{"url":"https://nivawealth.com/firms/castellan-group-299363","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/299363","regulatoryAum":882230876,"crd":"299363","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2285792","suffix":null,"lastName":"COHOON","firstName":"BRIAN","middleName":"KEITH"},{"crd":"7891778","suffix":null,"lastName":"Davison","firstName":"Benjamin","middleName":"Robert"},{"crd":"4724645","suffix":null,"lastName":"PONDER","firstName":"KATE","middleName":"THALL"},{"crd":"7537961","suffix":null,"lastName":"Storn","firstName":"Ronald","middleName":"Kevin"}],"total":4,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-02","regulatoryAum":150196859,"clients":4,"employees":4,"offices":1},{"filedOn":"2022-03-31","regulatoryAum":235317522,"clients":14,"employees":5,"offices":1},{"filedOn":"2023-03-31","regulatoryAum":330904447,"clients":22,"employees":9,"offices":1},{"filedOn":"2024-03-29","regulatoryAum":353473345,"clients":20,"employees":9,"offices":1},{"filedOn":"2025-06-17","regulatoryAum":496086621,"clients":22,"employees":7,"offices":1},{"filedOn":"2026-03-25","regulatoryAum":882230876,"clients":23,"employees":8,"offices":1}],"secFileNumber":"801-119581","legalName":"Castellan 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quarterly.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026226","versionId":1026226,"submittedOn":"2026-03-25","documentName":"CASTELLAN ADV PART 2A&2B"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T10:33:48.865154+00:00","documents":[{"name":"CASTELLAN ADV PART 2A&2B","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1026226","versionId":1026226,"submittedOn":"2026-03-25"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":786637920}],"custodyNote":"Castellan Group has custody of $36.5M for 7 clients.","otherCustodians":[],"leadership":[{"name":"Barry Brauch","title":"Managing Director / CCO","crd":"7046101"}],"ownership":[{"label":"Castellan Cares Inc.","detail":"Owner / 501(c)4 in the 75% or more ownership band and a 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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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Castellan Group offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Castellan Group use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Castellan Group have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Castellan Group invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Castellan Group?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Castellan Group get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Castellan Group?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 25 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":{"url":"https://nivawealth.com/firms/castellan-group-299363/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-07-23","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1832521/000183252126000003/0001832521-26-000003-index.html","totalValue":912089618,"positionCount":41,"top10Share":0.924243579099702,"top10":[{"issuer":"EA SERIES TRUST","titleOfClass":"CAS TAR EQU ETF","cusip":"02072Q499","value":611047475,"shares":6474991,"shareType":"SH","priorValue":441379851,"priorShares":6499741},{"issuer":"EA SERIES TRUST","titleOfClass":"CAST TA INCO ETF","cusip":"02072Q481","value":176727420,"shares":3441216,"shareType":"SH","priorValue":160258995,"priorShares":3303710},{"issuer":"EA SERIES TRUST","titleOfClass":"ALPHA ARCH 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Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}