at 3 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Clowley Rocchio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Crowley Rocchio's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 2, 2014 - Present

NEWSTONE CAPITAL PARTNERS, LLC

Office #1: 3963 Maple Avenue Suite 100, Dallas, TX 75219

RIA

CRD#: 161068

Dallas, TX

Past

June 4, 1999 - March 30, 2001

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

November 30, 1993 - October 30, 1998

CRESCENT SECURITIES CORPORATION

CRD#: 30713

LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NEWSTONE CAPITAL PARTNERS, LLC

CRD#: 161068 / SEC#: 801-73667

RIA

Registered Investment Advisory firm - (3/15/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(7/2/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 7

Date: 11/29/1993

General Securities Representative Examination

Current Firm

NEWSTONE CAPITAL PARTNERS, LLC

CRD#: 161068 / SEC#: 801-73667

RIA

Registered Investment Advisory firm - (3/15/2012 Approved)

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Contact information

Main Address

3963 Maple Avenue Suite 100, Dallas, TX 75219

Mailing Address

Phone number

(214) 753-4300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NEWSTONE CAPITAL PARTNERS LLC 03.26.25 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	6
AUM (Assets Under Management)	$ 808,774,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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John C. Rocchio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Crowley Rocchio's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWSTONE CAPITAL PARTNERS, LLC

TCW FUNDS DISTRIBUTORS LLC

CRESCENT SECURITIES CORPORATION

Primary Firm SEC Registration

NEWSTONE CAPITAL PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 7

Date: 11/29/1993

Current Firm

NEWSTONE CAPITAL PARTNERS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWSTONE CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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