Big Rock Advisors LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Big Rock Advisors is a small, SEC‑registered advisory firm that offers discretionary asset management, comprehensive and topic‑specific financial planning, and ERISA retirement‑plan services (as either a 3(21) or 3(38) advisor). The firm began offering advisory services in 2024 and manages a modest number of client accounts while documenting client goals and investment policy statements for each engagement.
The firm’s investment approach emphasizes individualized portfolios built from fundamental analysis, with discretionary trading authority to implement asset allocation, ongoing monitoring, rebalancing, and periodic tax‑loss harvesting as appropriate. Client accounts are reviewed at least quarterly and financial plans are updated on request or as circumstances change; clients may also impose written restrictions on investments.
Noteworthy features include that firm personnel are licensed to sell insurance products and may receive external compensation from insurance sales, a disclosed conflict of interest the firm says it mitigates through disclosure and fiduciary duties. The firm also highlights ERISA 3(38) discretionary plan management capabilities, a relatively small client base and asset level for an SEC‑registered adviser, staff professional credentials (including a CFA), and a policy of leaving proxy voting to clients unless otherwise requested.
Client services
Expertise
Occupation focus
Fee options
Between $3,000 and $15,000 for comprehensive financial plans
$0 - $2,000,000: 1.25% annually $2,000,000.01 - $5,000,000: 1.10% annually $5,000,000.01+: 1.00% annually
$250 per hour for consulting services
Account minimum: $500,000
Main office
35 Main Street
Sag Harbor NY 11963
Advisors at this office
3
Most active in
New York · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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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.
Quick links
Advisors at this firm
Stephen T
Series 63, Series 65
Sag Harbor, NY
Big Rock Advisors LLC
Stephen Taylor is a financial advisor with Big Rock Advisors LLC, holding Series 63 and Series 65 licenses and bringing 25 years of industry experience. Prior to joining Big Rock Advisors in 2024, he spent 23 years at Credit Suisse Securities (USA) LLC and Credit Suisse Group. He is also an insurance agent involved in insurance sales and service through Cardona and Company. Big Rock Advisors is a small SEC-registered firm providing discretionary asset management, financial planning, and ERISA retirement-plan services. The firm focuses on individualized portfolio construction using fundamental analysis and offers periodic reviews, rebalancing, and tax-loss harvesting tailored to client objectives.
Sean H
CFA®, Series 63
Sag Harbor, NY
Big Rock Advisors LLC
Sean Hopkins is a CFA® charterholder with 15 years of industry experience. He is currently with Big Rock Advisors LLC and previously worked at Tradeweb LLC and its affiliates for over a decade. In addition to his advisory role, he is involved as an accountant at La Sala CPA P.C. Big Rock Advisors LLC is a small SEC-registered firm providing discretionary asset management, financial planning, and ERISA retirement-plan services. The firm focuses on individualized portfolios using fundamental analysis and offers quarterly reviews, tax-loss harvesting, and client-directed investment restrictions.
Anthony C
Series 63, Series 65
Sag Harbor, NY
Big Rock Advisors LLC
Anthony Cardona is a financial advisor with Big Rock Advisors LLC, holding Series 63 and Series 65 licenses and 19 years of industry experience. His career includes roles at Benefit Funding Services, FFR, The Leaders Group, Hornor, Townsend & Kent, Penn Mutual Life Insurance Company, and MCRA. He is also the owner and insurance agent of AJ Cardona & Co, a business providing insurance services. Big Rock Advisors is a small SEC-registered firm offering discretionary asset management, financial planning, and ERISA retirement-plan services. The firm focuses on individualized portfolios created through fundamental analysis, with regular reviews and updates tailored to client goals.
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