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
Castellan
Legal name Castellan Group, LLC
Latest filing Mar 25, 2026
First filing on the tape Sep 2, 2020 · 14 filings
SEC status approved since Oct 2, 2020
RAUM
$882M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$651M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$221M
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$882M as of Mar 25, 2026
Mar 31, 2021$150M then
HNW client RAUM$651M as of Mar 25, 2026
Mar 31, 2021$97.2M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Mar 31, 20210 then
Employees (5.A)8 as of Mar 25, 2026
Mar 31, 20214 then
Private funds8 as of Mar 25, 2026
Mar 31, 20214 then
RAUM +78% over the last fiscal year+39% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Multi-family-office-like · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, average HNW client assets at least $25M, fewer than 200 HNW clients, and business name contains 'family office' or private funds are reported
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $221MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $54.2MderivedHNW RAUM over HNW clients
- Average account
- $8.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +78%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 fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $36.5M, 7 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$651M74%
- Charitable organizations$129M15%
- Pooled investment vehicles$59.9M6.8%
- Investment companies$35.7M4.0%
- Corporations and businesses$7.1M0.8%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 106reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.5M for 7 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.74 fund_share=0.11 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Ronald Kevin Storn | Louisville, Ky | May 23, 2022 | 11 y | 0 |
| Brian Keith CohoonCertified Financial Planner | Louisville, Ky | Jan 4, 2024 | 33 y | 8 |
| Kate Thall Ponder | Louisville, Ky | Aug 27, 2024 | 22 y | 3 |
| Benjamin Robert Davison | Louisville, Ky | Oct 14, 2024 | 12 y | 0 |
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
- Kate Thall Ponder from Morgan StanleyAug 27, 2024 · Wirehouse to independent RIA
- Brian Keith Cohoon from Oneamerica Securities, Inc.Jan 4, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Castellan Venture Opportunities Evergreen I, LP | Venture Capital Fund | $17.2M | 3 | Mar 31, 2022 |
| Awc Opportunity Zone Fund I, LLC | Private Equity Fund | $11.7M | 3 | Mar 31, 2021 |
| Csfrg I, LP | Real Estate Fund | $5.0M | 3 | Mar 31, 2023 |
| Cga Awc Fund I, LLC | Real Estate Fund | $2.6M | 3 | Mar 31, 2023 |
| Cgrw Qoz LP | Venture Capital Fund | $550,263 | 3 | Sep 2, 2020 |
| Cglhcc Holdings, LLC | Venture Capital Fund | $368,759 | 2 | Mar 31, 2023 |
| Cglv I, LP | Venture Capital Fund | $320,563 | 1 | Mar 31, 2023 |
| Cggd Franchisor Qoz, LP | Private Equity Fund | $4,120 | 3 | Sep 2, 2020 |
| Cggd Franchisee, LP | Private Equity Fund | $0 | 3 | Sep 2, 2020 |
| Cgmx 1, LP | Venture Capital Fund | $0 | 3 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Charles Barry Brauch · Managing Director / Ccocontrolsince 11/2018 · owns less than 5%
- S Scott Smith · Trusteesince 01/2019 · owns F of Castellan Why Trust
- S Sean Smith · Trusteesince 01/2019 · owns F of Castellan Endeavor Trust
Entity owners
- Castellan Endeavor Trust · Trustdirect · owns 25% to 50%
- Castellan Why Trust · Trustdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Louisville, Ky · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 25, 2026RAUM per account of $8,322,933 against a peer median of $611,284 (1444 comparable advisers, 99.0th percentile, 5.2 robust deviations)peers: independent wealth managers, $500M to $1B (1,444) · 99% percentile
- compensation changedChange between filings · filing Mar 25, 2026hourly charges (Item 5.E.2): no on the filing of 2025-06-17, yes on the filing of 2026-03-25peers: independent wealth managers, $500M to $1B (1,483)
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $496,086,621 to $882,230,876 (+78.0%) between the annual amendments of 2025-04-29 and 2026-03-25; the peer median change was +16.0% (1386 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,386) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 89 to 106Jun 17, 2025 to Mar 25, 2026
- HNW clients · 9 to 12Jun 17, 2025 to Mar 25, 2026
- Individual clients · 3.0 to unsetJun 17, 2025 to Mar 25, 2026
- Assets in custody · $31.4M to $36.5MJun 17, 2025 to Mar 25, 2026
- Employees · 7 to 8Jun 17, 2025 to Mar 25, 2026
- Financial planning clients · 1-10 to 0Jun 17, 2025 to Mar 25, 2026
- Discretionary RAUM · $460M to $881MJun 17, 2025 to Mar 25, 2026
- HNW RAUM · $371M to $651MJun 17, 2025 to Mar 25, 2026
- Individual RAUM · 2822255.0 to unsetJun 17, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $36.2M to $1.1MJun 17, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $45.5M to $59.9MJun 17, 2025 to Mar 25, 2026
- RAUM · $496M to $882MJun 17, 2025 to Mar 25, 2026
- Advisory activities · 3 to 4May 19, 2025 to Jun 17, 2025
- Financial planning clients · 1-10 to 1-10May 19, 2025 to Jun 17, 2025
- Accounts · 59 to 89Nov 11, 2024 to Apr 29, 2025
- Advisory employees · 5 to 4Nov 11, 2024 to Apr 29, 2025
- Advisory activities · 2 to 3Nov 11, 2024 to Apr 29, 2025
- Individual clients · unset to 3.0Nov 11, 2024 to Apr 29, 2025
- Pooled vehicle clients · 11 to 9Nov 11, 2024 to Apr 29, 2025
- Assets in custody · $50.8M to $31.4MNov 11, 2024 to Apr 29, 2025
- Employees · 5 to 7Nov 11, 2024 to Apr 29, 2025
- State-registered IARs · 5 to 4Nov 11, 2024 to Apr 29, 2025
- Private funds · 10 to 8Nov 11, 2024 to Apr 29, 2025
- Discretionary RAUM · $353M to $460MNov 11, 2024 to Apr 29, 2025
- HNW RAUM · $205M to $371MNov 11, 2024 to Apr 29, 2025
- Individual RAUM · $0 to $2.8MNov 11, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $0 to $36.2MNov 11, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $110M to $45.5MNov 11, 2024 to Apr 29, 2025
- RAUM · $353M to $496MNov 11, 2024 to Apr 29, 2025
- Advisory employees · 6 to 5Mar 29, 2024 to Nov 11, 2024
- Employees · 9 to 5Mar 29, 2024 to Nov 11, 2024
- State-registered IARs · 3 to 5Mar 29, 2024 to Nov 11, 2024
- Accounts · 53 to 59Jan 8, 2024 to Mar 29, 2024
- Advisory employees · 5 to 6Jan 8, 2024 to Mar 29, 2024
- Advisory activities · 3 to 2Jan 8, 2024 to Mar 29, 2024
- HNW clients · 11 to 9Jan 8, 2024 to Mar 29, 2024
- Assets in custody · $46.6M to $50.8MJan 8, 2024 to Mar 29, 2024
- Financial planning clients · unset to 1-10Jan 8, 2024 to Mar 29, 2024
- Discretionary RAUM · $331M to $353MJan 8, 2024 to Mar 29, 2024
- HNW RAUM · $218M to $205MJan 8, 2024 to Mar 29, 2024
Signals
4 dated events
- Castellan reported RAUM $882.2M, up 78% from $496.1M (2025-06-17 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- Castellan reported RAUM $496.1M, up 40% from $353.5M (2024-11-11 to 2025-04-29)Apr 29, 2025 · RAUM change · derived
- K Shannon Bradbury (Chief Compliance Officer) no longer on Schedule A of Castellan (listed 2024-03-29, absent 2024-11-11)Nov 11, 2024 · Control person left · inference
- Castellan Group, Llc filed its initial SEC registration (Form ADV)Sep 2, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
- Business phone
- 215-330-4476reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 859-494-2579reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/19147779reportedpublic record, Form ADV, Sep 17, 2026
- Website
- CastellanETF.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 859.494.0523reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- castellanetf.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $221Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
Castellan is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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