# East Rock Capital, LLC

> East Rock Capital, LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2012, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated July 9, 2026.

- CRD: 157433
- Filed as: EAST ROCK CAPITAL, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: July 9, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/157433
- AdvisorCensus page: https://advisorcensus.com/firm/east-rock-capital-llc-new-york-ny-157433

## Quick answers

**How is East Rock Capital, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), East Rock Capital, LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is East Rock Capital, LLC located?**
East Rock Capital, LLC's principal office is in New York, NY, according to its Form ADV; the August 2026 filing also lists 2 other offices (Schedule D, Section 1.F).

**Is East Rock Capital, LLC registered with the SEC or a state?**
East Rock Capital, LLC is an SEC-registered investment advisory firm, registered since 2012. Status as filed: Approved. CRD 157433.

**How much does East Rock Capital, LLC manage?**
East Rock Capital, LLC reports $4,756,628,926 in regulatory assets under management in its Form ADV filing dated July 9, 2026 (100% discretionary).

**How have East Rock Capital, LLC's assets and staff changed since 2021?**
In the Form ADV data for East Rock Capital, LLC: Regulatory assets under management: $2,585,181,666 in the October 2021 data and $4,756,628,926 in the October 2026 data, up 84%. Total employees: 27 in October 2021 and 38 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does East Rock Capital, LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (15); high net worth individuals (10).

**Does East Rock Capital, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/157433

**What changed in East Rock Capital, LLC's recent Form ADV filings?**
In the August 2026 filing data: Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $4,756,628,926
- Discretionary: $4,756,628,926
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| High net worth individuals | 10 | $37,448,784 |
| Pooled investment vehicles (other than investment companies and business development companies) | 15 | $4,719,180,142 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2012 (14 years)
- Employees: 38 total, 15 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: FL, NC, NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the August 2026 filing
- Charlotte, NC
- Miami, FL

### Websites listed on Form ADV (Item 1.I)
- [eastrockcap.com](https://eastrockcap.com)
- LinkedIn @east-rock-capital-llc
- LinkedIn @newsletters

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,585,181,666 | 27 | March 26, 2021 |
| October 2022 | $3,054,627,404 | 26 | March 25, 2022 |
| October 2023 | $3,239,802,653 | 31 | July 5, 2023 |
| October 2024 | $3,637,779,141 | 36 | July 15, 2024 |
| October 2025 | $3,909,824,064 | 38 | July 23, 2025 |
| October 2026 | $4,756,628,926 | 38 | July 9, 2026 |

Regulatory assets under management: $2,585,181,666 in the October 2021 data and $4,756,628,926 in the October 2026 data, up 84%.
Total employees: 27 in October 2021 and 38 in October 2026.

## Changes in the filing (last 12 months)

### August 2026
- Updated its list of owners and control persons (Schedule A).

### April 2026
- Employees performing advisory functions went from 16 to 15.
- Regulatory assets under management went from $3,909,824,064 to $4,756,628,926 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. East Rock Capital, LLC (CRD 157433): Form ADV filing data as of October 2026.