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CASTLE ROCK WEALTH MANAGEMENT, LLC
CRD 199513File 801-110593
APPROVED
Retail clients
Custody
Filing as of Mar 5, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$587.1M
Above cohort median (national)
Discretionary AUM
$587.1M
Clients
2,040
2,040 accounts
Employees
7
Above cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- SFRO
- Registration date
- Jun 9, 2017
- Principal office
- 1777 BOTELHO DR., SUITE 105, WALNUT CREEK, CA, 94596
- Phone
- 925-478-8800
- Website
- HTTP://WWW.CRWMADVISORS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $587.1M
- Discretionary AUM
- $587.1M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 2,040
- Non-discretionary accounts
- 0
- Total accounts
- 2,040
- AUM per client
- $288K
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 6 | $303K |
| High net worth individuals | 107 | $296.0M |
| Pension and profit sharing plans | 10 | $9.2M |
| Individuals (other than high net worth individuals) | 1,917 | $281.6M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Financial planning services
- Selection of other advisers
- 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 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 8 | 7 | decreased by1 |
| Apr 1, 2026 | Clients | 1,900 | 2,040 | increased by140 |
| Apr 1, 2026 | AUM | $521,757,846 | $587,078,190 | increased by$65,320,344 |
| Apr 1, 2026 | Accounts | 1,904 | 2,040 | increased by136 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 9 | 8 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 1,692 | 1,900 | increased by208 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $394,731,359 | $521,757,846 | increased by$127,026,487 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 1,692 | 1,904 | increased by212 |
| Apr 1, 2022 | Employees | 12 | 9 | decreased by3 |
| Apr 1, 2022 | Clients | 1,637 | 1,692 | increased by55 |
| Apr 1, 2022 | AUM | $354,870,417 | $394,731,359 | increased by$39,860,942 |
| Apr 1, 2022 | Accounts | 1,641 | 1,692 | increased by51 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CASTLE ROCK” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CASTLE ROCK” 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.