AdvisorCensus / Financial advisors / Colorado / Denver / Castle Rock Investment Company
Castle Rock Investment Company
Filed as CASTLE ROCK INVESTMENT COMPANY
Castle Rock Investment Company is a state-registered investment advisory firm in Castle Rock, CO, registered since 2025, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated January 28, 2026.
Quick answers
From the filingHow is Castle Rock Investment Company compensated?
On its Form ADV (Item 5.E, October 2026), Castle Rock Investment Company reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees). The amounts are in Item 5 of its Form ADV Part 2A brochure.
Where is Castle Rock Investment Company located?
Castle Rock Investment Company's principal office is in Castle Rock, CO, according to its Form ADV.
Is Castle Rock Investment Company registered with the SEC or a state?
Castle Rock Investment Company is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 140299.
How much does Castle Rock Investment Company manage?
Castle Rock Investment Company reports $51,038,312 in regulatory assets under management in its Form ADV filing dated January 28, 2026 (25% discretionary).
How have Castle Rock Investment Company's assets and staff changed since 2021?
In the Form ADV data for Castle Rock Investment Company: Regulatory assets under management: $110,258,156 in the October 2021 data and $51,038,312 in the October 2026 data, down 54%. Total employees: 2 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Castle Rock Investment Company serve?
By number of clients on Form ADV Item 5.D: pension and profit sharing plans (but not the plan participants or government pension plans) (8).
Does Castle Rock Investment Company report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/140299
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$51,038,312 as of October 2026, filing dated January 28, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
Registration and firm details
Items 1, 2, 5- Registration
- State-registered investment adviser. Status as filed: APPROVED.
- Registered since
- 2025 (1 year)
- Employees
- Total: 1. Performing investment advisory functions: 1.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
State-registered investment advisers are examined by their state securities regulator. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $51,038,312 | 1 | January 28, 2026 |
| October 2024 | $73,370,449 | 1 | March 1, 2024 |
| October 2023 | $100,480,772 | 2 | February 23, 2023 |
| October 2022 | $112,104,465 | 2 | February 9, 2022 |
| October 2021 | $110,258,156 | 2 | January 20, 2021 |
Regulatory assets under management: $110,258,156 in the October 2021 data and $51,038,312 in the October 2026 data, down 54%.
Total employees: 2 in October 2021 and 1 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 monthsNo changes to these filed facts in the last 12 months of filing data.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Castle Rock Investment Company (CRD 140299): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/castle-rock-investment-company-castle-rock-co-140299