EAST ROCK FINANCIAL SERVICES, LLC
SEC RegisteredAbout the firm
East Rock Financial Services is an SEC Registered Investment Advisor and fee-only firm that does not sell products and is paid no commissions. East Rock Financial Services provides trustworthy, comprehensive financial planning to individuals and couples.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Retirement Planning, Educational Expense Planning, Investment Management, Insurance Needs Assessment, Estate Planning Needs Assessment, and Tax Management
Who they serve
Individuals and couples
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 5 | $2.1M |
| High Net Worth Individuals | 34 | $134M |
0 total clients reported on Form ADV.
Office locations
Advisors at this firm
2 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| First $1M | 0.75% |
| $1M to $10M | 0.50% |
| $10M to $15M | 0.25% |
| Above $15M | 0.10% |
Data as of March 2, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. EAST ROCK FINANCIAL SERVICES, LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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