SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Castle Rock Advisors LLC
Boston, MA
CRD 331429
Firm filing updated August 6, 2026 ·
- $3.9BAssets
- 27Advisory staff
- 46Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- OtherYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
Who the firm serves
- High net worth individuals37
- Pooled vehicles6
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| High net worth individuals | 37 | $2.7 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 6 | $1.1 billion |
| Charitable organizations | Fewer than 5 clients | $91.3 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Selection of other advisors (including private fund managers)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Selection of other advisors (including private fund managers)
Assets and accounts
- Regulatory assets$3.9 billion
- Accounts46
- Discretionary$1.1 billion · 6 accounts
- Non-discretionary$2.8 billion · 40 accounts
People
- Employees33
- Advisory staff27
- Broker-dealer reps0
- Licensed insurance agents0
- Planning clients26 to 50
Registration details
- SEC-registered investment advisor. CRD 331429, SEC file 801-130907.
- Registered with the SEC as an investment advisor (status date on record: August 9, 2024).
Is Castle Rock Advisors LLC a fiduciary?
Short answer: Castle Rock Advisors LLC is registered with the SEC as an investment advisor.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
The firm does not report commissions, a broker-dealer role, a related broker-dealer, or staff who are broker-dealer representatives.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.