{
  "crd_number": 111656,
  "slug": "castlekeep-investment-advisors-westport-ct-111656",
  "primary_business_name": "CASTLEKEEP INVESTMENT ADVISORS",
  "legal_name": "CASTLEKEEP INVESTMENT ADVISORS LLC",
  "dbas": [],
  "city": "Westport",
  "state": "CT",
  "country": "United States",
  "cbsa_code": "14860",
  "metro": {
    "cbsa_code": "14860",
    "common_name": "Bridgeport",
    "msa_name": "Bridgeport-Stamford-Danbury, CT",
    "path": "/advisors/ct/bridgeport"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2001-06-12",
  "years_registered": 25,
  "period": "2026-10-01",
  "filing_date": "2026-03-18",
  "carried_forward": false,
  "raum_total": 920751806.0,
  "raum_discretionary": 327875529.0,
  "raum_non_discretionary": 592876277.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 5,
  "advisory_employees": 2,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": 1730335.0,
      "count": 0,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 18584576.0,
      "count": 50
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 0.0,
      "count": 0
    },
    "insurance_companies": {
      "raum": 0.0,
      "count": 0
    },
    "investment_companies": {
      "raum": 0.0,
      "count": 0
    },
    "pension_profit_sharing": {
      "raum": 0.0,
      "count": 0
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 433394907.0,
      "count": 66
    },
    "pooled_investment_vehicles": {
      "raum": 0.0,
      "count": 0
    },
    "corporations_other_businesses": {
      "raum": 467041988.0,
      "count": 32
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 0.0,
      "count": 0
    }
  },
  "compensation_types": [
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "periodicals_newsletters",
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "CT",
    "DE",
    "FL",
    "IL",
    "NJ",
    "NY",
    "TX"
  ],
  "websites": [
    "https://castlekeepadvisors.com",
    "https://facebook.com/CASTLEKEEP-INVESTMENT-ADVISORS-LLC-125794447477721",
    "https://instagram.com/castlekeepadv?hl=en",
    "https://linkedin.com/company/castlekeep-investment-advisors-llc",
    "https://x.com/CASTLEKEEPADV?LANG=EN"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111656",
  "city_as_filed": "WESTPORT",
  "url": "https://advisorcensus.com/firm/castlekeep-investment-advisors-westport-ct-111656",
  "display_name": "Castlekeep Investment Advisors",
  "summary": "Castlekeep Investment Advisors is an SEC-registered investment advisory firm in Westport, CT, registered since 2001, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 18, 2026.",
  "citation": "AdvisorCensus. Castlekeep Investment Advisors (CRD 111656): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Publication of periodicals or newsletters"
  ],
  "quick_answers": [
    {
      "q": "How is Castlekeep Investment Advisors compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Castlekeep Investment Advisors reports these compensation arrangements: a percentage of assets under its management; hourly charges."
    },
    {
      "q": "Where is Castlekeep Investment Advisors located?",
      "a": "Castlekeep Investment Advisors' principal office is in Westport, CT, according to its Form ADV."
    },
    {
      "q": "Is Castlekeep Investment Advisors registered with the SEC or a state?",
      "a": "Castlekeep Investment Advisors is an SEC-registered investment advisory firm, registered since 2001. Status as filed: Approved. CRD 111656."
    },
    {
      "q": "How much does Castlekeep Investment Advisors manage?",
      "a": "Castlekeep Investment Advisors reports $920,751,806 in regulatory assets under management in its Form ADV filing dated March 18, 2026 (36% discretionary)."
    },
    {
      "q": "How have Castlekeep Investment Advisors' assets and staff changed since 2021?",
      "a": "In the Form ADV data for Castlekeep Investment Advisors: Regulatory assets under management: $618,944,689 in the October 2021 data and $920,751,806 in the October 2026 data, up 49%. Total employees: 4 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Castlekeep Investment Advisors serve?",
      "a": "By number of clients on Form ADV Item 5.D: high net worth individuals (66); individuals (other than high net worth individuals) (50); corporations or other businesses not listed above (32)."
    },
    {
      "q": "Which custodians does Castlekeep Investment Advisors use?",
      "a": "Castlekeep Investment Advisors' most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc., Citibank NA and J.P. Morgan Securities LLC as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Castlekeep Investment Advisors report any disciplinary disclosures?",
      "a": "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/111656"
    },
    {
      "q": "Does Castlekeep Investment Advisors state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 18, 2026 says: \"CastleKeep Investment Advisors LLC requires a minimum account size of $250,000 which may be negotiable under certain circumstances.\""
    },
    {
      "q": "What changed in Castlekeep Investment Advisors' recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $827,741,951 to $920,751,806 (+11%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 618944689.0,
      "total_employees": 4,
      "filing_date": "2021-03-31"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 691833804.0,
      "total_employees": 4,
      "filing_date": "2022-03-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 636398456.0,
      "total_employees": 5,
      "filing_date": "2023-03-28"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 762424454.0,
      "total_employees": 7,
      "filing_date": "2024-06-06"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 827741951.0,
      "total_employees": 6,
      "filing_date": "2025-06-09"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 920751806.0,
      "total_employees": 5,
      "filing_date": "2026-03-18"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $827,741,951 to $920,751,806 (+11%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 18, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "$250,000",
    "account_minimum_may_be_waived": true,
    "minimum_annual_fee": null,
    "planning_fees": [],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: $250,000 (the brochure says it may be waived or negotiated)"
        ],
        "quotes": [
          "CastleKeep Investment Advisors LLC requires a minimum account size of $250,000 which may be negotiable under certain circumstances."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 250000.0,
      "minimum_annual_fee": null,
      "planning": []
    },
    "quotes": [
      "CastleKeep Investment Advisors LLC requires a minimum account size of $250,000 which may be negotiable under certain circumstances."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Charles Schwab & Co., Inc.",
      "name_as_filed": "CHARLES SCHWAB & CO., INC.",
      "affiliated": false
    },
    {
      "name": "Citibank NA",
      "name_as_filed": "CITIBANK NA",
      "affiliated": false
    },
    {
      "name": "J.P. Morgan Securities LLC",
      "name_as_filed": "J.P. MORGAN SECURITIES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "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.",
  "markdown_url": "https://advisorcensus.com/firm/castlekeep-investment-advisors-westport-ct-111656.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 50,
      "fewer_than_5": false,
      "raum": 18584576.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 66,
      "fewer_than_5": false,
      "raum": 433394907.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": true,
      "raum": 1730335.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 32,
      "fewer_than_5": false,
      "raum": 467041988.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "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/111656",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}