Eagle Rock Financial Advisers, Ltd.
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$48,900,000
Clients
85
18% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
85
Very HighAverage account size
$575,294
About
Eagle Rock Financial Advisers serves individual clients — including high‑net‑worth individuals — as well as trusts, estates, pension and profit‑sharing plans, offering discretionary portfolio management and modular financial planning. The firm also provides supervised annuity management and, on a negotiated basis, non‑discretionary recommendations for outside retirement accounts or annuities that it does not manage.
The firm implements several allocation models that span 100% U.S. equities, blended equity/income mixes and mutual‑fund‑only portfolios, and provides ongoing supervision and periodic rebalancing to align portfolios with objectives from Aggressive Growth to Capital Preservation. Investment decisions draw on fundamental and cyclical analysis and may include opportunistic short‑term trading, with allocations set according to each client’s risk tolerance, time horizon and liquidity needs.
Distinctive aspects include a dedicated annuity management service (with annuity assets maintained at Transamerica reflected as assets under advisement) and a routine recommendation that clients use Charles Schwab as custodian for the firm’s model portfolios, an arrangement through which the firm receives institutional services and support it discloses as a potential conflict of interest. The firm has provided advisory services since 2003, maintains written supervisory procedures and a Code of Ethics, and may aggregate household accounts when determining fee breakpoints.
Client services
Financial planning
Portfolio management
Expertise
Annuities
Wealth management
Fee options
Fixed fees for financial plans ranging from $250 to $10,000, typically payable in advance with possible retainer.
$0 - $249,999: Ranges from 2.00% to 1.00% annually depending on investment allocation model $250,000 - $499,999: Ranges from 1.85% to 0.90% annually depending on investment allocation model $500,000 - $999,999: Ranges from 1.60% to 0.80% annually depending on investment allocation model $1,000,000 - $1,999,999: Ranges from 1.40% to 0.70% annually depending on investment allocation model $2,000,000 - $4,999,999: Ranges from 1.20% to 0.60% annually depending on investment allocation model $5,000,000+: Ranges from 1.00% to 0.50% annually depending on investment allocation model
Hourly fee of $250 for specific consulting services without written financial plan.
Account minimum: No minimum stated; firm generally does not require a minimum dollar amount to open and maintain an advisory account but reserves the right to terminate accounts deemed too small to manage effectively. Fee-only: Fixed fee financial planning services generally range from $250 to $10,000; hourly consulting fee is $250 per hour.
Main office location
Eagle Rock Financial Advisers, Ltd.
2501 Oregon Pike, Suite 104
Lancaster PA 17601, United States
Number of offices
1
Most active in
Eagle Rock Financial Advisers, Ltd. has reported serving >5 clients in these states in the last 12 months.
Pennsylvania · Texas
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
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