Castle Rock Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers. Financial planning was provided to 1–10 clients last fiscal year.
Castle Rock Wealth Management reports 2,040 clients. They include 1,917 individual clients, 107 high-net-worth individuals, and 10 pension and profit-sharing plans. Of its assets, 100.0% ($587M across 2,040 accounts) are managed with discretion. It advised 2 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 94% | 48% |
| High-net-worth individuals | 5% | 50% |
| Pension and profit-sharing plans | <1% | 2% |
| Corporations and other businesses | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 1,917 | $282M | 48.0% | $147K |
| High-net-worth individuals | 107 | $296M | 50.4% | $2.77M |
| Pension and profit-sharing plans | 10 | $9.21M | 1.6% | $921K |
| Corporations and other businesses | 6 | $303K | 0.1% | $50.5K |
| Total | 2,040 | $587M | 100% | $288K |
- Clients
- 1,917
- Regulatory AUM
- $282M
- AUM share
- 48.0%
- Avg. per client
- $147K
- Clients
- 107
- Regulatory AUM
- $296M
- AUM share
- 50.4%
- Avg. per client
- $2.77M
- Clients
- 10
- Regulatory AUM
- $9.21M
- AUM share
- 1.6%
- Avg. per client
- $921K
- Clients
- 6
- Regulatory AUM
- $303K
- AUM share
- 0.1%
- Avg. per client
- $50.5K
Total
- Clients
- 2,040
- Regulatory AUM
- $587M
- AUM share
- 100%
- Avg. per client
- $288K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 2
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Castle Rock Wealth Management charges up to 1.65% a year for its Comprehensive Portfolio Management. The fee is billed in advance and is negotiable. The brochure also prices 2 other services, listed under fee details.
Fee details and sources
Other fees
- Financial Planning and Consulting
- Billed on a percentage of assets under advisement that will not exceed 1.00%, with fee terms set in the signed agreement.
- Retirement Plan Consulting
- Billed on a percentage of plan assets that will not exceed 1.25%, with fees set case by case in the signed consulting agreement.
James Luippold owns 75% or more of Castle Rock Wealth Management. The leadership team of Castle Rock Wealth Management includes Chief Compliance Officer Jennifer Luippold. It has 7 employees.
Leadership
- Jennifer LuippoldChief Compliance Officer
- James LuippoldManaging Member
Investment adviser representatives
7 representatives listed in the SEC register as of 9 October 2026.
Staff
- 7 employees
- 7 in advisory functions
- 7 state-registered reps
- 6 broker-dealer reps
- 5 insurance agents
- Owns 75% or more of Castle Rock Wealth Management, LLC
James Luippold
Control person · since June 2015
Castle Rock Wealth Management’s regulatory assets grew 1.7× from $355M (March 2021) to $587M (March 2026); clients rose from 1,637 to 2,040 and employees fell from 12 to 7.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $587M | 2,040 | 7 | 6 |
| April 2025 | $522M | 1,900 | 8 | 6 |
| April 2024 | $486M | 1,804 | 9 | 5 |
| March 2023 | $419M | 1,703 | 9 | 6 |
| April 2022 | $395M | 1,692 | 9 | 7 |
| March 2021 | $355M | 1,637 | 12 | 7 |
Besides its headquarters, Castle Rock Wealth Management has 5 offices (1 private residence, listed without an address), with 5 listed addresses in California.
California · 5 listed addresses
- 1777 Botelho DR., Suite 105, Walnut CreekHQ
- 479 Pacific Street, Monterey
- 3828 Fair Oaks BLVD., Sacramento
- 1700 Standiford Ave, Modesto
- 1900 South Norfolk, San Mateo
Contact and registration details
- Legal name
- Castle Rock Wealth Management, LLC
- Headquarters
- 1777 Botelho DR., Suite 105, Walnut Creek, CA 94596
- Website
- crwmadvisors.com
- Phone
- 925-478-8800
- SEC file
- 801-110593
- Structure
- California LLC
- Fiscal year end
- December
Castle Rock Wealth Management uses Charles Schwab ($587M) as custodian for its separately managed accounts. Castle Rock Wealth Management has custody of $467M in client assets for 757 clients.
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $587M100%
At year end, Castle Rock Wealth Management’s separately managed accounts were mostly in stocks (71%) and cash (12%). Its reported 13F holdings for the quarter ended 30 June 2026 total $509M across 268 positions; the largest are Nvidia Corporation (4.2%), Coca Cola CO (3.9%) and Apple Inc. (3.1%).
What the accounts hold
- Stocks71%
- Exchange-traded equities70%
- Non-exchange-traded equities1%
- Funds8%
- Bonds8%
- Cash12%
- Other1%
- Derivatives1%
Reported 13F holdings
- $509M
- Reported 13F value
- 268
- Positions
- 26.6%
- In the 10 largest
- +10.3%
- Value vs. prior quarter
- Nvidia Corporation4.2%
- Coca Cola CO3.9%
- Apple Inc.3.1%
- iShares TR · Trs Flt RT BD3.0%
- Chevron Corporation2.8%
- Wisdomtree TR · Floatng Rat Trea2.2%
- Alphabet Inc. · Cap Stk CL C2.1%
- Amazon Com Inc.1.8%
- Palo Alto Networks Inc.1.7%
- Microsoft Corp.1.7%
Together, the ten largest are 26.6% of reported value.
How many clients does Castle Rock Wealth Management have?
Castle Rock Wealth Management has 2,040 clients and manages $587 million for them, as of March 2026. They include 1,917 individual clients, 107 high-net-worth individuals, and 10 pension and profit-sharing plans.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 5 March 2026
What services does Castle Rock Wealth Management offer?
Castle Rock Wealth Management provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, pension consulting, and selecting other managers.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Castle Rock Wealth Management charge?
Castle Rock Wealth Management charges up to 1.65% a year for its Comprehensive Portfolio Management. The fee is billed in advance and is negotiable.
Source: CASTLE ROCK WEALTH MANAGEMENT ADV PART 2, filed 5 March 2026
Which custodians does Castle Rock Wealth Management use?
Castle Rock Wealth Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (San Francisco, CA), with $587M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 5 March 2026
How many financial advisors does Castle Rock Wealth Management have?
Castle Rock Wealth Management has 7 investment adviser representatives registered with state securities authorities, out of 7 employees, and 7 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 5 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Castle Rock Wealth Management invest in?
At the end of its last fiscal year, Castle Rock Wealth Management’s separately managed accounts held 70% exchange-traded equities, 12% cash and equivalents, 8% U.S. government and agency bonds, 8% registered funds (mutual funds, ETFs, BDCs), 1% non-exchange-traded equities and 1% derivatives.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Castle Rock Wealth Management?
Castle Rock Wealth Management’s direct owner is James Luippold (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 5 March 2026
How does Castle Rock Wealth Management get paid?
Castle Rock Wealth Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Castle Rock Wealth Management registered with the SEC?
Yes, Castle Rock Wealth Management has been registered with the SEC as an investment adviser since 9 June 2017. Its CRD number is 199513 and its SEC file number is 801-110593.
Source: Form ADV Part 1A, Item 1, filed 5 March 2026; IAPD firm record
How do I contact Castle Rock Wealth Management?
Castle Rock Wealth Management’s main office is at 1777 Botelho DR., Suite 105, Walnut Creek, CA 94596. Its phone number is 925-478-8800. Its website is crwmadvisors.com.