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.

Former SEC-registered adviser

Castle Asset Management, LLC

Former SEC-registered adviserHauppauge, New YorkCRD 131910SEC 801-66317IAPD
Latest filing May 13, 2021
First filing on the tape Mar 21, 2012 · 14 filings
RAUM
$335M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$304M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$335M as of Mar 17, 2021
Mar 21, 2012$163M then
HNW client RAUM$211M as of Mar 17, 2021
Mar 23, 2018$80.2M then
State-registered IARs (5.B.3)1 as of Mar 17, 2021
Mar 7, 20131 then
Employees (5.A)3 as of Mar 17, 2021
Mar 7, 20132 then
Private funds: no history
RAUM +11% over the last fiscal year+17% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 13, 2021; every figure names its basis
RAUM per advisor
$335MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
358derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.1MderivedHNW RAUM over HNW clients
Average account
$455,194derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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
+4.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$211M63%
  • Individuals$93.4M28%
  • Pension and profit-sharing plans$29.0M8.7%
  • Corporations and businesses$1.4M0.4%
Individual clients
289reported
HNW clients
69reported
Pension plan clients
25reported
Charitable clients
0reported
Accounts
735reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • David John Caffrey · Managing Member/Chief Compliance Officercontrol
      since 05/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 675 to 735
      Jun 29, 2020 to Mar 17, 2021
    • HNW clients · 50 to 69
      Jun 29, 2020 to Mar 17, 2021
    • Individual clients · 292 to 289
      Jun 29, 2020 to Mar 17, 2021
    • Pension plan clients · 26 to 25
      Jun 29, 2020 to Mar 17, 2021
    • Discretionary RAUM · $300M to $335M
      Jun 29, 2020 to Mar 17, 2021
    • HNW RAUM · $164M to $211M
      Jun 29, 2020 to Mar 17, 2021
    • Individual RAUM · $109M to $93.4M
      Jun 29, 2020 to Mar 17, 2021
    • Pension RAUM · $26.1M to $29.0M
      Jun 29, 2020 to Mar 17, 2021
    • RAUM · $300M to $335M
      Jun 29, 2020 to Mar 17, 2021
    • Related adviser · true to false
      Jun 29, 2020 to Mar 17, 2021
    • Accounts · 655 to 675
      Mar 25, 2019 to Mar 5, 2020
    • HNW clients · 51 to 50
      Mar 25, 2019 to Mar 5, 2020
    • Individual clients · 293 to 292
      Mar 25, 2019 to Mar 5, 2020
    • Pension plan clients · 25 to 26
      Mar 25, 2019 to Mar 5, 2020
    • Financial planning clients · 26-50 to 51-100
      Mar 25, 2019 to Mar 5, 2020
    • Discretionary RAUM · $236M to $300M
      Mar 25, 2019 to Mar 5, 2020
    • HNW RAUM · $130M to $164M
      Mar 25, 2019 to Mar 5, 2020
    • Individual RAUM · $84.1M to $109M
      Mar 25, 2019 to Mar 5, 2020
    • Pension RAUM · $21.6M to $26.1M
      Mar 25, 2019 to Mar 5, 2020
    • RAUM · $236M to $300M
      Mar 25, 2019 to Mar 5, 2020
    • Accounts · 604 to 655
      Mar 23, 2018 to Mar 25, 2019
    • Corporate clients · 0 to 1
      Mar 23, 2018 to Mar 25, 2019
    • HNW clients · 24 to 51
      Mar 23, 2018 to Mar 25, 2019
    • Individual clients · 351 to 293
      Mar 23, 2018 to Mar 25, 2019
    • Pension plan clients · 20 to 25
      Mar 23, 2018 to Mar 25, 2019
    • Employees · 2 to 3
      Mar 23, 2018 to Mar 25, 2019
    • Financial planning clients · 11-25 to 26-50
      Mar 23, 2018 to Mar 25, 2019
    • Discretionary RAUM · $210M to $236M
      Mar 23, 2018 to Mar 25, 2019
    • HNW RAUM · $80.2M to $130M
      Mar 23, 2018 to Mar 25, 2019
    • Individual RAUM · $118M to $84.1M
      Mar 23, 2018 to Mar 25, 2019
    • Pension RAUM · $10.8M to $21.6M
      Mar 23, 2018 to Mar 25, 2019
    • RAUM · $210M to $236M
      Mar 23, 2018 to Mar 25, 2019
    • Accounts · 566 to 604
      Mar 28, 2017 to Mar 23, 2018
    • Charity clients · unset to 0.0
      Mar 28, 2017 to Mar 23, 2018
    • Corporate clients · unset to 0.0
      Mar 28, 2017 to Mar 23, 2018
    • HNW clients · unset to 24.0
      Mar 28, 2017 to Mar 23, 2018
    • Individual clients · unset to 351.0
      Mar 28, 2017 to Mar 23, 2018
    • Pension plan clients · unset to 20.0
      Mar 28, 2017 to Mar 23, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 28, 2017 to Mar 23, 2018
    • Other offices · unset to 0.0
      Mar 28, 2017 to Mar 23, 2018
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026