East Rock Financial Services, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
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.
Client services
Expertise
Fee options
$4,750 to $6,750 for financial plan preparation
$0 - $1,000,000: 0.75% $1,000,000 - $10,000,000: 0.50% $10,000,000 - $15,000,000: 0.25% $15,000,000+: 0.10%
$300-$400 per hour
Account minimum: $1,333,333.34 Minimum fee: $4,000 minimum quarterly fee for clients joining after March 2019
Main office
See officeBurlingame CA
Advisors at this office
1
Most active in
California
Also doing business as
East Rock Financial Services · East Rock Financial Services, LLC · Lee, Stephanie, Jeanne
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.
Advisors at this firm
Stephanie L
CFP®, Series 65
Burlingame, CA
East Rock Financial Services, LLC
Stephanie Lee is a CFP® and holds a Series 65 license with 17 years of industry experience. She has been with East Rock Financial Services, LLC since 2008. Outside of her financial advisory role, she is also a musician, performing under her own name. East Rock Financial Services provides investment management and financial planning to individuals, high-net-worth clients, trusts, and estates, with a focus on asset allocation, diversification, and periodic rebalancing. The firm dedicates significant time to comprehensive financial planning and employs fixed-fee planning engagements, serving a small client roster with approximately $111 million in discretionary assets under management.
Rebecca C
CFP®, Series 63
Santa Cruz, CA
East Rock Financial Services, LLC
Rebecca Contin is a CFP® professional with 14 years of industry experience, currently serving as an advisor at East Rock Financial Services, LLC since 2013. She holds a Series 63 designation and is also a director of Contin Seeds, a hybrid seed development company. East Rock Financial Services provides investment management and financial planning to individuals, high-net-worth clients, trusts, and estates. The firm emphasizes asset allocation, diversification, and periodic rebalancing, offering discretionary portfolio management alongside standalone financial planning engagements through a principal-led service model.
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