# 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.

- CRD: 140299
- Filed as: CASTLE ROCK INVESTMENT COMPANY
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Castle Rock, CO
- Filing period: October 2026
- Form ADV filing dated: January 28, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/140299
- AdvisorCensus page: https://advisorcensus.com/firm/castle-rock-investment-company-castle-rock-co-140299

## Quick answers

**How 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

### Compensation (Item 5.E)
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)

### Regulatory assets under management (Item 5.F)
- Total: $51,038,312
- Discretionary: $12,575,836
- Non-discretionary: $38,462,476

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | Fewer than 5 | $3,413,563 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 8 | $40,552,614 |
| Charitable organizations | Fewer than 5 | $7,072,135 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services

### Firm details
- Registered since: 2025 (1 year)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CO
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [castlerockinvesting.com](https://castlerockinvesting.com)
- [castlerockpep.com](https://castlerockpep.com)
- Facebook @CASTLEROCKINVESTMENT
- Instagram @castlerockpep
- LinkedIn @castlerockpep
- X @CastleRockInv
- X @SAVE4YOURSELF
- YouTube @CastleRockPEP

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $110,258,156 | 2 | January 20, 2021 |
| October 2022 | $112,104,465 | 2 | February 9, 2022 |
| October 2023 | $100,480,772 | 2 | February 23, 2023 |
| October 2024 | $73,370,449 | 1 | March 1, 2024 |
| October 2026 | $51,038,312 | 1 | January 28, 2026 |

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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Castle Rock Investment Company (CRD 140299): Form ADV filing data as of October 2026.