RIA Intel›Advisers›New York›EAST ROCK CAPITAL, LLC

EAST ROCK CAPITAL, LLC

Advisory

N·NEW YORK, NY

Data as of Mar 30, 2026 · Source: SEC Form ADV

Total AUM

$4.8B

1-Year AUM Growth

+7.5%

3-Year CAGR

+8.5%

Employees

15

Assets Under Management

Total AUM$4.8B

Discretionary AUM$4.8B

Non-Discretionary AUM$0

Discretionary %100%

Total Clients22

Team

Total Employees15

Investment Advisers38

Employee Growth (1Y)+14.3%

Filing History

Total Filings on Record21

First FilingFeb 10, 2012

Latest FilingMar 30, 2026

🔒 Full AUM trend chart and 21 historical filings spanning 14+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on EAST ROCK CAPITAL, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.