Castellan Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled vehicles. The firm advises 8 private funds.
Castellan Group reports 23 clients. They include 12 high-net-worth individuals, 9 pooled investment vehicles and 2 investment companies. Of its assets, 99.9% ($881M across 103 accounts) are managed with discretion; $1.09M across 3 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| High-net-worth individuals | 52% | 74% |
| Investment companies | 9% | 4% |
| Pooled investment vehicles | 39% | 7% |
| Charitable organizations | Fewer than 5 | 15% |
| Corporations and other businesses | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| High-net-worth individuals | 12 | $651M | 73.8% | $54.2M |
| Investment companies | 2 | $35.7M | 4.0% | $17.8M |
| Pooled investment vehicles | 9 | $59.9M | 6.8% | $6.66M |
| Charitable organizations | Fewer than 5 | $129M | 14.6% | — |
| Corporations and other businesses | Fewer than 5 | $7.14M | 0.8% | — |
| Total | 23 | $882M | 100% | — |
- Clients
- 12
- Regulatory AUM
- $651M
- AUM share
- 73.8%
- Avg. per client
- $54.2M
- Clients
- 2
- Regulatory AUM
- $35.7M
- AUM share
- 4.0%
- Avg. per client
- $17.8M
- Clients
- 9
- Regulatory AUM
- $59.9M
- AUM share
- 6.8%
- Avg. per client
- $6.66M
- Clients
- Fewer than 5
- Regulatory AUM
- $129M
- AUM share
- 14.6%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $7.14M
- AUM share
- 0.8%
- Avg. per client
- —
Total
- Clients
- 23
- Regulatory AUM
- $882M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 8
- Financial planning clients last fiscal year
- 0
Castellan Group is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees) and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial Planning
- Fixed fee or hourly arrangement, negotiable, charged in arrears and invoiced quarterly.
Castellan Cares Inc. owns 75% or more of Castellan Group. It has 8 employees, 4 of them in advisory roles.
Staff
- 8 employees
- 4 in advisory functions
- 4 state-registered reps
- 1 insurance agent
- Owns 75% or more of Castellan Group, LLC
Castellan Cares Inc.
Control person · since August 2021
Castellan Group’s regulatory assets grew 5.9× from $150M (April 2021) to $882M (March 2026); clients rose from 4 to 23 and employees from 4 to 8.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $882M | 23 | 8 | 1 |
| Jun 2025June 2025 | $496M | 22 | 7 | 1 |
| Mar 2024March 2024 | $353M | 20 | 9 | 1 |
| Mar 2023March 2023 | $331M | 22 | 9 | 1 |
| Mar 2022March 2022 | $235M | 14 | 5 | 1 |
| Apr 2021April 2021 | $150M | 4 | 4 | 1 |
Besides its headquarters, Castellan Group has 0 offices, with 1 listed address in 1 state.
Kentucky · 1 listed address
- 2011 Lake Point Way, Suite 001, LouisvilleHQ
Contact and registration details
- Legal name
- Castellan Group, LLC
- Headquarters
- 2011 Lake Point Way, Suite 001, Louisville, KY 40223
- Website
- castellangroup.com
- Phone
- 859-494-0523
- @19147779
- SEC file
- 801-119581
- Structure
- Delaware LLC
- Fiscal year end
- December
Castellan Group’s named custodian for separately managed accounts is Charles Schwab ($787M). Castellan Group has custody of $36.5M for 7 clients.
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $787M100%
At year end, Castellan Group’s separately managed accounts were mostly in stocks (82%) and funds (10%). Its reported 13F holdings for the quarter ended 30 June 2026 total $912M across 41 positions; the largest are EA Series Trust (67.0%), EA Series Trust (19.4%) and EA Series Trust (2.2%).
What the accounts hold
- Stocks82%
- Funds10%
- Pooled vehicles7%
- Registered funds3%
- Bonds6%
- Cash1%
- Other1%
- Derivatives1%
How many clients does Castellan Group have?
Castellan Group has 23 clients and manages $882 million for them, as of March 2026. They include 12 high-net-worth individuals, 9 pooled investment vehicles and 2 investment companies.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 25 March 2026
What services does Castellan Group offer?
Castellan Group provides financial planning, portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled vehicles.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
Which custodians does Castellan Group use?
Castellan Group’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $787M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 25 March 2026
How many financial advisors does Castellan Group have?
Castellan Group has 4 investment adviser representatives registered with state securities authorities, out of 8 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Castellan Group invest in?
At the end of its last fiscal year, Castellan Group’s separately managed accounts held 82% exchange-traded equities, 7% pooled vehicles (private funds and similar), 6% U.S. government and agency bonds, 3% registered funds (mutual funds, ETFs, BDCs), 1% derivatives and 1% cash and equivalents. It advises 8 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Castellan Group?
Castellan Group’s direct owner is Castellan Cares Inc. (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 25 March 2026
How does Castellan Group get paid?
Castellan Group is paid through a percentage of assets under management, hourly charges, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Castellan Group?
Castellan Group’s main office is at 2011 Lake Point Way, Suite 001, Louisville, KY 40223. Its phone number is 859-494-0523. Its website is castellangroup.com.