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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

CASTLE ROCK WEALTH MANAGEMENT, LLC

CRD 199513

WALNUT CREEK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:33a32fc9-b4c3-13ca-5ae2-fd4667728686

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: May 9, 2017 to Mar 5, 2026
29 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $587MItem 5.F on the latest filing (2026-03-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $587M
Private client RAUM: $578MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $83.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 7
Advisory employees: 7
Offices: 5Schedule D 1.F, beyond the principal office
Accounts: 2,040
Individual clients: 1,917
High net worth clients: 107
Custody, client assets: $467M
SEC number: 801-110593
CIK: 1727605
CRD: 199513
Filings on the tape: 29
First filed: May 9, 2017
Latest filed: Mar 5, 2026
Organised: Limited Liability Company, CA
Website: crwmadvisors.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
JAMES BLAIR LUIPPOLD	n/a	WALNUT CREEK, CA	10	24	3	yes
MARK BRANT BERTOLI	Certified Financial Planner	WALNUT CREEK, CA	9	32	1	yes
JENNIFER M MITCHELL	n/a	WALNUT CREEK, CA	9	32	3	yes
JOAN FEROL BLOCK	n/a	KELLOGG,, ID	9	45	n/a	no
JOYCE ELINOR MOE	n/a	Modesto, CA \| WALNUT CREEK, CA	8	38	4	yes
WILLARD M FOLSOM	n/a	WALNUT CREEK, CA	7	17	1	yes
DEAN OTIS LEONARD	Certified Financial Planner	WALNUT CREEK, CA	3	41	2	yes

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
LUIPPOLD, JAMES, BLAIR	MANAGING MEMBER	E	yes	06/2015	May 9, 2017	Apr 9, 2024
LUIPPOLD, JENNIFER, ROSE	CHIEF COMPLIANCE OFFICER	Na	yes	05/2017	May 9, 2017	Apr 9, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Modesto	CA	United States	1	yes
Monterey	CA	United States	1	yes
Sacramento	CA	United States	1	no
n/a	n/a	n/a	1	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 5, 2026	$587M	$587M	7	7	5	n/a	n/a
2024	Apr 29, 2025	$522M	$522M	8	8	5	n/a	n/a
2023	Feb 26, 2024	$486M	$486M	9	9	5	n/a	n/a
2022	Mar 17, 2023	$419M	$419M	9	9	5	n/a	n/a
2021	Mar 11, 2022	$395M	$395M	9	9	7	n/a	n/a
2020	Mar 2, 2021	$355M	$355M	12	10	6	n/a	n/a
2019	Mar 14, 2020	$297M	$297M	9	9	6	n/a	n/a
2018	Feb 26, 2019	$245M	$245M	18	10	5	n/a	n/a
2017	Feb 27, 2018	$131M	$131M	7	5	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$587M	$522M	12.5%	$419M	11.9%	7	8	5	5

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
FIRST ALLIED ADVISORY SERVICES, INC.	2	Feb 13, 2018	Nov 17, 2016	SUITE , CA	Team lift out	Other	0.4%

Relationships

Registered with (10)

← DEAN OTIS LEONARDAdvisorregistration: current employment
Sep 5, 2023 to presentfactForm ADV
← WILLARD M FOLSOMAdvisorregistration: current employment
Sep 20, 2018 to presentfactForm ADV
← JOYCE ELINOR MOEAdvisorregistration: current employment
Jul 18, 2018 to presentfactForm ADV
← JOAN FEROL BLOCKAdvisorregistration: current employment
Dec 1, 2016 to presentfactForm ADV
← JENNIFER M MITCHELLAdvisorregistration: current employment
Nov 17, 2016 to presentfactForm ADV
← MARK BRANT BERTOLIAdvisorregistration: current employment
Nov 14, 2016 to presentfactForm ADV
← JAMES BLAIR LUIPPOLDAdvisorregistration: current employment
May 11, 2016 to presentfactForm ADV
← Michal B CaroAdvisorregistration: previous registration
May 1, 2019 to Sep 3, 2019factForm ADV
← DANIEL WILLIAM WORTHINGTONAdvisorregistration: previous registration
Dec 6, 2018 to Jul 29, 2019factForm ADV
← ANTHONY ROD ORTALEAdvisorregistration: previous registration
Oct 7, 2015 to Mar 29, 2017factForm ADV

Controls (2)

← LUIPPOLD, JAMES, BLAIROwnerMANAGING MEMBER, ownership code E, individual
May 9, 2017 to Apr 9, 2024factForm ADV
← LUIPPOLD, JENNIFER, ROSEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 9, 2017 to Apr 9, 2024factForm ADV

Moved with (1)

← FIRST ALLIED ADVISORY SERVICES, INC.Registered adviser2 advisors, team lift out, same day
Feb 13, 2018 to Nov 17, 2016factForm ADV

Dated events

Occurred
May 9, 2017
First Form ADV filing
Castle Rock Wealth Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:33a32fc9-b4c3-13ca-5ae2-fd4667728686
First observed: May 9, 2017
Last observed: Mar 5, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CASTLE ROCK WEALTH MANAGEMENT, LLC

CRD 199513

WALNUT CREEK, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:33a32fc9-b4c3-13ca-5ae2-fd4667728686

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

JAMES BLAIR LUIPPOLD

n/a

WALNUT CREEK, CA

yes

MARK BRANT BERTOLI

Certified Financial Planner

WALNUT CREEK, CA

yes

JENNIFER M MITCHELL

n/a

WALNUT CREEK, CA

yes

JOAN FEROL BLOCK

n/a

KELLOGG,, ID

n/a

JOYCE ELINOR MOE

n/a

Modesto, CA | WALNUT CREEK, CA

yes

WILLARD M FOLSOM

n/a

WALNUT CREEK, CA

yes

DEAN OTIS LEONARD

Certified Financial Planner

WALNUT CREEK, CA

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

LUIPPOLD, JAMES, BLAIR

MANAGING MEMBER

yes

06/2015

May 9, 2017

Apr 9, 2024

LUIPPOLD, JENNIFER, ROSE

CHIEF COMPLIANCE OFFICER

yes

05/2017

May 9, 2017

Apr 9, 2024

City

State

Country

Employees

Also broker-dealer

Modesto

United States

yes

Monterey

United States

yes

Sacramento

United States

n/a

yes

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 5, 2026

$587M

n/a

2024

Apr 29, 2025

$522M

n/a

2023

Feb 26, 2024

$486M

n/a

2022

Mar 17, 2023

$419M

n/a

2021

Mar 11, 2022

$395M

n/a

2020

Mar 2, 2021

$355M

n/a

2019

Mar 14, 2020

$297M

n/a

2018

Feb 26, 2019

$245M

n/a

2017

Feb 27, 2018

$131M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$587M

$522M

12.5%

$419M

11.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

FIRST ALLIED ADVISORY SERVICES, INC.

Feb 13, 2018

Nov 17, 2016

SUITE , CA

Team lift out

Other

0.4%