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CASTLE WEALTH PLANNING
Legal name: CASTLE WEALTH PLANNING LLC
CRD 141601File 801-88216
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$236.4M
Below cohort median (national)
Discretionary AUM
$203.1M
Non-discretionary $33.3M
Clients
111
355 accounts
Employees
3
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Apr 10, 2015
- Principal office
- 1105 CHAPALA ST., STE. 4, SANTA BARBARA, CA, 93101
- Phone
- 805-962-5630
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $236.4M
- Discretionary AUM
- $203.1M
- Non-discretionary AUM
- $33.3M
- Discretionary accounts
- 337
- Non-discretionary accounts
- 18
- Total accounts
- 355
- AUM per client
- $2.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | Fewer than 5 | $3K |
| Charitable organizations | Fewer than 5 | $10.3M |
| High net worth individuals | 54 | $176.3M |
| Pension and profit sharing plans | Fewer than 5 | $26.3M |
| Individuals (other than high net worth individuals) | 57 | $23.5M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Portfolio management for other
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 119 | 111 | decreased by8 |
| Apr 1, 2026 | AUM | $215,549,901 | $236,435,373 | increased by$20,885,472 |
| Apr 1, 2026 | Accounts | 404 | 355 | decreased by49 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 108 | 119 | increased by11 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $206,635,816 | $215,549,901 | increased by$8,914,085 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 113 | 404 | increased by291 |
| Apr 1, 2022 | Employees | 2 | 3 | increased by1 |
| Apr 1, 2022 | Custody | No | Yes | |
| Apr 1, 2022 | Clients | 119 | 108 | decreased by11 |
| Apr 1, 2022 | AUM | $179,506,457 | $206,635,816 | increased by$27,129,359 |
| Apr 1, 2022 | Accounts | 119 | 113 | decreased by6 |
| Sep 1, 2021 | Disclosures | No | Yes | |
| Jun 1, 2021 | Clients | 120 | 119 | decreased by1 |
| Jun 1, 2021 | AUM | $142,266,112 | $179,506,457 | increased by$37,240,345 |
| Jun 1, 2021 | Accounts | 120 | 119 | decreased by1 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CASTLE WEALTH” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CASTLE WEALTH” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.