{
  "crd_number": 140299,
  "slug": "castle-rock-investment-company-castle-rock-co-140299",
  "primary_business_name": "CASTLE ROCK INVESTMENT COMPANY",
  "legal_name": "CASTLE ROCK INVESTMENT COMPANY",
  "dbas": [],
  "city": "Castle Rock",
  "state": "CO",
  "country": "United States",
  "cbsa_code": "19740",
  "metro": {
    "cbsa_code": "19740",
    "common_name": "Denver",
    "msa_name": "Denver-Aurora-Centennial, CO",
    "path": "/advisors/co/denver"
  },
  "registration_type": "state",
  "registration_status": "APPROVED",
  "registration_date": "2025-01-21",
  "years_registered": 1,
  "period": "2026-10-01",
  "filing_date": "2026-01-28",
  "carried_forward": false,
  "raum_total": 51038312.0,
  "raum_discretionary": 12575836.0,
  "raum_non_discretionary": 38462476.0,
  "raum_band": "25m_100m",
  "raum_band_label": "$25 million to $100 million",
  "total_employees": 1,
  "advisory_employees": 1,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "charitable": {
      "raum": 7072135.0,
      "count": null,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 3413563.0,
      "count": null,
      "fewer_than_5": true
    },
    "pension_profit_sharing": {
      "raum": 40552614.0,
      "count": 8
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CO"
  ],
  "websites": [
    "https://castlerockinvesting.com",
    "https://castlerockpep.com",
    "https://facebook.com/CASTLEROCKINVESTMENT",
    "https://instagram.com/castlerockpep",
    "https://linkedin.com/in/castlerockpep",
    "https://x.com/CastleRockInv",
    "https://x.com/SAVE4YOURSELF",
    "https://youtube.com/@CastleRockPEP"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140299",
  "city_as_filed": "CASTLE ROCK",
  "url": "https://advisorcensus.com/firm/castle-rock-investment-company-castle-rock-co-140299",
  "display_name": "Castle Rock Investment Company",
  "summary": "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.",
  "citation": "AdvisorCensus. Castle Rock Investment Company (CRD 140299): Form ADV filing data as of October 2026.",
  "registration_type_label": "State-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Castle Rock Investment Company compensated?",
      "a": "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."
    },
    {
      "q": "Where is Castle Rock Investment Company located?",
      "a": "Castle Rock Investment Company's principal office is in Castle Rock, CO, according to its Form ADV."
    },
    {
      "q": "Is Castle Rock Investment Company registered with the SEC or a state?",
      "a": "Castle Rock Investment Company is a state-registered investment advisory firm, registered since 2025. Status as filed: APPROVED. CRD 140299."
    },
    {
      "q": "How much does Castle Rock Investment Company manage?",
      "a": "Castle Rock Investment Company reports $51,038,312 in regulatory assets under management in its Form ADV filing dated January 28, 2026 (25% discretionary)."
    },
    {
      "q": "How have Castle Rock Investment Company's assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Castle Rock Investment Company serve?",
      "a": "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)."
    },
    {
      "q": "Does Castle Rock Investment Company report any disciplinary disclosures?",
      "a": "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"
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 110258156.0,
      "total_employees": 2,
      "filing_date": "2021-01-20"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 112104465.0,
      "total_employees": 2,
      "filing_date": "2022-02-09"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 100480772.0,
      "total_employees": 2,
      "filing_date": "2023-02-23"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 73370449.0,
      "total_employees": 1,
      "filing_date": "2024-03-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 51038312.0,
      "total_employees": 1,
      "filing_date": "2026-01-28"
    }
  ],
  "recent_changes": [],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/castle-rock-investment-company-castle-rock-co-140299.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": null,
      "fewer_than_5": true,
      "raum": 3413563.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 40552614.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": null,
      "fewer_than_5": true,
      "raum": 7072135.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/140299",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}