Fee-only adviser · Castle Rock, CO
Castle Rock Investment Company
Castle Rock Investment Company is a fee-only investment adviser registered with the securities regulator of Colorado, with a mailing address in Castle Rock, Colorado (its office is a private residence, so the street address is not published). On its latest Form ADV, filed January 28, 2026, it reports $51M in regulatory assets under management 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: Colorado |
|---|---|
| Firm CRD number | 140299 · SEC file 801-80620 |
| Office | Castle Rock, CO (mailing address; office not published) |
| Phone | (303) 725-7086 |
| Website | castlerockpep.com |
| Regulatory assets under management | $51M ($13M discretionary) |
| Individual clients | Fewer than 5 |
| Financial planning clients | 1-10 |
| How it charges | Percentage of assets, Hourly, Fixed fee |
| Services | Financial planning, Portfolio management, Pension consulting |
| Employees | 1 |
| Disciplinary disclosures | None reported |
| Latest Form ADV filing | January 28, 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.
- 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 Castle Rock
- Fidelis Wealth Advisors $210M
- Jackson Wealth Management, LLC $107M
- Jackson Creek Investment Advisors LLC $349M
- Wealth Management Consultants L.L.C. $99M
- Three Peaks Capital Management, LLC $223M
See all 6 fee-only advisers in Castle Rock →
Nearby
- Parker 7 firms
- Lone Tree 1 firm
- Englewood 11 firms
- Centennial 14 firms
- Highlands Ranch 6 firms
- Foxfield 1 firm
- Greenwood Village 28 firms
- Aurora 1 firm
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