CRD: 125749
Eagle Rock Financial Advisers, Ltd.
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- Custodian
- Charles Schwab & Company ยท Transamerica
- Clients
- Retail
- Platforms
- --
- Established Date
- 04-23-2003
- Office Locations
- 1
Office Locations
About Eagle Rock Financial Advisers, Ltd.
Eagle Rock Financial Advisers, Ltd. is an independent, fee-only RIA providing impartial, planning-led advice for individuals and businesses. Investment management is implemented primarily with public funds and ETFs, alongside cash and high-quality bonds. Based in Lancaster, PA, the firm custodies client assets with Charles Schwab.
Reported data analysis
What the numbers show
Between November 22, 2011 and May 10, 2012, reported AUM decreased 2.8%, from $31.0M to $30.1M.
Of the latest reported AUM, 91.6% is discretionary and 8.4% is non-discretionary.
The firm reports 1 advisory representatives and 86 clients, or 86 clients per representative. That equates to $568.6K in reported AUM per client.
The profile lists 1 reported office location and 23 years in operation. The source data was last updated on June 9, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
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Available data coverage
- Asset Classes
- Investment Themes
- Investment Vehicles
- Services
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Owner & Executives
THOMAS FRANK RAUBA
Chief Compliance Officer, Financial Planner, President
- CRD
- #1834632
- Ownership
- 75% or more
Showing 1 of 1 owners & executives
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Unlock allAssets Under Management
| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $48,900,000 | $148,319 |
| Non-Discretionary | $0 | $194,123 |
| Total | $48,900,000 | $151,311 |
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Separately Managed Accounts
SMA allocation detail is available
Eagle Rock Financial Advisers, Ltd. has reported separately managed account data across 6 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.