CASTLE ROCK FINANCIAL PLANNING, INC.

Overview

Castle Rock Financial Planning, Inc. is an independent registered investment adviser operating as a corporation with an individual owner. The firm focuses on financial planning and portfolio management for individuals and small businesses, serving a client base made up primarily of individual and family accounts. Investment activity is equity-centric: the firm shows a clear preference for equities and holds a significant portion of its portfolio in non-exchange traded equity instruments. Fee arrangements are flexible and include a percentage-of-AUM model alongside hourly and fixed-fee engagements, allowing customization for different client needs. The firm does not position itself as a capital allocator or pension consultant; instead it places client assets into third-party vehicles and managed strategies. It is not an active ESG investor and is not registered as a multi-state adviser, indicating a largely regional or single-state operating footprint and a traditional wealth-management approach rather than a broad institutional consulting model.

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Public Holdings

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Location & Offices