SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
East Rock Capital, LLC
New York, NY
CRD 157433
Firm filing updated July 9, 2026 ·
- $4.8BAssets
- 25Clients
- 15Advisory staff
- 17Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Pooled vehicles15
- High net worth individuals10
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 10 | $37.4 million |
| Pooled investment vehicles (other than investment companies and business development companies) | 15 | $4.7 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisors (including private fund managers)
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$4.8 billion
- Accounts17
- DiscretionaryAll accounts
People
- Employees38
- Advisory staff15
- Broker-dealer reps0
- Licensed insurance agents0
Registration details
- SEC-registered investment advisor. CRD 157433, SEC file 801-73320.
- Registered with the SEC as an investment advisor (status date on record: February 27, 2012).
Is East Rock Capital, LLC a fiduciary?
Short answer: East Rock Capital, LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.