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CASTLE ROCK ADVISORS LLC

BOSTON, MA · CRD 331429 · IAPD ↗ · 617-227-0050

$3.86BRegulatory AUM
27Advisory reps
33Employees
0Clients
26-50Planning clients
6Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

72
September 2026 — CASTLE ROCK ADVISORS LLC reported RAUM up 62% ($2.38B -> $3.86B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
63
April 2026 — CASTLE ROCK ADVISORS LLC reports 26-50 financial-planning clients, up from 11-25.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
69
April 2026 — CASTLE ROCK ADVISORS LLC reported RAUM up 49% ($1.59B -> $2.38B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
66
April 2025 — CASTLE ROCK ADVISORS LLC reports 11-25 financial-planning clients, up from 0.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
75
April 2025 — CASTLE ROCK ADVISORS LLC grew from 22 to 27 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
75
April 2025 — CASTLE ROCK ADVISORS LLC now reports 3 private fund(s) ($493.7M gross).
Firm reports private funds for the first time.
Fund administrationCompliance
85
April 2025 — CASTLE ROCK ADVISORS LLC crossed $1B in regulatory AUM ($830.2M -> $1.59B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
68
January 2025 — CASTLE ROCK ADVISORS LLC now reports custody of client assets ($230.6M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
January 2025 — CASTLE ROCK ADVISORS LLC's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
September 2024 — CASTLE ROCK ADVISORS LLC (BOSTON, MA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 22 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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