A complete list of active advisors currently associated with Eagle Rock Financial Advisers, Ltd.

Warmer can help you find a great advisor at Eagle Rock Financial Advisers, Ltd. or one who fits your needs even better.

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.

To learn more about the advisors currently working at Eagle Rock Financial Advisers, Ltd., click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.

Name	Location	Years of experience
Thomas Rauba	Lancaster, PA	23

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