Castle Rock Wealth Management, LLC

RIASEC Registered
Total AUM
$587M
Discretionary
$587M
100% of AUM
Avg account
$288K
Accounts
2,040
Employees
7
Advisory reps
7

Firm details

Headquarters
Walnut Creek, California
CRD number
199513
Registered since
June 9, 2017
Custodians
CHARLES SCHWAB & CO., INC.
Fee structure
Percentage of AUM
Client types
  • HNWI50.42%
  • Individuals47.96%
  • Pension & Profit Sharing Plans1.57%
  • Corporations / Businesses0.05%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Castle Rock Wealth Management, LLC is an independent, owner-operated Registered Investment Adviser that registered with the SEC in 2017. The firm serves both high-net-worth individuals and institutional clients and charges fees based on a percentage of assets under management. Castle Rock acts as a capital allocator and performs portfolio management for individuals, small businesses and institutions, provides financial planning and pension consulting services, and engages in the selection of other advisers. It maintains broker-dealer registered representatives and insurance brokerage capabilities as part of its business activities. The firm does not identify as an active ESG investor.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 70%, Cash & Cash Equivalents 12%, US Government Bonds 8%, Public Funds/Mutual Funds 8%, Non-Exchange Traded Equities 1%, Derivatives 1%70%
  • Exchange Traded Equities70%
  • Cash & Cash Equivalents12%
  • US Government Bonds8%
  • Public Funds/Mutual Funds8%
  • Non-Exchange Traded Equities1%

Contacts

3 of 7
  • Willard Folsom

    Willard Folsom

    Financial AdvisorCRD 6189952

  • Joan Block

    Joan Block

    Financial AdvisorCRD 722529

  • James Luippold

    James Luippold

    Founding PartnerCRD 3031318

Unlock 4 more contacts →

Wealth teams

FINTRX

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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ETF holdings

1 of 168

Active vs passive

$285M in ETFs

Passive

63%

$179M

Active

32%

$106M

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES 0-3 MONTH TREASURY BOND ETF (SGOV)BlackRockPassiveUltrashort Bond$22.4M222,6197.85%

Location

Primary office

Walnut Creek, CA

Contra Costa

Location

Walnut Creek, CA

Headquartered in Walnut Creek, CA, anchoring the San Jose-San Francisco-Oakland, CA metro in the West.

Metro area
San Jose-San Francisco-Oakland, CA
Region
West
County
Contra Costa
Address
1777 Botelho Dr
Time zone
PT (UTC-8)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth