Eagle Rock Financial Advisers, Ltd.

Eagle Rock Financial Advisers, Ltd. is a registered investment adviser based in Lancaster, Pennsylvania, established in 2003 by principal owner Thomas F. Rauba, a CERTIFIED FINANCIAL PLANNER™. The firm offers personalized portfolio management services, including discretionary and non-discretionary options, tailored to individual client needs and investment objectives. Investment allocation models range from U.S. stocks to diverse equity and income assets, with fees based on a percentage of assets managed. Additionally, the firm provides financial planning services, offering fixed and hourly fee structures for comprehensive financial plans. Clients have the option to implement recommendations independently or through the firm's investment advisory services. Eagle Rock Financial Advisers, Ltd. primarily advises on equity securities, bonds, mutual funds, insurance products, and exchange-traded funds, with a focus on fundamental and cyclical analysis. The firm does not accept performance-based fees or engage in side-by-side management. Clients include individuals, high net worth individuals, pension and profit sharing plans, trusts, estates, charitable organizations, corporations, and other business entities. The firm does not have a minimum account size requirement but reserves the right to terminate accounts deemed too small to effectively manage. Thomas F. Rauba, as the President and Chief Compliance Officer, oversees the firm's operations and client accounts, ensuring compliance with regulatory standards. Eagle Rock Financial Advisers, Ltd. does not have any reportable disciplinary information and maintains a commitment to client privacy and data security.