The EAST ROCK CAPITAL, LLC is a privately held investment adviser that advises $7.82Bn in regulatory assets under management held in 2 SEC fund types across 1 investment strategies. EAST ROCK CAPITAL, LLC is a Private Fund A private fund manager is a manager whose >=75% of total assets under management are in private funds (privately offered pooled vehicles for accredited or qualified investors, generally accessed through placements with higher minimums, restricted eligibility, and negotiated terms) Manager. Assets increased by 268.53% over the last 5-years.
The Group has been registered with the SEC for 13.94 years and is comprised of 1 filing and 1 relying advisers. They operate out of 3 office locations with their Headquarters at 65 EAST 55TH STREET 33RD FLOOR, NEW YORK, NY. The Group has not been subject to regulatory enforcement actions. They are regulated by 2 US and Non-US bodies.
They have 38 employees comprised of 16 investment and 22 non-investment staff. The total number of Employees increased by 72.73% over the last 5-years.
Their $7.82Bn in assets advised are owned by 14 private funds, 0 public funds and BDCs and 0 other accounts. Assets of Pooled Investment Vehicles (Not IC or BDC) clients own $7.82Bn or 100% of Total Assets and High Net Worth Individuals own $0 or 0% of Total Assets.
The Group's top investment strategies include Fund of Funds, representing 100% of total assets, respectively.
They advise 2 types of clients, top clients are Pooled Investment Vehicles (Not IC or BDC) and High Net Worth Individuals.
The Group uses 2 Fund Administrators, 2 Fund Auditors, 1 Prime Brokers, 3 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses management fees and performance-based fees.
EAST ROCK CAPITAL, LLC names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a MEDIUM-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In EAST ROCK CAPITAL, LLC's case, they have 8 business conditions that require high process maturity and 1 Watch Factors.