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| East Rock Capital LLC
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| CRD # | 157433 |
| SEC # | 801-73320 |
| CIK # | 0001427448 |
| AUM | 4,756.6 M (2026-03-30) |
| Employees | 38 (39% Investors, 0% Brokers) |
| Phone | 212-630-5000 |
| Address | 65 East 55th Street New York, NY 10022 |
| Source | [IAPD] [EDGAR] [Website] [LinkedIn] |
| Total AUM ($B) |
|---|
| Type | Form D Funds | Date | Sold | AUM |
|---|---|---|---|---|
| PE | East Rock EAI Fund LLC - Series D | [2026-03-30] | 41.6 M | 64.2 M |
| Offered $100,000,000 · Filed 2025-05-14 (D) · Exemption 506(c), 3(c), 3(c)(7) · Minimum $1 · Remaining $58,365,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| PE | East Rock EAI Fund LLC - Series C | [2025-03-28] | 60.5 M | |
| Offered $40,000,000 · Filed 2024-01-19 (D) · Exemption 506(c), 3(c), 3(c)(7) · Remaining $40,000,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| PE | East Rock EAI Fund LLC - Series B | [2023-03-27] | 21.8 M | 43.5 M |
| Offered $40,000,000 · Filed 2022-07-01 (D) · Exemption 506(b), 3(c), 3(c)(7) · Minimum $1 · Remaining $18,200,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| PE | East Rock EAI Fund LLC - Series A | [2021-03-26] | 9.5 M | 41.5 M |
| Offered $25,000,000 · Filed 2021-01-04 (D/A) · Exemption 506(b), 3(c), 3(c)(7) · Remaining $15,490,000 · Duration One year or less · Revenue Decline to Disclose | ||||
| HF | East Rock Oren Fund LP | [2021-03-26] | 85.0 M | 456.3 M |
| Filed 2025-05-16 (D/A) · Exemption 506(c), 3(c), 3(c)(7) · Minimum $1 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | East Rock Tivoli Fund LP | [2021-03-26] | 143.5 M | |
| Filed 2025-05-16 (D/A) · Exemption 506(c), 3(c), 3(c)(7) · Minimum $1 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| PE | East Rock Victoria Fund LP | [2016-03-28] | 47.8 M | 408.3 M |
| Filed 2025-06-23 (D/A) · Exemption 506(c), 3(c), 3(c)(7) · Minimum $1 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | East Rock DJMD Fund LP | [2015-03-27] | 544.1 M | |
| Filed 2025-05-16 (D/A) · Exemption 506(c), 3(c), 3(c)(7) · Minimum $1 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| HF | East Rock Granite Fund LP | [2015-03-27] | 542.0 M | |
| Filed 2025-05-16 (D/A) · Exemption 506(c), 3(c), 3(c)(7) · Minimum $1 · Remaining Indefinite · Duration More than one year · Net Assets Decline to Disclose | ||||
| PE | Er-Ranger LLC | 2015-03-27 | ||
| View All | ||||
| AUM Breakdown | Accounts | AUM ($B) |
|---|---|---|
| By Client Type | ||
| (a) Individuals (other than high net worth individuals) | 0 | 0.0 |
| (b) Individuals (high net worth individuals) | 10 | 0.0 |
| (c) Banking or thrift institutions | 0 | 0.0 |
| (d) Investment companies | 0 | 0.0 |
| (e) Business development companies | 0 | 0.0 |
| (f) Pooled investment vehicles | 15 | 4.7 |
| (g) Pension and profit sharing plans | 0 | 0.0 |
| (h) Charitable organizations | 0 | 0.0 |
| (i) State or municipal government entities | 0 | 0.0 |
| (j) Other investment advisers | 0 | 0.0 |
| (k) Insurance companies | 0 | 0.0 |
| (l) Sovereign wealth funds and foreign official institutions | 0 | 0.0 |
| (m) Corporations or other businesses not listed above | 0 | 0.0 |
| (n) Other | 0 | 0.0 |
| Total | 17 | 4.8 |
| By Discretionary | ||
| Discretionary | 17 | 4.8 |
| Non-Discretionary | 0 | 0.0 |
| Total | 17 | 4.8 |
| By Non-United States Persons | ||
| Non-United States Persons | 0.0 | |
| United States Persons | 4.7 | |
| Total | 17 | 4.8 |
| Form D Directors | Role | # Filings | # Firms | 2011 - 2026 |
|---|---|---|---|---|
| Adam Shapiro | Executive Officer | 21 | 2 | |
| Graham Duncan | Executive Officer, Promoter | 3 | 2 | |
| D Partners Management LLC | Promoter | 1 | 1 | |
| East Rock Capital GP LLC | Executive Officer | 1 | 1 | |
| East Rock Capital LLC | Promoter | 1 | 1 |
| EDGAR Form | CIK | 2011 - 2026 |
|---|---|---|
| 3 | [0001427448] | |
| 4 | [0001427448] | |
| SC 13G | [0001427448] |
| Form 13D/13G Filer | Form 13D/13G Subject | Filed |
|---|---|---|
| East Rock Capital LLC | Bay Bancorp Inc | [2014-07-02] |
| Firm Profile (Form ADV) | |
|---|---|
| Discretionary AUM | $1.1B |
| Clients | 8 (8 non-US) |
| Serves | Institutional, Retail |
| Fund Types | Hedge Fund, Private Equity |
| LEI | 5493000POD2JU7MH0006 |
| Form 3/4/5 Subject | 2011 - 2026 |
|---|---|
| D Partners Management LLC | |
| East Rock Capital GP LLC | |
| EREF MP Alpha LLC | |
| Shapiro Adam | |
| Bay Bancorp Inc | |
| Duncan Graham | |
| East Rock Capital LLC | |
| Corbin Multi-Strategy Fund LLC |
| Insider Transaction (Form 3/4/5) | Date | Action | Shares | Price | Value ($) |
|---|---|---|---|---|---|
|
Bay Bancorp Inc BYBK
Common Stock, par value $1.00
|
2016-08-11 | Sell | 1,418,436 | $5.18 | 7,347,498 |
|
Bay Bancorp Inc BYBK
Common Stock, par value $1.00
|
2016-08-08 | Sell | 200,000 | $5.10 | 1,020,000 |
|
Corbin Multi-Strategy Fund LLC [NONE]
Units of Beneficial Interest
|
2011-06-30 | Disposed to issuer | 4,304 | $102.23 | 439,998 |
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