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 Rock Investment Company
Latest filing Dec 10, 2024
First filing on the tape Nov 13, 2014 · 15 filings
SEC status approved since Dec 3, 2014
RAUM
$72.1M
reported, Item 5.F
Discretionary
13%
of RAUM
Private clients
4.5%
$3.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$72.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$73.4M as of Mar 1, 2024
Jan 12, 2015$153M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 1, 2024
Jan 12, 20151 then
Employees (5.A)1 as of Mar 1, 2024
Jan 12, 20153 then
Private funds: no history
RAUM -28% over the last fiscal year-13% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Dec 10, 2024; every figure names its basis
- RAUM per advisor
- $72.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $4.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 13%derivedof RAUM
- Institutional
- 96%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$38.4M53%
- State and municipal entities$25.6M35%
- Charitable organizations$4.9M6.8%
- Individuals$3.2M4.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michele Louise Suriano | Castle Rock, Co | Jan 1, 2025 | 26 y | 4 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Mackenzie Karner Bekeza to Cascade Financial Management, Inc.Dec 2, 2016 · Other
Joined, latest
- Michele Louise Suriano from Securian Financial Services, Inc.Jan 1, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Louise Michele Suriano · Ccocontrolsince 04/2006 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 15Mar 1, 2024 to Dec 10, 2024
- Discretionary RAUM · $64.6M to $9.6MMar 1, 2024 to Dec 10, 2024
- Individual RAUM · $3.4M to $3.2MMar 1, 2024 to Dec 10, 2024
- Non-discretionary RAUM · $8.8M to $62.5MMar 1, 2024 to Dec 10, 2024
- Pension RAUM · $41.6M to $38.4MMar 1, 2024 to Dec 10, 2024
- RAUM · $73.4M to $72.1MMar 1, 2024 to Dec 10, 2024
- Accounts · 23 to 14Feb 23, 2023 to Mar 1, 2024
- Individual clients · 9.0 to unsetFeb 23, 2023 to Mar 1, 2024
- Pension plan clients · 12 to 8Feb 23, 2023 to Mar 1, 2024
- Employees · 2 to 1Feb 23, 2023 to Mar 1, 2024
- Insurance-licensed employees · 1 to 0Feb 23, 2023 to Mar 1, 2024
- Financial planning clients · 11-25 to 1-10Feb 23, 2023 to Mar 1, 2024
- Discretionary RAUM · $7.3M to $64.6MFeb 23, 2023 to Mar 1, 2024
- Individual RAUM · $4.6M to $3.4MFeb 23, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $93.1M to $8.8MFeb 23, 2023 to Mar 1, 2024
- Pension RAUM · $69.5M to $41.6MFeb 23, 2023 to Mar 1, 2024
- RAUM · $100M to $73.4MFeb 23, 2023 to Mar 1, 2024
- Accounts · 13 to 23Dec 5, 2022 to Feb 23, 2023
- Individual clients · unset to 9.0Dec 5, 2022 to Feb 23, 2023
- Pension plan clients · 10 to 12Dec 5, 2022 to Feb 23, 2023
- Insurance-licensed employees · 0 to 1Dec 5, 2022 to Feb 23, 2023
- Financial planning clients · 1-10 to 11-25Dec 5, 2022 to Feb 23, 2023
- Discretionary RAUM · $5.4M to $7.3MDec 5, 2022 to Feb 23, 2023
- Individual RAUM · $1.0M to $4.6MDec 5, 2022 to Feb 23, 2023
- Non-discretionary RAUM · $107M to $93.1MDec 5, 2022 to Feb 23, 2023
- Pension RAUM · $79.8M to $69.5MDec 5, 2022 to Feb 23, 2023
- RAUM · $112M to $100MDec 5, 2022 to Feb 23, 2023
- Discretionary RAUM · $5.6M to $5.4MJan 20, 2021 to Feb 9, 2022
- Individual RAUM · $1.4M to $1.0MJan 20, 2021 to Feb 9, 2022
- Non-discretionary RAUM · $105M to $107MJan 20, 2021 to Feb 9, 2022
- Pension RAUM · $78.9M to $79.8MJan 20, 2021 to Feb 9, 2022
- RAUM · $110M to $112MJan 20, 2021 to Feb 9, 2022
- Accounts · 15 to 13Aug 3, 2020 to Jan 20, 2021
- Pension plan clients · 11 to 10Aug 3, 2020 to Jan 20, 2021
- Employees · 1 to 2Aug 3, 2020 to Jan 20, 2021
- Discretionary RAUM · $5.7M to $5.6MAug 3, 2020 to Jan 20, 2021
- Individual RAUM · $1.8M to $1.4MAug 3, 2020 to Jan 20, 2021
- Non-discretionary RAUM · $99.4M to $105MAug 3, 2020 to Jan 20, 2021
- Pension RAUM · $98.5M to $78.9MAug 3, 2020 to Jan 20, 2021
- RAUM · $105M to $110MAug 3, 2020 to Jan 20, 2021
Signals
2 dated events
- Castle Rock Investment Company no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $72.1M)Feb 3, 2025 · Left the SEC roster · derived
- Castle Rock Investment Company filed its initial SEC registration (Form ADV)Nov 13, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- castlerockpep.comreportedpublic record, Form ADV, Sep 17, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $72.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026