# East Rock Financial Services, LLC

> East Rock Financial Services, LLC is an SEC-registered investment advisory firm in Burlingame, CA, registered since 2025, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 2, 2026.

- CRD: 147949
- Filed as: EAST ROCK FINANCIAL SERVICES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Burlingame, CA
- Filing period: October 2026
- Form ADV filing dated: March 2, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/147949
- AdvisorCensus page: https://advisorcensus.com/firm/east-rock-financial-services-llc-burlingame-ca-147949

## Quick answers

**How is East Rock Financial Services, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), East Rock Financial Services, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees).

**Where is East Rock Financial Services, LLC located?**
East Rock Financial Services, LLC's principal office is in Burlingame, CA, according to its Form ADV.

**Is East Rock Financial Services, LLC registered with the SEC or a state?**
East Rock Financial Services, LLC is an SEC-registered investment advisory firm, registered since 2025. Status as filed: Approved. CRD 147949.

**How much does East Rock Financial Services, LLC manage?**
East Rock Financial Services, LLC reports $135,781,449 in regulatory assets under management in its Form ADV filing dated March 2, 2026 (100% discretionary).

**How have East Rock Financial Services, LLC's assets and staff changed since 2025?**
In the Form ADV data for East Rock Financial Services, LLC: Regulatory assets under management: $111,383,135 in the October 2025 data and $135,781,449 in the October 2026 data, up 22%. Total employees: 3 in October 2025 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does East Rock Financial Services, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (34); individuals (other than high net worth individuals) (5).

**Which custodians does East Rock Financial Services, LLC use?**
East Rock Financial Services, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does East Rock Financial Services, 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/147949

**What changed in East Rock Financial Services, LLC's recent Form ADV filings?**
In the April 2026 filing data: Regulatory assets under management went from $111,383,135 to $135,781,449 (+22%).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $135,781,449
- Discretionary: $135,781,449
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 5 | $2,100,231 |
| High net worth individuals | 34 | $133,681,218 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2025 (1 year)
- Employees: 4 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- eastrockfinancial.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2025 | $111,383,135 | 3 | April 16, 2025 |
| October 2026 | $135,781,449 | 4 | March 2, 2026 |

Regulatory assets under management: $111,383,135 in the October 2025 data and $135,781,449 in the October 2026 data, up 22%.
Total employees: 3 in October 2025 and 4 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Regulatory assets under management went from $111,383,135 to $135,781,449 (+22%).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. East Rock Financial Services, LLC (CRD 147949): Form ADV filing data as of October 2026.