Data / Investment advisers / New York / East Rock Capital, LLC
East Rock Capital, LLC, New York, NY: $4.8 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
East Rock Capital, LLC is an SEC registered investment adviser with its main office in New York, New York and reports $4.8 billion in regulatory assets under management in its Form ADV filed July 9, 2026. Its clients include pooled investment vehicles and high net worth individuals. It is paid through a percentage of assets under management and performance based fees. It advises 15 private funds.
The request: Watch East Rock Capital, LLC (CRD number 157433): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 157433
- SEC file number
- 801-73320
- SEC status
- Approved, effective February 27, 2012
- Main office
- 65 East 55th Street 33rd Floor, New York, NY 10022
- Phone
- (212) 630-5000
- Website
- eastrockcap.com
- Regulatory AUM
- $4,756,628,926 in the Form ADV filed July 9, 2026
- Discretionary AUM
- $4,756,628,926
- Accounts
- 17
- Employees
- 38, of which 15 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, performance based fees
- Private funds
- 15: 9 hedge funds, 6 private equity funds
- Gross assets of private funds
- $4,719,180,141
- Other offices
- 2
- Umbrella registration
- 1 relying advisers
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- July 9, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pooled investment vehicles | 15 | $4.72 billion |
| High net worth individuals | 10 | $37.4 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $4.76 billion | March 30, 2026 |
| December 1, 2025 | $3.91 billion | July 23, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Compound Planning, Inc. | New York | $4.85 billion | Not listed | adviserinfo.sec.gov |
| Encompass Capital Advisors LLC | New York | $4.84 billion | 3 | adviserinfo.sec.gov |
| Macquarie Wealth Advisers, LLC | New York | $4.82 billion | 19 | adviserinfo.sec.gov |
| Dme Capital Management, LP | New York | $4.80 billion | 6 | adviserinfo.sec.gov |
| Claros REIT Management LP | New York | $4.76 billion | Not listed | adviserinfo.sec.gov |
| Robeco Institutional Asset Management US Inc | New York | $4.76 billion | Not listed | adviserinfo.sec.gov |
| Armistice Capital LLC | New York | $4.72 billion | 1 | adviserinfo.sec.gov |
| Investcorp Investment Solutions LLC | New York | $4.72 billion | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving pooled investment vehicles
- Advisers serving high net worth individuals
- Advisers that manage private funds
- East Rock Capital, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.