Castle Rock Advisors LLC

Castle Rock Advisors LLC is a fee-only investment adviser registered with the U.S. Securities and Exchange Commission, with its main office in Boston, Massachusetts. On its latest Form ADV, filed August 6, 2026, it reports $3.9B in regulatory assets under management, 37 individual clients and 27 employees who give investment advice. It reports no commission compensation, is not registered as a broker-dealer and does not act as an insurance agent.

Key facts from Form ADV

Registration	SEC-registered
Firm CRD number	331429 · SEC file 801-130907
Office	200 Clarendon Street 35th FL Boston, MA 02116
Phone	(617) 227-0050
Website	Not listed
Regulatory assets under management	$3.9B ($1.1B discretionary)
Individual clients	0 non-high-net-worth, 37 high-net-worth
Financial planning clients	26-50
How it charges	Percentage of assets, Other
Services	Financial planning, Portfolio management, Selection of other advisers
Employees	33
Disciplinary disclosures	None reported
Latest Form ADV filing	August 6, 2026

Source: the firm’s Form ADV Part 1A as published by the SEC’s Investment Adviser Public Disclosure database, data as of November 6, 2026. Figures are self-reported by the firm.

What this means for you

• It also charges a percentage of assets managed for ongoing investment management.
• Most of its individual clients are high-net-worth, which on Form ADV means they meet the SEC’s qualified-client or qualified-purchaser test: broadly, more than $1 million managed by the adviser or a net worth above $2 million, with the thresholds indexed for inflation.
• It provides financial planning services, not only portfolio management.
• It reports no disciplinary history on Form ADV.

Before you hire any adviser

Read the firm’s Form ADV Part 2 brochure on its SEC record: it sets out fees, minimums, conflicts of interest and who will manage your money. Ask whether the firm acts as a fiduciary for all of your accounts, how it is paid in total, and who holds your assets. Our guide to choosing a financial adviser lists the questions to ask.

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