DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Castlekeep Investment Advisors
Wealth manager with institutional or fund businessWestport, ConnecticutCRD 111656SEC 801-60338websiteIAPD
Legal name Castlekeep Investment Advisors LLC
Latest filing Mar 18, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Jun 12, 2001
RAUM
$921M
reported, Item 5.F
Discretionary
36%
of RAUM
Private clients
49%
$452M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$307M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$921M as of Mar 18, 2026
Mar 30, 2012$539M then
HNW client RAUM$433M as of Mar 18, 2026
Mar 27, 2018$3.3M then
State-registered IARs (5.B.3)2 as of Mar 18, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 18, 2026
Mar 28, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
- RAUM per advisor
- $307MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $2.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 36%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $153M, 26 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$467M51%
- High-net-worth individuals$433M47%
- Individuals$18.6M2.0%
- Charitable organizations$1.7M0.2%
- Individual clients
- 50reported
- HNW clients
- 66reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 464reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $153M for 26 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.49 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stephen Braden Kelakos Haberstroh | Westport, Ct | Feb 22, 2008 | 21 y | 0 |
| Lauren Michele Quesada | Westport, Ct | Mar 26, 2013 | 14 y | 0 |
| Lauren Kimberly Hauck | Westport, Ct | Sep 11, 2026 | 16 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Michael Ernest Benevento to Fountainhead AdvisorsFeb 19, 2024 · Other
Joined, latest
- Lauren Kimberly Hauck from Merrill Lynch, Pierce, Fenner & Smith IncorporatedSep 11, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wesley Kelakos Charles Haberstroh · President, Ceo, Cio And Ccocontrolsince 05/2000 · owns less than 5%
- Wesley Kelakos Charles Haberstroh · Membercontrolsince 05/2000 · owns 50% to 75% of Cka Holdings LLC
- Clark Kelakos Charles Haberstroh · Partner And Treasurersince 07/2017 · owns less than 5%
- Braden Kelakos Stephen Haberstroh · Partnersince 07/2017 · owns less than 5%
Entity owners
- Cka Holdings LLC · Parent Company And Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westport, Ct · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 18, 2026RAUM per registered advisor of $306,917,269 against a peer median of $106,365,769 (1262 comparable advisers, 99.0th percentile, 3.5 robust deviations)peers: independent wealth managers, $500M to $1B (1,262) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 447 to 464Jun 9, 2025 to Mar 18, 2026
- HNW clients · 70 to 66Jun 9, 2025 to Mar 18, 2026
- Individual clients · 49 to 50Jun 9, 2025 to Mar 18, 2026
- Assets in custody · $72.9M to $153MJun 9, 2025 to Mar 18, 2026
- Employees · 6 to 5Jun 9, 2025 to Mar 18, 2026
- Financial planning clients · 11-25 to 1-10Jun 9, 2025 to Mar 18, 2026
- Discretionary RAUM · $298M to $328MJun 9, 2025 to Mar 18, 2026
- HNW RAUM · $393M to $433MJun 9, 2025 to Mar 18, 2026
- Individual RAUM · $17.4M to $18.6MJun 9, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $530M to $593MJun 9, 2025 to Mar 18, 2026
- RAUM · $828M to $921MJun 9, 2025 to Mar 18, 2026
- Financial planning clients · 11-25 to 11-25Mar 26, 2025 to Jun 9, 2025
- Accounts · 440 to 447Jun 6, 2024 to Mar 26, 2025
- Advisory employees · 5 to 2Jun 6, 2024 to Mar 26, 2025
- Corporate clients · 37 to 32Jun 6, 2024 to Mar 26, 2025
- HNW clients · 71 to 70Jun 6, 2024 to Mar 26, 2025
- Individual clients · 51 to 49Jun 6, 2024 to Mar 26, 2025
- Assets in custody · $9.3M to $72.9MJun 6, 2024 to Mar 26, 2025
- Employees · 7 to 6Jun 6, 2024 to Mar 26, 2025
- State-registered IARs · 4 to 2Jun 6, 2024 to Mar 26, 2025
- Discretionary RAUM · $208M to $298MJun 6, 2024 to Mar 26, 2025
- HNW RAUM · $184M to $393MJun 6, 2024 to Mar 26, 2025
- Individual RAUM · $16.3M to $17.4MJun 6, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $554M to $530MJun 6, 2024 to Mar 26, 2025
- RAUM · $762M to $828MJun 6, 2024 to Mar 26, 2025
- Accounts · 243 to 440Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 4 to 5Mar 28, 2023 to Mar 28, 2024
- Corporate clients · 36 to 37Mar 28, 2023 to Mar 28, 2024
- HNW clients · 27 to 71Mar 28, 2023 to Mar 28, 2024
- Individual clients · 23 to 51Mar 28, 2023 to Mar 28, 2024
- Employees · 5 to 7Mar 28, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 11-25Mar 28, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 4Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $151M to $208MMar 28, 2023 to Mar 28, 2024
- HNW RAUM · $111M to $184MMar 28, 2023 to Mar 28, 2024
- Individual RAUM · $6.8M to $16.3MMar 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $486M to $554MMar 28, 2023 to Mar 28, 2024
- RAUM · $636M to $762MMar 28, 2023 to Mar 28, 2024
- Accounts · 235 to 243Oct 25, 2022 to Mar 28, 2023
- Advisory employees · 3 to 4Oct 25, 2022 to Mar 28, 2023
Signals
1 dated events
- Michael Ernest Benevento left Castlekeep Investment Advisors for Fountainhead Advisors (registered 2024-03-13)Feb 19, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Castlekeep Investment Advisors · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 203-682-7212reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-426-0864reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 203-682-7200reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/castlekeep-investment-advisors-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CASTLEKEEPADVISORS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 203.682.7200reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- castlekeepadvisors.com/index.php/teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $307Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026