CASTLE ROCK ADVISORS LLC

RIASEC RegisteredEst. 2024
Total AUM
$2.4B
Discretionary
$349M
15% of AUM
Avg account
$51.8M
Accounts
46
Employees
33
Advisory reps
12

Firm details

Headquarters
BOSTON, Massachusetts
CRD number
331429
Registered since
August 9, 2024
Custodians
FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure
Percentage of AUM, Other
Client types
  • HNWI82.13%
  • Pooled Investment Vehicles14.62%
  • Charitable Organizations3.25%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Pooled Investment VehiclesSelection of Other Advisers

Firm profile

FINTRX

Overview

Castle Rock Advisors LLC is an independent, SEC-registered investment adviser organized as an LLC. The firm positions itself as a capital allocator serving both high-net-worth individuals and family clients as well as institutional investors. Its advisory scope includes financial planning, discretionary portfolio management for individuals and small businesses, management of pooled investment vehicles, and the selection of external managers. Castle Rock also operates in commodity/managed futures space as a CPO/CTA and participates as sponsor, general partner or managing member of pooled vehicles. Castle Rock charges fees based on a percentage of assets under management along with other fee arrangements. The adviser does not identify as an active ESG investor. It is registered with the SEC in 2024 and is described as an independent RIA with domestic ownership.

Assets & Accounts

Investments & Alternatives

Location & Offices

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Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Asset composition

Asset composition: Private Funds 28%, Exchange Traded Equities 26%, State & Local Bonds 18%, Cash & Cash Equivalents 14%, Public Funds/Mutual Funds 10%, Non-Exchange Traded Equities 2%, US Government Bonds 1%, Investment Grade Corp Bonds 1%28%
  • Private Funds28%
  • Exchange Traded Equities26%
  • State & Local Bonds18%
  • Cash & Cash Equivalents14%
  • Public Funds/Mutual Funds10%

Owners & executives

3 of 4

  • BERTTY MARTINEZ TORRES

    Chief Finance OfficerCRD 6558194

  • REUBEN ACKERMAN

    Chief Compliance Officer and General CounselCRD 6002571

  • MICHAEL SWEENY

    Chief Investment OfficerCRD 2927927

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Contacts

3 of 8

  • SHARLYN HESLAM

    Managing Director and General CounselCRD 6025473

  • DANIEL CARBONNEAU

    PartnerCRD 7938049

  • ROSS JONES

    Managing DirectorCRD 2253855

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

BOSTON, MA

SUFFOLK

Location

BOSTON, MA

Headquartered in BOSTON, MA, anchoring the Boston-Worcester-Providence, MA-RI-NH-CT metro in the Northeast.

Metro area
Boston-Worcester-Providence, MA-RI-NH-CT
Region
Northeast
County
SUFFOLK
Address
200 Clarendon St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

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