# Castle Creek Capital

> Castle Creek Capital is an SEC-registered investment advisory firm in San Diego, CA, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.

- CRD: 158079
- Filed as: CASTLE CREEK CAPITAL
- Legal name: Castle Creek Advisors IV LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: San Diego, CA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/158079
- AdvisorCensus page: https://advisorcensus.com/firm/castle-creek-capital-san-diego-ca-158079

## Quick answers

**How is Castle Creek Capital compensated?**
On its Form ADV (Item 5.E, October 2026), Castle Creek Capital reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Where is Castle Creek Capital located?**
Castle Creek Capital's principal office is in San Diego, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Castle Creek Capital registered with the SEC or a state?**
Castle Creek Capital is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 158079.

**How much does Castle Creek Capital manage?**
Castle Creek Capital reports $1,135,436,615 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).

**How have Castle Creek Capital's assets and staff changed since 2021?**
In the Form ADV data for Castle Creek Capital: Regulatory assets under management: $771,375,580 in the October 2021 data and $1,135,436,615 in the October 2026 data, up 47%. Total employees: 10 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Castle Creek Capital serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (10).

**Which custodians does Castle Creek Capital use?**
Castle Creek Capital's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. as a custodian holding 10% or more of its separately managed account assets.

**Does Castle Creek Capital report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/158079

**What changed in Castle Creek Capital's recent Form ADV filings?**
In the January 2026 filing data: No longer registered or notice-filed in CO.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $1,135,436,615
- Discretionary: $1,134,925,847
- Non-discretionary: $510,768

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 10 | $1,134,925,847 |
| Corporations or other businesses not listed above | Fewer than 5 | $510,768 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2011 (15 years)
- Employees: 12 total, 11 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, TX
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- Dallas, TX

### Websites listed on Form ADV (Item 1.I)
- castlecreek.com
- LinkedIn @castle-creek-capital-llc

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $771,375,580 | 10 | July 28, 2021 |
| October 2022 | $936,563,219 | 8 | March 17, 2022 |
| October 2023 | $1,086,653,714 | 12 | August 4, 2023 |
| October 2024 | $978,730,706 | 10 | March 25, 2024 |
| October 2025 | $1,068,090,529 | 12 | March 28, 2025 |
| October 2026 | $1,135,436,615 | 12 | March 30, 2026 |

Regulatory assets under management: $771,375,580 in the October 2021 data and $1,135,436,615 in the October 2026 data, up 47%.
Total employees: 10 in October 2021 and 12 in October 2026.

## Changes in the filing (last 12 months)

### January 2026
- No longer registered or notice-filed in CO.

### December 2025
- Regulatory assets under management went from $1,068,090,529 to $1,183,900,282 (+11%).

### November 2025
- No longer lists the business name Castle Creek Advisors VIII LLC (relying Advisor).
- No longer lists the business name Castle Creek Advisors IX LLC (relying Advisor).
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Castle Creek Capital (CRD 158079): Form ADV filing data as of October 2026.