CASTLE ROCK WEALTH MANAGEMENT, LLC
SEC RegisteredNOW WHAT?
About the firm
Castle Rock Wealth Management is a Registered Independent Advisor serving high net worth individuals and families throughout the country. With over 50 years of experience in the financial services industry, the team helps individuals and their families, business owners, and other professionals preserve, build, and access their wealth through a Personalized Investment Plan.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Wealth management including retirement income planning, philanthropic strategies, elder care planning, and a four-step Personalized Investment Plan process involving information gathering, target strategization, investment plan creation, and progressive portfolio review
Who they serve
High net worth individuals and families, business owners, and other professionals
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 1,917 | $282M |
| High Net Worth Individuals | 107 | $296M |
| Charitable Organizations | 10 | $9.2M |
2 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
7 advisors in the directory
Regulatory & compliance
Data as of March 5, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. CASTLE ROCK WEALTH MANAGEMENT, LLC has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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