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EAST ROCK CAPITAL, LLC
CRD 157433File 801-73320
APPROVED
Retail clients
Custody
Filing as of Jul 9, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.76B
Top 25% of cohort (national)
Discretionary AUM
$4.76B
Clients
25
17 accounts
Employees
38
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Feb 27, 2012
- Principal office
- 65 EAST 55TH STREET, 33RD FLOOR, NEW YORK, NY, 10022
- Phone
- 212-630-5000
- Website
- http://www.eastrockcap.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.76B
- Discretionary AUM
- $4.76B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 17
- Non-discretionary accounts
- 0
- Total accounts
- 17
- AUM per client
- $190.3M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 10 | $37.4M |
| Pooled investment vehicles | 15 | $4.72B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 22 | 25 | increased by3 |
| Apr 1, 2026 | AUM | $3,909,824,064 | $4,756,628,926 | increased by$846,804,862 |
| Apr 1, 2026 | Accounts | 14 | 17 | increased by3 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 26 | 38 | increased by12 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 12 | 22 | increased by10 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $3,054,627,404 | $3,909,824,064 | increased by$855,196,660 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 12 | 14 | increased by2 |
| Apr 1, 2022 | Employees | 27 | 26 | decreased by1 |
| Apr 1, 2022 | Clients | 14 | 12 | decreased by2 |
| Apr 1, 2022 | AUM | $2,585,181,666 | $3,054,627,404 | increased by$469,445,738 |
| Apr 1, 2022 | Accounts | 14 | 12 | decreased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “EAST ROCK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“EAST ROCK” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.