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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$72.1MItem 5.F on the latest filing (2024-12-10); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$9.6M

Private client RAUM

$3.2MderivedItem 5.D individuals plus high net worth individuals

Private client share

4%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$72.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Employees

1

Advisory employees

1

Offices

0Schedule D 1.F, beyond the principal office

Accounts

15

SEC number

801-80620

CRD

140299

Filings on the tape

15

First filed

Nov 13, 2014

Latest filed

Dec 10, 2024

Organised

Corporation, Colorado

• Occurred

  Feb 3, 2025
  Left the SEC roster

  Castle Rock Investment Company no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $72.1M)

  Form ADVobserved 4 days ago
  $72.1M
• Occurred

  Nov 13, 2014
  First Form ADV filing

  Castle Rock Investment Company filed its initial SEC registration (Form ADV)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a89f40d9-9ae3-7bb4-856e-65b4a549104d

First observed

Nov 13, 2014

Last observed

Dec 10, 2024 21 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.