East Rock Financial Services, LLC

Overview

East Rock Financial Services, LLC is an independent, advisor-owned RIA that focuses on financial planning and portfolio management for individuals and small businesses. The firm charges a mix of percentage-of-AUM, hourly and fixed fees, which signals a willingness to work on both comprehensive ongoing advisory relationships and project-based planning engagements. Their client base is concentrated on individual and family relationships rather than institutional retirement plans, and the adviser does not position itself as an active ESG investor. Asset allocation preferences tilt toward equities, with exchange-traded instruments forming the largest single exposure in client accounts. Portfolios appear constructed using segregated managed-account wrappers and custody relationships that favor liquid, exchange-listed securities while still incorporating non-equity sleeves — including corporate debt and external alternative managers — to address income, diversification and return enhancement objectives. The firm is SEC-registered (registration year shown as 2025) and operates as a multi-office independent RIA rather than as part of a wirehouse or broker-dealer network. Advisory activity is centered on individualized planning and discretionary portfolio management; all disclosed assets are managed on a discretionary basis.

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