Eagle Rock Financial Advisers, Ltd.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Eagle Rock Financial Advisers is a small, independent registered investment adviser that manages approximately $48.9 million in discretionary client assets and serves about 85 clients, including individuals (including high-net-worth), pension and profit-sharing plans, trusts, estates, charitable organizations, and business entities. The firm offers discretionary portfolio management and modular financial planning, and it also provides supervisory and consulting services related to annuities and certain outside retirement accounts.
The firm applies a set of allocation models that include 100% U.S. stocks, diversified equity/income mixes (ranging from Aggressive Growth to Capital Preservation), and 100% mutual fund allocations, using fundamental and cyclical analysis and periodic rebalancing as part of continuous supervision. Portfolios are managed on a discretionary basis (the brochure notes the firm now provides discretionary-only management for its portfolio services), while the firm may provide non-discretionary investment recommendations for outside retirement or annuity accounts and may employ short-term trading in suitable circumstances.
Noteworthy distinctions include a long operating history (since 2003) and a specific practice of supervising annuity subaccounts held at Transamerica (reported as assets under advisement in its filings) and negotiating non-discretionary advice for outside annuity/retirement assets. The firm also expects clients using its model portfolios to custody assets at Charles Schwab and discloses that it receives institutional services from Schwab that benefit the adviser, a relationship the brochure identifies as creating potential conflicts of interest.
Client services
Expertise
Fee options
Fixed financial planning fees ranging generally from $250 to $10,000
$0 - $249,999: ranging from 1.00% to 2.00% depending on investment allocation model $250,000 - $499,999: ranging from 0.90% to 1.85% depending on investment allocation model $500,000 - $999,999: ranging from 0.80% to 1.60% depending on investment allocation model $1,000,000 - $1,999,999: ranging from 0.70% to 1.40% depending on investment allocation model $2,000,000 - $4,999,999: ranging from 0.60% to 1.20% depending on investment allocation model $5,000,000+: ranging from 0.50% to 1.00% depending on investment allocation model
$250 per hour for consulting services
Fee-only: Fixed fees for financial plans generally between $250 and $10,000 payable in advance; Hourly rate of $250 for consulting services
Main office
2501 Oregon Pike, Suite 104
Lancaster PA 17601
Advisors at this office
1
Most active in
Pennsylvania · 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 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.
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