CASTLE ROCK WEALTH MANAGEMENT, LLC
Adviser information for CASTLE ROCK WEALTH MANAGEMENT, LLC last updated from Form ADV on February 26th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 9 |
|---|---|
| Investment Advisory/Research | 9 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 9 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,604 | $485.8M |
| Non-Discretionary | 0 | $0 |
| Total | 1,604 | $485.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,563 | $146.4M |
| HNW Individuals | 227 | $329.7M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 9 | $7.4M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 5 | $2.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Principal Office
1777 BOTELHO DR.SUITE 105
WALNUT CREEK
CA
United States
Monday - Friday, 8AM - 5PM
Tel: 925-478-8800, Fax: 925-478-8805
Chief Compliance Officer
JENNIFER LUIPPOLD
1777 BOTELHO DRIVE
SUITE 105
WALNUT CREEK
CA
United States
Tel:
925-478-8800 EXT 106
J*******@***************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUIPPOLD, JAMES, BLAIR | Individual | – | MANAGING MEMBER | 06/2015 | > 75% |
| LUIPPOLD, JENNIFER, ROSE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2017 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed July 12th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| ABBOTT LABS | COM | 1M | 13K | – |
| ABBVIE INC | COM | 1M | 7K | – |
| ACCENTURE PLC IRELAND | SHS CLASS A | 315K | 1K | – |
| ADOBE INC | COM | 2M | 4K | – |
| ADVANCED MICRO DEVICES INC | COM | 3M | 17K | – |
| AIM ETF PRODUCTS TRUST | US LAGCP B20 MAY | 364K | 12K | – |
| AIM ETF PRODUCTS TRUST | US LARCP B20 MAR | 850K | 29K | – |
| AIM ETF PRODUCTS TRUST | US LRGCP B20 JAN | 349K | 11K | – |
| AIM ETF PRODUCTS TRUST | US LRGCP B20 JUN | 394K | 14K | – |
| ALPHABET INC | CAP STK CL A | 3M | 15K | – |
| ALPHABET INC | CAP STK CL C | 8M | 41K | – |
| ALPS ETF TR | ALERIAN ENERGY | 1M | 41K | – |
| ALPS ETF TR | ALERIAN MLP | 360K | 7K | – |
| ALTRIA GROUP INC | COM | 639K | 14K | – |
| AMAZON COM INC | COM | 9M | 48K | – |
| AMERICAN TOWER CORP NEW | COM | 437K | 2K | – |
| AMGEN INC | COM | 2M | 7K | – |
| APPLE INC | COM | 14M | 64K | – |
| ARES CAPITAL CORP | COM | 2M | 104K | – |
| AT&T INC | COM | 470K | 25K | – |
| AUTOMATIC DATA PROCESSING IN | COM | 868K | 4K | – |
| AXON ENTERPRISE INC | COM | 222K | 769 | – |
| BANK AMERICA CORP | COM | 448K | 11K | – |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 2M | 4K | – |
| BLACKROCK ETF TRUST II | FLEXIBLE INCOME | 2M | 44K | – |
| BLACKSTONE INC | COM | 1M | 12K | – |
| BRISTOL-MYERS SQUIBB CO | COM | 387K | 9K | – |
| BROADCOM INC | COM | 5M | 3K | – |
| BROOKFIELD ASSET MANAGMT LTD | CL A LMT VTG SHS | 1M | 30K | – |
| BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 355K | 28K | – |
| CADENCE DESIGN SYSTEM INC | COM | 1M | 3K | – |
| CATERPILLAR INC | COM | 308K | 937 | – |
| CHEVRON CORP NEW | COM | 16M | 100K | – |
| CHIPOTLE MEXICAN GRILL INC | COM | 439K | 7K | – |
| CLOUDFLARE INC | CL A COM | 2M | 19K | – |
| COCA COLA CO | COM | 15M | 245K | – |
| COLGATE PALMOLIVE CO | COM | 1M | 13K | – |
| CONAGRA BRANDS INC | COM | 2M | 61K | – |
| CONSOLIDATED EDISON INC | COM | 722K | 8K | – |
| COSTCO WHSL CORP NEW | COM | 1M | 2K | – |
| CROWDSTRIKE HLDGS INC | CL A | 3M | 8K | – |
| CSX CORP | COM | 227K | 7K | – |
| CVS HEALTH CORP | COM | 419K | 7K | – |
| DANAHER CORPORATION | COM | 2M | 7K | – |
| DELL TECHNOLOGIES INC | CL C | 546K | 4K | – |
| DEVON ENERGY CORP NEW | COM | 891K | 19K | – |
| DISNEY WALT CO | COM | 436K | 4K | – |
| D-WAVE QUANTUM INC | COM | 13K | 12K | – |
| EASTMAN CHEM CO | COM | 404K | 4K | – |
| EATON CORP PLC | SHS | 377K | 1K | – |
| EDWARDS LIFESCIENCES CORP | COM | 565K | 6K | – |
| ELI LILLY & CO | COM | 3M | 3K | – |
| ENPRO INC | COM | 220K | 2K | – |
| ESSEX PPTY TR INC | COM | 246K | 901 | – |
| ETFS GOLD TR | PHYSCL GOLD SHS | 1M | 61K | – |
| EXCHANGE TRADED CONCEPTS TRU | ROBO GLB ARTIF | 945K | 21K | – |
| EXXON MOBIL CORP | COM | 2M | 19K | – |
| FIRST TR EXCHANGE TRADED FD | NASDAQ CYB ETF | 922K | 16K | – |
| FIRST TR EXCHANGE-TRADED FD | BUYWRIT INCM ETF | 303K | 13K | – |
| FIRST TR EXCHANGE-TRADED FD | FIRST TR ENH NEW | 4M | 60K | – |
| FIRST TR EXCHANGE-TRADED FD | FST LOW OPPT EFT | 220K | 5K | – |
| FIRST TR EXCHANGE-TRADED FD | NO AMER ENERGY | 361K | 12K | – |
| FIRST TR EXCHANGE-TRADED FD | RISNG DIVD ACHIV | 3M | 51K | – |
| FIRST TR EXCHNG TRADED FD VI | FT VEST LADDERED | 249K | 9K | – |
| FIRST TR NAS100 EQ WEIGHTED | SHS | 825K | 7K | – |
| FIRST TR NASDAQ 100 TECH IND | SHS | 725K | 4K | – |
| FIRST TR VALUE LINE DIVID IN | SHS | 698K | 17K | – |
| FREEPORT-MCMORAN INC | CL B | 318K | 7K | – |
| FS KKR CAP CORP | COM | 2M | 77K | – |
| GENERAL DYNAMICS CORP | COM | 358K | 1K | – |
| GLADSTONE INVT CORP | COM | 202K | 14K | – |
| GLOBAL X FDS | NASDAQ 100 COVER | 2M | 92K | – |
| GLOBAL X FDS | RATE PREFERRED | 1M | 50K | – |
| GLOBAL X FDS | RUSSELL 2000 | 272K | 17K | – |
| GLOBAL X FDS | S&P 500 COVERED | 1M | 34K | – |
| GLOBAL X FDS | US INFR DEV ETF | 985K | 27K | – |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | 9M | 89K | – |
| GOLDMAN SACHS ETF TR | ACCESS US AGRAT | 2M | 49K | – |
| GRANITESHARES GOLD TR | SHS BEN INT | 204K | 9K | – |
| HERSHEY CO | COM | 2M | 9K | – |
| HOME DEPOT INC | COM | 4M | 10K | – |
| HONEYWELL INTL INC | COM | 2M | 8K | – |
| ILLINOIS TOOL WKS INC | COM | 519K | 2K | – |
| INNOVATOR ETFS TRUST | EQUITY DEF PROTN | 285K | 11K | – |
| INNOVATOR ETFS TRUST | US EQT PWR BUF | 3M | 72K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 1M | 45K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BF | 2M | 62K | – |
| INNOVATOR ETFS TRUST | US EQT ULTRA BFR | 445K | 14K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BF | 768K | 21K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 1M | 29K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 3M | 94K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 1M | 36K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 1M | 28K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 4M | 110K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 1M | 37K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 2M | 45K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 4M | 95K | – |
| INNOVATOR ETFS TRUST | US EQTY PWR BUF | 2M | 37K | – |
| INNOVATOR ETFS TRUST | US EQTY ULTRA B | 2M | 51K | – |
| INNOVATOR ETFS TRUST | US EQTY ULTRA BU | 954K | 29K | – |
| INTEL CORP | COM | 457K | 15K | – |
| INTERCONTINENTAL EXCHANGE IN | COM | 2M | 13K | – |
| INTERNATIONAL BUSINESS MACHS | COM | 965K | 6K | – |
| INTUIT | COM | 241K | 370 | – |
| INVESCO EXCH TRADED FD TR II | S&P GBL WATER | 346K | 6K | – |
| INVESCO EXCH TRADED FD TR II | SR LN ETF | 3M | 133K | – |
| INVESCO EXCHANGE TRADED FD T | DORSEY WRIGHT MO | 373K | 4K | – |
| INVESCO EXCHANGE TRADED FD T | S&P500 EQL WGT | 1M | 6K | – |
| INVESCO QQQ TR | UNIT SER 1 | 5M | 10K | – |
| IONIS PHARMACEUTICALS INC | COM | 328K | 7K | – |
| ISHARES TR | 0-3 MNTH TREASRY | 7M | 68K | – |
| ISHARES TR | CORE DIV GRWTH | 247K | 4K | – |
| ISHARES TR | CORE S&P SCP ETF | 2M | 17K | – |
| ISHARES TR | CORE S&P TTL STK | 286K | 2K | – |
| ISHARES TR | CORE S&P US GWT | 218K | 2K | – |
| ISHARES TR | CORE S&P500 ETF | 511K | 931 | – |
| ISHARES TR | EXPND TEC SC ETF | 205K | 2K | – |
| ISHARES TR | FLTG RATE NT ETF | 8M | 164K | – |
| ISHARES TR | IBOXX INV CP ETF | 934K | 9K | – |
| ISHARES TR | ISHARES BIOTECH | 346K | 3K | – |
| ISHARES TR | MSCI USA MIN VOL | 793K | 9K | – |
| ISHARES TR | RUS MID CAP ETF | 2M | 26K | – |
| ISHARES TR | RUSSELL 2000 ETF | 849K | 4K | – |
| ISHARES TR | RUSSELL 3000 ETF | 4M | 12K | – |
| ISHARES TR | SHORT TREAS BD | 463K | 4K | – |
| ISHARES TR | TRS FLT RT BD | 9M | 179K | – |
| ISHARES TR | U S EQUITY FACTR | 343K | 6K | – |
| ISHARES TR | U.S. FIN SVC ETF | 690K | 11K | – |
| ISHARES TR | U.S. TECH ETF | 2M | 12K | – |
| ISHARES TR | US AER DEF ETF | 1M | 10K | – |
| ISHARES TR | US INDUSTRIALS | 469K | 4K | – |
| ISHARES U S ETF TR | BLACKROCK SH DUR | 2M | 45K | – |
| J P MORGAN EXCHANGE TRADED F | EQUITY PREMIUM | 2M | 29K | – |
| J P MORGAN EXCHANGE TRADED F | HEDGED EQUITY LA | 259K | 4K | – |
| J P MORGAN EXCHANGE TRADED F | NASDAQ EQT PREM | 519K | 9K | – |
| J P MORGAN EXCHANGE TRADED F | ULTRA SHRT INC | 3M | 60K | – |
| JANUS DETROIT STR TR | HENDRSN SHRT ETF | 479K | 10K | – |
| JANUS DETROIT STR TR | HENDRSON AAA CL | 3M | 60K | – |
| JOHNSON & JOHNSON | COM | 2M | 13K | – |
| JPMORGAN CHASE & CO. | COM | 2M | 12K | – |
| KIMBERLY-CLARK CORP | COM | 412K | 3K | – |
| KROGER CO | COM | 223K | 4K | – |
| LAM RESEARCH CORP | COM | 346K | 326 | – |
| LAMB WESTON HLDGS INC | COM | 2M | 18K | – |
| LOCKHEED MARTIN CORP | COM | 2M | 3K | – |
| LOWES COS INC | COM | 1M | 7K | – |
| MAIN STR CAP CORP | COM | 431K | 9K | – |
| MARVELL TECHNOLOGY INC | COM | 464K | 7K | – |
| MASTERCARD INCORPORATED | CL A | 2M | 5K | – |
| MCDONALDS CORP | COM | 807K | 3K | – |
| MCKESSON CORP | COM | 802K | 1K | – |
| MERCK & CO INC | COM | 410K | 3K | – |
| META PLATFORMS INC | CL A | 7M | 15K | – |
| MICROSOFT CORP | COM | 15M | 32K | – |
| MONDELEZ INTL INC | CL A | 580K | 9K | – |
| MOODYS CORP | COM | 651K | 2K | – |
| NETFLIX INC | COM | 2M | 4K | – |
| NEXTERA ENERGY INC | COM | 309K | 4K | – |
| NNN REIT INC | COM | 246K | 6K | – |
| NORTHROP GRUMMAN CORP | COM | 1M | 3K | – |
| NOVO-NORDISK A S | ADR | 2M | 17K | – |
| NRG ENERGY INC | COM NEW | 282K | 4K | – |
| NUVEEN CA QUALTY MUN INCOME | COM | 294K | 26K | – |
| NUVEEN CALIFORNIA AMT QLT MU | COM | 319K | 25K | – |
| NVIDIA CORPORATION | COM | 25M | 198K | – |
| ONEOK INC NEW | COM | 556K | 7K | – |
| PACCAR INC | COM | 1M | 11K | – |
| PACER FDS TR | PACER US SMALL | 479K | 11K | – |
| PACER FDS TR | TRENDP US LAR CP | 305K | 6K | – |
| PACER FDS TR | TRENDP US MID CP | 314K | 9K | – |
| PALANTIR TECHNOLOGIES INC | CL A | 2M | 81K | – |
| PALO ALTO NETWORKS INC | COM | 5M | 16K | – |
| PEPSICO INC | COM | 1M | 6K | – |
| PFIZER INC | COM | 350K | 12K | – |
| PIMCO ETF TR | ENHAN SHRT MA AC | 586K | 6K | – |
| PROCTER AND GAMBLE CO | COM | 879K | 5K | – |
| PROGRESSIVE CORP | COM | 322K | 2K | – |
| PROSHARES TR | HGH YLD INT RATE | 1M | 17K | – |
| PROSHARES TR | S&P 500 DV ARIST | 786K | 8K | – |
| QUALCOMM INC | COM | 2M | 9K | – |
| REALTY INCOME CORP | COM | 2M | 30K | – |
| RIO TINTO PLC | SPONSORED ADR | 497K | 7K | – |
| ROCKWELL AUTOMATION INC | COM | 272K | 1K | – |
| ROPER TECHNOLOGIES INC | COM | 338K | 600 | – |
| RTX CORPORATION | COM | 220K | 2K | – |
| SALESFORCE INC | COM | 592K | 2K | – |
| SELECT SECTOR SPDR TR | ENERGY | 2M | 24K | – |
| SELECT SECTOR SPDR TR | RL EST SEL SEC | 429K | 11K | – |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 228K | 3K | – |
| SELECT SECTOR SPDR TR | SBI HEALTHCARE | 285K | 2K | – |
| SELECT SECTOR SPDR TR | TECHNOLOGY | 248K | 1K | – |
| SERVICENOW INC | COM | 2M | 2K | – |
| SIMON PPTY GROUP INC NEW | COM | 1M | 9K | – |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 1M | 3K | – |
| SPDR GOLD TR | GOLD SHS | 2M | 7K | – |
| SPDR INDEX SHS FDS | S&P GBLINF ETF | 228K | 4K | – |
| SPDR S&P 500 ETF TR | TR UNIT | 8M | 14K | – |
| SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 1M | 2K | – |
| SPDR SER TR | BBG CONV SEC ETF | 391K | 5K | – |
| SPDR SER TR | BLOOMBERG 1-3 MO | 495K | 5K | – |
| SPDR SER TR | NUVEEN BLMBRG SH | 301K | 6K | – |
| STARBUCKS CORP | COM | 1M | 19K | – |
| TARGET CORP | COM | 211K | 1K | – |
| TESLA INC | COM | 584K | 3K | – |
| TEXAS INSTRS INC | COM | 345K | 2K | – |
| THE ALGER ETF TRUST | 35 ETF | 2M | 85K | – |
| THE ALGER ETF TRUST | MID CAP 40 ETF | 2M | 105K | – |
| THE CIGNA GROUP | COM | 2M | 7K | – |
| THE TRADE DESK INC | COM CL A | 1M | 15K | – |
| THERMO FISHER SCIENTIFIC INC | COM | 2M | 3K | – |
| TRAVELERS COMPANIES INC | COM | 238K | 1K | – |
| UNION PAC CORP | COM | 360K | 2K | – |
| UNITEDHEALTH GROUP INC | COM | 1M | 3K | – |
| VANECK ETF TRUST | MORTGAGE REIT | 131K | 12K | – |
| VANECK ETF TRUST | MRNGSTR WDE MOAT | 2M | 25K | – |
| VANECK ETF TRUST | OIL SERVICES ETF | 1M | 3K | – |
| VANECK ETF TRUST | PREFERRED SECURT | 772K | 45K | – |
| VANECK ETF TRUST | SEMICONDUCTR ETF | 2M | 7K | – |
| VANGUARD INDEX FDS | EXTEND MKT ETF | 304K | 2K | – |
| VANGUARD INDEX FDS | MCAP GR IDXVIP | 242K | 1K | – |
| VANGUARD INDEX FDS | REAL ESTATE ETF | 276K | 3K | – |
| VANGUARD INDEX FDS | TOTAL STK MKT | 296K | 1K | – |
| VANGUARD SPECIALIZED FUNDS | DIV APP ETF | 472K | 3K | – |
| VANGUARD WORLD FD | HEALTH CAR ETF | 273K | 1K | – |
| VANGUARD WORLD FD | INF TECH ETF | 208K | 358 | – |
| VANGUARD WORLD FD | MEGA GRWTH IND | 369K | 1K | – |
| VANGUARD WORLD FD | UTILITIES ETF | 2M | 11K | – |
| VERIZON COMMUNICATIONS INC | COM | 700K | 17K | – |
| VISA INC | COM CL A | 4M | 15K | – |
| WALMART INC | COM | 1M | 20K | – |
| WASTE CONNECTIONS INC | COM | 270K | 2K | – |
| WASTE MGMT INC DEL | COM | 2M | 10K | – |
| WELLS FARGO CO NEW | COM | 1M | 19K | – |
| WISDOMTREE TR | FLOATNG RAT TREA | 5M | 99K | – |
| WISDOMTREE TR | US QTLY DIV GRT | 377K | 5K | – |
| XCEL ENERGY INC | COM | 258K | 5K | – |