East Rock Financial Services, LLC

East Rock Financial Services provides investment management and financial planning to individuals, high‑net‑worth clients, trusts, and estates, and indicates it may offer services to charitable organizations in the future. The firm offers discretionary portfolio management across common security types and also delivers standalone financial planning engagements on a fixed‑fee or hourly basis alongside its AUM‑based advisory services.

The firm tailors advice through initial interviews to assess clients’ goals, resources, risk tolerances, and time horizons, emphasizing asset allocation, diversification, and periodic rebalancing as core elements of its investment approach. East Rock typically obtains discretionary authority, conducts quarterly reviews with client reporting, and explicitly considers retirement‑plan rollover alternatives and other client‑specific factors within its fiduciary framework.

Compared with many peers, East Rock operates with a relatively small client roster and a principal‑led service model — the brochure reports approximately $135 million in discretionary AUM across 39 clients and two advisors — and commits to provide summaries of material changes within 120 days and other ongoing disclosures as needed. The firm also states that roughly half of its time is devoted to financial‑planning matters outside direct investment advice (insurance, estate planning, budgeting, tax), and it does not vote client proxies, instead forwarding proxy materials to clients for their own voting.