{"url":"https://nivawealth.com/firms/east-rock-financial-services-147949","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/147949","regulatoryAum":135781449,"crd":"147949","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"4317249","suffix":null,"lastName":"CONTIN","firstName":"REBECCA","middleName":null},{"crd":"5580394","suffix":null,"lastName":"LEE","firstName":"STEPHANIE","middleName":"JEANNE"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2025-04-16","regulatoryAum":111383135,"clients":39,"employees":3,"offices":1},{"filedOn":"2026-03-02","regulatoryAum":135781449,"clients":39,"employees":4,"offices":1}],"secFileNumber":"801-132755","legalName":"East Rock Financial Services, LLC","displayName":"East Rock Financial Services","slug":"east-rock-financial-services-147949","website":"https://eastrockfinancial.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"","city":"","state":"","stateName":"","country":"","postalCode":null},"tradeNames":[],"registration":{"secApproved":"13 May 2025","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":3481575.6153846155,"staff":{"employees":4,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":135781449,"discretionary":135781449,"discretionaryAccounts":190,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":5,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":5,"regulatoryAum":2100231},{"label":"High-net-worth individuals","clients":34,"regulatoryAum":133681218}],"feePrograms":[{"role":"other","program":"Financial planning","summary":"Fixed fee for preparing a financial plan, generally $4,750 to $6,750 depending on complexity; a $500 deposit is due on signing.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013491","versionId":1013491,"submittedOn":"2026-03-02","documentName":"ADV PART 2A"},{"role":"other","program":"Hourly consulting","summary":"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.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013491","versionId":1013491,"submittedOn":"2026-03-02","documentName":"ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T13:47:56.079754+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013491","versionId":1013491,"submittedOn":"2026-03-02"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"San Francisco, CA","smaAssets":122316679}],"custodyNote":"East Rock Financial Services does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stephanie Lee","title":"Managing Member, Chief Compliance Officer","crd":"5580394"}],"ownership":[{"label":"Stephanie Lee","detail":"Managing member, chief compliance officer in the 75% or more ownership band and a control person, since September 2008."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-779-2008","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"26-50","assetMix":[{"label":"Exchange-traded equity securities","percent":57},{"label":"U.S. government/agency bonds","percent":12},{"label":"U.S. state and local bonds","percent":8},{"label":"Securities issued by registered investment companies or business development companies","percent":22},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"2 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/147949/PDF/147949.pdf","brochureDate":"2 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1013491","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does East Rock Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does East Rock Financial Services offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does East Rock Financial Services use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does East Rock Financial Services have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does East Rock Financial Services invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns East Rock Financial Services?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does East Rock Financial Services get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact East Rock Financial Services?","answer":"Its phone number is 415-779-2008. Its website is eastrockfinancial.com.","source":"Form ADV Part 1A, Item 1.F, filed 2 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}