Pacific Rock Capital, LLC

Pacific Rock Capital, LLC is a fee-only investment adviser registered with the securities regulator of California, with its main office in Cardiff by the Sea, California. On its latest Form ADV, filed March 12, 2026, it reports $7.2M in regulatory assets under management and 1 employee who gives investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.

Key facts from Form ADV

Registration	State-registered: California
Firm CRD number	148154
Office	120 Birmingham Drive Suite 120 D Cardiff by the Sea, CA 92007
Phone	(760) 635-3391
Website	Not listed
Regulatory assets under management	$7.2M
Individual clients	Fewer than 5
Financial planning clients	Not reported
How it charges	Percentage of assets
Services	Portfolio management
Employees	1
Disciplinary disclosures	None reported
Latest Form ADV filing	March 12, 2026

Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.

What this means for you

• It charges only as a percentage of the assets it manages. Ask about the fee schedule and any account minimum, which Form ADV Part 1 does not record.
• It reports no disciplinary history on Form ADV.

Before you hire any adviser

Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.

Other fee-only advisers in Cardiff by the Sea

• Seawise Financial, Inc. $75M

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