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
Castle Wealth Planning
Legal name Castle Wealth Planning LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Apr 10, 2015
RAUM
$236M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
85%
$200M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$236M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$236M as of Mar 31, 2026
May 2, 2016$107M then
HNW client RAUM$176M as of Mar 31, 2026
Apr 2, 2018$75.8M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
May 2, 20161 then
Employees (5.A)3 as of Mar 31, 2026
May 2, 20162 then
Private funds: no history
RAUM +9.7% over the last fiscal year+12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $236MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 111derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $666,015derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 15%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
- +9.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $7.6M, 20 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M75%
- Pension and profit-sharing plans$26.3M11%
- Individuals$23.5M10.0%
- Charitable organizations$10.3M4.3%
- Corporations and businesses$2,5070.0%
- Individual clients
- 57reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 355reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.6M for 20 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Nathan Edward CulticeCertified Financial Planner | Santa Barbara, Ca | Aug 29, 2021 | 28 y | 1 |
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
none on the tape
Joined, latest
- Nathan Edward Cultice from West Coast Financial, LLCAug 29, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Nathan Cultice · Chief Compliance Officer, President, Managing Membercontrolsince 08/2006 · 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 · 404 to 355Mar 31, 2025 to Mar 31, 2026
- HNW clients · 69 to 54Mar 31, 2025 to Mar 31, 2026
- Individual clients · 50 to 57Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $20.2M to $7.6MMar 31, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $186M to $203MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $168M to $176MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $11.6M to $23.5MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $29.4M to $33.3MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $25.9M to $26.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $216M to $236MMar 31, 2025 to Mar 31, 2026
- Accounts · 377 to 404Jul 23, 2024 to Mar 31, 2025
- HNW clients · 67 to 69Jul 23, 2024 to Mar 31, 2025
- Individual clients · 49 to 50Jul 23, 2024 to Mar 31, 2025
- Assets in custody · $13.8M to $20.2MJul 23, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Jul 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $157M to $186MJul 23, 2024 to Mar 31, 2025
- HNW RAUM · $139M to $168MJul 23, 2024 to Mar 31, 2025
- Individual RAUM · $10.6M to $11.6MJul 23, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $23.7M to $29.4MJul 23, 2024 to Mar 31, 2025
- Pension RAUM · $22.0M to $25.9MJul 23, 2024 to Mar 31, 2025
- RAUM · $180M to $216MJul 23, 2024 to Mar 31, 2025
- Accounts · 386 to 377Dec 20, 2023 to Mar 4, 2024
- Advisory employees · 2 to 1Dec 20, 2023 to Mar 4, 2024
- HNW clients · 57 to 67Dec 20, 2023 to Mar 4, 2024
- Individual clients · 60 to 49Dec 20, 2023 to Mar 4, 2024
- Assets in custody · $19.2M to $13.8MDec 20, 2023 to Mar 4, 2024
- Discretionary RAUM · $147M to $157MDec 20, 2023 to Mar 4, 2024
- HNW RAUM · $122M to $139MDec 20, 2023 to Mar 4, 2024
- Individual RAUM · $19.5M to $10.6MDec 20, 2023 to Mar 4, 2024
- Non-discretionary RAUM · $22.5M to $23.7MDec 20, 2023 to Mar 4, 2024
- Pension RAUM · $18.9M to $22.0MDec 20, 2023 to Mar 4, 2024
- RAUM · $169M to $180MDec 20, 2023 to Mar 4, 2024
- Accounts · 113 to 386Jun 17, 2022 to Mar 31, 2023
- Advisory activities · 3 to 4Jun 17, 2022 to Mar 31, 2023
- HNW clients · 48 to 57Jun 17, 2022 to Mar 31, 2023
- Assets in custody · $29.9M to $19.2MJun 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $182M to $147MJun 17, 2022 to Mar 31, 2023
- HNW RAUM · $144M to $122MJun 17, 2022 to Mar 31, 2023
- Individual RAUM · $28.9M to $19.5MJun 17, 2022 to Mar 31, 2023
Signals
1 dated events
- Castle Wealth Planning filed its initial SEC registration (Form ADV)Apr 1, 2015 · 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
- CASTLEWEALTHPLANNING.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-962-5630reportedpublic record, Form ADV, Mar 31, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $236Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026