• About Us
  • Doctrine
  • Team
  • Investment Process
  • Library
  • Disclosure
  • Contact Us
Eagle Rock Financial Advisers, Ltd. is an independent Registered Investment Adviser (RIA) that provides investment management and financial planning services. Opinions expressed on this site are those of Eagle Rock Financial Advisers, Ltd. All written content on this site is for informational purposes only. It does not constitute an offering or recommendation by Eagle Rock Financial Advisers, Ltd. of any security or investment management service. Material presented is believed to be from reliable sources and we make no representations as to its accuracy or completeness. We endeavor to update on a reasonable basis the information presented on this website, but regulatory, compliance, or other reasons may prevent us from doing so. Eagle Rock Financial Advisers, Ltd. only transacts business in states where it is properly registered, or excluded or exempted from registration requirements. Different types of investments involve varying degrees of risk, and there can be no assurance that any particular investment will either be suitable or profitable for a client's investment portfolio. No client or prospective client should assume that any information presented and/or made available on this website serves as the receipt of, or a substitute for, personalized individual advice from Eagle Rock Financial Advisers, Ltd. Links to other sites are not an endorsement by Eagle Rock Financial Advisers, Ltd. of the content of the other sites.

Privacy Policy

Protecting your privacy is very important to Eagle Rock Financial Advisers, Ltd. We want you to understand what information we collect and how it is used. We collect and use "nonpublic personal information" in order to provide our clients with a broad range of financial products and services as effectively and conveniently as possible. We treat nonpublic personal information in accordance with our Privacy Policy.

Information We Collect and From Whom We Collect It

We may collect nonpublic personal information about you from the following sources:
  • Information we receive from you on applications or other forms;
  • Information about your transactions with us, our affiliates, or others;
  • Information we receive from you voluntarily, such as your email address and other information contained in your email messages.
"Nonpublic personal information" is nonpublic information about you that we obtain in connection with providing a financial product or service to you. This information may be collected in person, by mail, fax, or by other electronic means as permitted by law or in accordance with express authorization from you.

What Information We Disclose and to Whom We Disclose It

We do not disclose nonpublic personal information about our clients or former clients to any non-affiliated third parties, except as permitted by law. In the course of servicing a client's account, we may share some information with our service providers, such as transfer agents, custodians, broker-dealers, accountants, and lawyers.  We have made arrangements with another registered investment adviser for business continuity purposes.  In the event of disability or death of the owner of our firm, they will have access to your confidential information.  Your information will not be shared unless the necessity arises.

Your Right to Verify Accuracy of Information We Collect

Keeping your information accurate and up to date is very important to us. You may access and correct nonpublic personal information about you that we collect except for information relating to or in anticipation of a claim or a criminal or civil proceeding.

Our Security Procedures

We restrict internal access to nonpublic personal information about our clients to those employees who need to know that information in order to provide products or services to the client. It has always been and will always be our policy never to sell information about current or former clients or their accounts to anyone. It is also our policy not to share information unless required to process a transaction, at the request of a client, or as required by law.