EAST ROCK CAPITAL, LLC
Adviser information for EAST ROCK CAPITAL, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 36 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 13 | $3.6B |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $3.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 8 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $3.6B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
65 EAST 55TH STREET33RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-630-5000, Fax: 212-624-0231
Chief Compliance Officer
SHAUN ROBERT GETCHELL
GENERAL COUNSEL
65 EAST 55TH STREET
33RD FLOOR
NEW YORK
NY
United States
Tel:
212-630-5050
Fax:
212-624-0231
S********@**************M
(Full email address available in API data)
Regulatory Contact
MICHAEL SETH MARKS
CHIEF OPERATING OFFICER
65 EAST 55TH STREET
33RD FLOOR
NEW YORK
NY
United States
Tel:
212-630-5004
Fax:
212-624-0231
M*****@**************M
(Full email address available in API data)
Industry Affiliates
| EAST ROCK CAPITAL GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| EAST ROCK FOCUS FUND GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EAST ROCK CHARITABLE FUND, L.P. | Hedge Fund | $124.8M | $100.0M | 2 |
| EAST ROCK DJMD FUND, L.P. | Hedge Fund | $505.0M | $100.0M | 5 |
| EAST ROCK EAI FUND, LLC - SERIES A | Private Equity Fund | $46.7M | $0.1M | 25 |
| EAST ROCK EAI FUND, LLC - SERIES B | Private Equity Fund | $23.9M | $0.1M | 26 |
| EAST ROCK ENDOWMENT FUND, L.P. | Hedge Fund | $988.9M | $100.0M | 5 |
| EAST ROCK FOCUS FUND, L.P. | Hedge Fund | $377.5M | $1.0M | 80 |
| EAST ROCK GRANITE FUND, L.P. | Hedge Fund | $408.1M | $100.0M | 3 |
| EAST ROCK LORELEI FUND, L.P. | Hedge Fund | $310.6M | $100.0M | 4 |
| EAST ROCK OREN FUND, L.P. | Hedge Fund | $236.1M | $100.0M | 5 |
| EAST ROCK SIMCO ENDOWMENT FUND, L.P. | Hedge Fund | $255.8M | $25.0M | 2 |
| EAST ROCK TIVOLI FUND, L.P. | Hedge Fund | $107.6M | $100.0M | 2 |
| EAST ROCK VICTORIA FUND, L.P. | Hedge Fund | $252.2M | $10.0M | 8 |
| ER-WDE, L.P. | Private Equity Fund | $0.7M | $1.0M | 27 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MP ALPHA HOLDINGS LLLP | Domestic Entity | – | MEMBER | 10/2006 | 10-25% |
| MARKS, MICHAEL, SETH | Individual | – | CHIEF OPERATING OFFICER | 01/2010 | < 5% |
| SHAPIRO PARTNERS MANAGEMENT, LLC | Domestic Entity | – | MANAGING MEMBER | 01/2007 | 25-50% |
| SHAPIRO, ADAM, JOHN | Individual | SHAPIRO PARTNERS MANAGEMENT, LLC | MANAGING MEMBER | 01/2007 | |
| ADAM SHAPIRO 2007 TRUST; TRUSTEE, ADAM JOHN SHAPIRO | Domestic Entity | SHAPIRO PARTNERS MANAGEMENT, LLC | MEMBER | 01/2007 | > 75% |
| MILLER, STUART, ALAN | Individual | MP ALPHA HOLDINGS LLLP | PARTNER | 04/2005 | 25-50% |
| SAIONTZ, LESLIE, MILLER | Individual | MP ALPHA HOLDINGS LLLP | PARTNER | 04/2005 | 25-50% |
| SHAPIRO, ADAM, JOHN | Individual | – | MANAGING PARTNER | 01/2007 | < 5% |
| LMM FAMILY CORP. | Domestic Entity | MP ALPHA HOLDINGS LLLP | GENERAL PARTNER | 04/2005 | |
| GETCHELL, SHAUN, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL | 03/2019 | < 5% |
| MOLINET, BRYAN, CHRISTOPHER | Individual | – | CHIEF FINANCIAL OFFICER | 03/2019 | < 5% |
| ER ACQUISITION, LLC | Domestic Entity | – | MEMBER | 12/2021 | 25-50% |
| ADAM SHAPIRO 2007 TRUST; TRUSTEE, ADAM JOHN SHAPIRO | Domestic Entity | ER ACQUISITION, LLC | MANAGING MEMBER | 12/2021 | 50-75% |