# East Rock Financial Services

East Rock Financial Services is an Asset Manager based in Burlingame, United States.

## Overview

- **Organization type:** Asset Manager
- **Headquarters:** Burlingame, United States
- **Region:** North America
- **Address:** New York, NY, United States
- **Assets under management:** Undisclosed
- **Website:** eastrockfinancial.com
- **LinkedIn:** https://www.linkedin.com/company/east-rock-financial-services-llc

## Regulatory record

- **CRD number:** 147949
- **SEC file number:** 801-132755
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/147949

## About

EAST ROCK FINANCIAL SERVICES, LLC is an SEC-registered investment adviser in BURLINGAME, CA, registered since 2025. The firm manages approximately $136 million in regulatory assets. It has 4 employees and 2 investment advisers.

## Sectors

- Financial Services

## Questions

### Is East Rock Financial Services a registered investment advisor?

Yes, East Rock Financial Services operates as a registered investment advisor (RIA) in New York. As an RIA, the firm is bound by a fiduciary duty to act in its clients' best interests, which distinguishes it from broker-dealers operating under a suitability standard. The firm's regulatory filings are accessible through the SEC's Investment Adviser Public Disclosure database.

### Does East Rock manage pooled investment funds or only separate accounts?

East Rock primarily structures its client relationships through separately managed accounts rather than operating commingled mutual funds or proprietary ETFs. This allows the firm to tailor tax management, position sizing, and fixed-income ladders to the specific circumstances of each family or individual, which is a material benefit for taxable investors with complex balance sheets.

### How does East Rock source alternative investment exposure for its clients?

The firm provides access to private-market strategies through external limited partnerships and co-investment opportunities where client suitability and net-worth thresholds are met. These allocations supplement the firm's core public-equity and fixed-income work rather than serving as the primary portfolio engine.

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Last updated: 2026-06-03T20:00:00.000Z

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