East Rock Financial Services provides financial planning and portfolio management for individuals and small businesses. Financial planning was provided to 26–50 clients last fiscal year.
East Rock Financial Services reports 39 clients. They include 34 high-net-worth individuals and 5 individual clients. Of its assets, 100.0% ($136M across 190 accounts) are managed with discretion. Of its clients, 5% are outside the U.S.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 13% | 2% |
| High-net-worth individuals | 87% | 98% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 5 | $2.1M | 1.5% | $420K |
| High-net-worth individuals | 34 | $134M | 98.5% | $3.93M |
| Total | 39 | $136M | 100% | $3.48M |
- Clients
- 5
- Regulatory AUM
- $2.1M
- AUM share
- 1.5%
- Avg. per client
- $420K
- Clients
- 34
- Regulatory AUM
- $134M
- AUM share
- 98.5%
- Avg. per client
- $3.93M
Total
- Clients
- 39
- Regulatory AUM
- $136M
- AUM share
- 100%
- Avg. per client
- $3.48M
- Clients outside the U.S.
- 5%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 26–50
East Rock Financial Services is paid through a percentage of assets under management, hourly charges and fixed fees (other than subscription fees). The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Fixed fee for preparing a financial plan, generally $4,750 to $6,750 depending on complexity; a $500 deposit is due on signing.
- Hourly consulting
- Hourly fees on a specific topic range from $300 to $400, are non-refundable and are dependent on the request and the client's ability to pay.
Stephanie Lee owns 75% or more of East Rock Financial Services. The leadership team of East Rock Financial Services includes Chief Compliance Officer Stephanie Lee. It has 4 employees, 2 of them in advisory roles.
Leadership
- Stephanie LeeManaging Member, Chief Compliance Officer
Investment adviser representatives
2 representatives listed in the SEC register as of 9 October 2026.
Staff
- 4 employees
- 2 in advisory functions
- 2 state-registered reps
- Owns 75% or more of East Rock Financial Services, LLC
Stephanie Lee
Control person · since September 2008
East Rock Financial Services’ regulatory assets grew from $111M (April 2025) to $136M (March 2026); clients were 39 in both filings and employees rose from 3 to 4.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $136M | 39 | 4 | 1 |
| April 2025 | $111M | 39 | 3 | 1 |
Besides its headquarters, East Rock Financial Services has 0 offices, with 1 listed address with no US state reported.
Contact and registration details
- Legal name
- East Rock Financial Services, LLC
- Headquarters
- Not reported
- Website
- eastrockfinancial.com
- Phone
- 415-779-2008
- SEC file
- 801-132755
- Structure
- California LLC
- Fiscal year end
- December
East Rock Financial Services uses Charles Schwab ($122M) as custodian for its separately managed accounts. East Rock Financial Services does not have custody of client assets.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $122M100%
At year end, East Rock Financial Services’ separately managed accounts were mostly in stocks (57%) and funds (22%).
What the accounts hold
- Stocks57%
- Funds22%
- Bonds20%
- U.S. government and agency bonds12%
- State and local bonds8%
- Cash1%
How many clients does East Rock Financial Services have?
East Rock Financial Services has 39 clients and manages $136 million for them, as of March 2026. They include 34 high-net-worth individuals and 5 individual clients.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 2 March 2026
What services does East Rock Financial Services offer?
East Rock Financial Services provides financial planning and portfolio management for individuals and small businesses.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does East Rock Financial Services use?
East Rock Financial Services’ separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $122M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 2 March 2026
How many financial advisors does East Rock Financial Services have?
East Rock Financial Services has 2 investment adviser representatives registered with state securities authorities, out of 4 employees, and 2 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does East Rock Financial Services invest in?
At the end of its last fiscal year, East Rock Financial Services’ separately managed accounts held 57% exchange-traded equities, 22% registered funds (mutual funds, ETFs, BDCs), 12% U.S. government and agency bonds, 8% state and local bonds and 1% cash and equivalents.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns East Rock Financial Services?
East Rock Financial Services’ direct owner is Stephanie Lee (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 2 March 2026
How does East Rock Financial Services get paid?
East Rock Financial Services is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact East Rock Financial Services?
Its phone number is 415-779-2008. Its website is eastrockfinancial.com.