Fee-only adviser · Mendota Heights, MN
Castle Rock Financial Planning, Inc.
Castle Rock Financial Planning, Inc. is a fee-only investment adviser registered with the securities regulator of Minnesota, with its main office in Mendota Heights, Minnesota. On its latest Form ADV, filed September 29, 2026, it reports $49M in regulatory assets under management, 89 individual clients and 1 employee who gives 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 | State-registered: Minnesota |
|---|---|
| Firm CRD number | 174507 |
| Office | 2267 Waters Drive Mendota Heights, MN 55120 |
| Phone | (651) 294-0013 |
| Website | www.castlerockfp.com |
| Regulatory assets under management | $49M |
| Individual clients | 67 non-high-net-worth, 22 high-net-worth |
| Financial planning clients | 51-100 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Financial planning, Portfolio management |
| Employees | 2 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | September 29, 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 offers hourly or fixed-fee arrangements, so you may be able to pay for a plan without handing over your investments.
- It also charges a percentage of assets managed for ongoing investment management.
- Most of its individual clients are not high-net-worth, so it is likely to work with people who are still building assets.
- 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.
Other fee-only advisers in Mendota Heights
- Wold Financial Group $182M
Nearby
- Eagan 4 firms
- St. Paul 12 firms
- Roseville 1 firm
- Minneapolis 41 firms
- Woodbury 4 firms
- Bloomington 16 firms
- Apple Valley 1 firm
- Burnsville 1 firm
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