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CASTLE ROCK INVESTMENT COMPANY

CASTLE ROCK, CO · CRD 140299 · IAPD ↗ · 303-725-7086

$72.1MRegulatory AUM
1Advisory reps
1Employees
0Clients
1-10Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
February 2025 — CASTLE ROCK INVESTMENT COMPANY (CASTLE ROCK, CO) left the SEC roster (was $72.1M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
April 2024 — CASTLE ROCK INVESTMENT COMPANY reported RAUM down 27% ($100.5M -> $73.4M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.