# Castle Rock Wealth Management, LLC

> Castle Rock Wealth Management, LLC is an SEC-registered investment advisory firm in Walnut Creek, CA, registered since 2017, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 5, 2026.

- CRD: 199513
- Filed as: CASTLE ROCK WEALTH MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Walnut Creek, CA
- Filing period: October 2026
- Form ADV filing dated: March 5, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/199513
- AdvisorCensus page: https://advisorcensus.com/firm/castle-rock-wealth-management-llc-walnut-creek-ca-199513

## Quick answers

**How is Castle Rock Wealth Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Castle Rock Wealth Management, LLC reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Castle Rock Wealth Management, LLC located?**
Castle Rock Wealth Management, LLC's principal office is in Walnut Creek, CA, according to its Form ADV; the April 2026 filing also lists 4 other offices (Schedule D, Section 1.F).

**Is Castle Rock Wealth Management, LLC registered with the SEC or a state?**
Castle Rock Wealth Management, LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 199513.

**How much does Castle Rock Wealth Management, LLC manage?**
Castle Rock Wealth Management, LLC reports $587,078,190 in regulatory assets under management in its Form ADV filing dated March 5, 2026 (100% discretionary).

**How have Castle Rock Wealth Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for Castle Rock Wealth Management, LLC: Regulatory assets under management: $354,870,417 in the October 2021 data and $587,078,190 in the October 2026 data, up 65%. Total employees: 12 in October 2021 and 7 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Castle Rock Wealth Management, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (1,917); high net worth individuals (107); pension and profit sharing plans (but not the plan participants or government pension plans) (10).

**Which custodians does Castle Rock Wealth Management, LLC use?**
Castle Rock Wealth Management, LLC'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 Rock Wealth Management, LLC 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/199513

**What changed in Castle Rock Wealth Management, LLC's recent Form ADV filings?**
In the April 2026 filing data: No longer lists the business name SC Retirement. Employees performing advisory functions went from 8 to 7. Regulatory assets under management went from $521,757,846 to $587,078,190 (+13%). Registered or notice-filed in NE.

## From the Form ADV filing

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

### 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: $587,078,190
- Discretionary: $587,078,190
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 1,917 | $281,579,259 |
| High net worth individuals | 107 | $295,982,496 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 10 | $9,213,410 |
| Corporations or other businesses not listed above | 6 | $303,025 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 2017 (9 years)
- Employees: 7 total, 7 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, ID, NE, NM, NV, NY, OR, TX, WA
- 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
- Modesto, CA
- Monterey, CA
- Sacramento, CA
- San Mateo, CA

### Websites listed on Form ADV (Item 1.I)
- crwmadvisors.com
- Facebook @CASTLEROCKWEALTHMANAGEMENT
- LinkedIn @castle-rock-wealth-management-llc-6764a7170

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $354,870,417 | 12 | March 2, 2021 |
| October 2022 | $394,731,359 | 9 | September 28, 2022 |
| October 2023 | $418,941,853 | 9 | March 17, 2023 |
| October 2024 | $485,778,980 | 9 | April 9, 2024 |
| October 2025 | $521,757,846 | 8 | April 29, 2025 |
| October 2026 | $587,078,190 | 7 | March 5, 2026 |

Regulatory assets under management: $354,870,417 in the October 2021 data and $587,078,190 in the October 2026 data, up 65%.
Total employees: 12 in October 2021 and 7 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- No longer lists the business name SC Retirement.
- Employees performing advisory functions went from 8 to 7.
- Regulatory assets under management went from $521,757,846 to $587,078,190 (+13%).
- Registered or notice-filed in NE.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Castle Rock Wealth Management, LLC (CRD 199513): Form ADV filing data as of October 2026.