CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC
Adviser information for CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC last updated from Form ADV on March 21st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 346 | $96.6M |
| Non-Discretionary | 0 | $0 |
| Total | 346 | $96.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 120 | $43.9M |
| HNW Individuals | 26 | $52.7M |
| 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 | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Principal Office
740 RIVER ROADSUITE 208 & 209
FAIR HAVEN
NJ
United States
Monday - Friday, 9:00 AM TO 4:00 PM
Tel: 732-888-4994, Fax: 732-888-8312
Chief Compliance Officer
ALPHONSE PROCACCINO
PRESIDENT & CEO
740 RIVER ROAD
SUITE 208 & 209
FAIR HAVEN
NJ
United States
Tel:
732-888-4994
Fax:
732-888-8312
A**@******************M
(Full email address available in API data)
Regulatory Contact
DARIA SCIORTINO
CLIENT LIAISON
740 RIVER ROAD
SUITE 208
FAIR HAVEN
NJ
United States
Tel:
732-888-4994
Fax:
732-888-8312
D****@******************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 |
|---|---|---|---|---|---|
| PROCACCINO, ALPHONSE, ALBERT | Individual | – | PRESIDENT, CEO & CHIEF COMPLIANCE OFFICER | 06/1992 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed February 11th, 2022 for period ending December 31st, 2021
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| VIACOMCBS INC CL B | Stock | 1 | 15 | – |
| PRUDENTIAL FINL INC COM | Stock | 5 | 40 | – |
| ULTA BEAUTY INC COM | Stock | 1 | 3 | – |
| INVESCO QQQ TRUST | ETF | 6 | 17 | – |
| SEMPRA COM | Stock | 4 | 27 | – |
| ISHARES GOLD TRUST | ETF | 225 | 6K | – |
| JOHNSON & JOHNSON COM | Stock | 91 | 529 | – |
| VANGUARD TOTAL STOCK MARKET INDEX FUND | ETF | 92 | 405 | – |
| OLIN CORP COM PAR $1 | Stock | 31 | 600 | – |
| CLEVELAND-CLIFFS INC NEW COM | Stock | 10 | 500 | – |
| SCOTTS MIRACLE-GRO CO CL A | Stock | 1 | 10 | – |
| VERINT SYS INC COM | Stock | 2 | 29 | – |
| OLD DOMINION FREIGHT LINE INC COM | Stock | 8 | 25 | – |
| F5 INC COM | Stock | 17 | 84 | – |
| REAL ESTATE SELECT SECTOR SPDR FUND | ETF | 11 | 240 | – |
| BP PRUDHOE BAY RTY TR UNIT BEN INT | Stock | 2 | 227 | – |
| PROCTER AND GAMBLE CO COM | Stock | 1K | 7K | – |
| NORDIC AMERICAN TANKERS LIMITE COM | Stock | 1 | 1K | – |
| INTELLIA THERAPEUTICS INC COM | Stock | 11 | 116 | – |
| ENTERPRISE PRODS PARTNERS L P COM | Stock | 22 | 921 | – |
| AMEREN CORP COM | Stock | 6 | 67 | – |
| UNITED PARCEL SERVICE INC CL B | Stock | 1 | 5 | – |
| VENTAS INC COM | REIT | 5 | 100 | – |
| TELECOM ARGENTINA SA SPON ADR REP B | ADR | 0 | 28 | – |
| INTEL CORP COM | Stock | 20 | 415 | – |
| MODINE MFG CO COM | Stock | 0 | 4 | – |
| MEDTRONIC PLC SHS | Stock | 3 | 31 | – |
| DUKE REALTY CORP COM NEW | REIT | 9 | 151 | – |
| MEDICAL PPTYS TRUST INC COM | REIT | 17 | 800 | – |
| AGNC INVT CORP COM | REIT | 17 | 1K | – |
| PROLOGIS INC. COM | REIT | 8 | 54 | – |
| MERCK & CO INC COM | Stock | 13 | 174 | – |
| SPDR S&P 500 ETF | ETF | 3K | 6K | – |
| VALVOLINE INC COM | Stock | 0 | 3 | – |
| RIVERNORTH DOUBLELINE STRATE COM | CEF | 155 | 11K | – |
| ADIENT PLC ORD SHS | Stock | 1 | 11 | – |
| TD SYNNEX CORPORATION COM | Stock | 0 | 3 | – |
| ALLSTATE CORP COM | Stock | 10 | 75 | – |
| ANNALY CAPITAL MANAGEMENT INC COM | REIT | 1 | 100 | – |
| MATTEL INC COM | Stock | 0 | 5 | – |
| ASHLAND GLOBAL HLDGS INC COM | Stock | 0 | 1 | – |
| FIRST COMWLTH FINL CORP PA COM | Stock | 17 | 1K | – |
| CONDUENT INC COM | Stock | 0 | 14 | – |
| SYNCHRONOSS TECHNOLOGIES INC COM | Stock | 0 | 50 | – |
| SMUCKER J M CO COM NEW | Stock | 30 | 219 | – |
| CORNING INC COM | Stock | 1 | 20 | – |
| BANK NEW YORK MELLON CORP COM | Stock | 1 | 18 | – |
| VERIZON COMMUNICATIONS INC COM | Stock | 15 | 280 | – |
| MARVELL TECHNOLOGY INC COM | Stock | 8 | 99 | – |
| PEPSICO INC COM | Stock | 13 | 75 | – |
| VIAVI SOLUTIONS INC COM | Stock | 1 | 37 | – |
| TE CONNECTIVITY LTD SHS | Stock | 5 | 35 | – |
| OMEGA HEALTHCARE INVS INC COM | REIT | 2 | 71 | – |
| ISHARES ESG AWARE MSCI USA ETF | ETF | 2K | 18K | – |
| XCEL ENERGY INC COM | Stock | 2 | 33 | – |
| BRIGHTHOUSE FINL INC COM | Stock | 1 | 18 | – |
| ABERDEEN STANDARD PHYSICAL GOLD SHARES ETF | ETF | 168 | 10K | – |
| DUPONT DE NEMOURS INC COM | Stock | 15 | 185 | – |
| SPDR GOLD SHARES | ETF | 2K | 9K | – |
| KEYCORP COM | Stock | 22 | 816 | – |
| RIOT BLOCKCHAIN INC COM | Stock | 0 | 25 | – |
| BRITISH AMERN TOB PLC SPONSORED ADR | ADR | 11 | 257 | – |
| OLD NATL BANCORP IND COM | Stock | 1 | 46 | – |
| FORTINET INC COM | Stock | 17 | 54 | – |
| LUMEN TECHNOLOGIES INC COM | Stock | 13 | 1K | – |
| LUNA INNOVATIONS INC COM | Stock | 0 | 47 | – |
| BERKSHIRE HATHAWAY INC DEL CL B NEW | Stock | 1K | 4K | – |
| AMPLIFY TRANSFORMATIONAL DATA SHARING ETF | ETF | 176 | 5K | – |
| ALPHABET INC CAP STK CL A | Stock | 3 | 1 | – |
| INTUIT COM | Stock | 12 | 22 | – |
| COMCAST CORP NEW CL A | Stock | 1 | 15 | – |
| MICROSOFT CORP COM | Stock | 80 | 262 | – |
| NVENT ELECTRIC PLC SHS | Stock | 0 | 7 | – |
| SESEN BIO INC COM | Stock | 1 | 1K | – |
| SCHLUMBERGER LTD COM STK | Stock | 3 | 75 | – |
| DTE ENERGY CO COM | Stock | 0 | 2 | – |
| SPROTT PHYSICAL GOLD TR UNIT | CEF | 75 | 5K | – |
| AVERY DENNISON CORP COM | Stock | 2 | 9 | – |
| MONMOUTH REAL ESTATE INVT CORP CL A | REIT | 1 | 41 | – |
| NEXTERA ENERGY INC COM | Stock | 7 | 98 | – |
| LIVENT CORP COM | Stock | 13 | 552 | – |
| MFS CHARTER INCOME TR SH BEN INT | CEF | 3 | 400 | – |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | ADR | 3 | 703 | – |
| COEUR MNG INC COM NEW | Stock | 1 | 215 | – |
| VIRTUS INFRACAP U.S. PREFERRED STOCK ETF | ETF | 9 | 360 | – |
| FEDERAL RLTY INVT TR NEW SH BEN INT NEW | REIT | 4 | 33 | – |
| TEMPLETON GLOBAL INCOME FD COM | CEF | 3 | 600 | – |
| WELLTOWER INC COM | REIT | 24 | 300 | – |
| DOW INC COM | Stock | 11 | 187 | – |
| KKR & CO INC COM | Stock | 20 | 306 | – |
| ADVISORSHARES PURE CANNABIS ETF | ETF | 3 | 261 | – |
| VANGUARD S&P 500 ETF | ETF | 4K | 10K | – |
| ABERDEEN STANDARD PHYSICAL PRECIOUS METALS BASKET SHARES ETF | ETF | 24 | 262 | – |
| CORTEVA INC COM | Stock | 9 | 185 | – |
| ION GEOPHYSICAL CORP COM NEW | Stock | 0 | 8 | – |
| AMPLIFY SEYMOUR CANNABIS ETF | ETF | 270 | 21K | – |
| XP INC CL A | Stock | 1 | 16 | – |
| OPEN TEXT CORP COM | Stock | 1 | 18 | – |
| DUKE ENERGY CORP NEW COM NEW | Stock | 6 | 61 | – |
| XEROX HOLDINGS CORP COM NEW | Stock | 0 | 20 | – |
| CARRIER GLOBAL CORPORATION COM | Stock | 0 | 10 | – |
| BROOKFIELD INFRASTRUCTURE CORP COM SB VTG SHS A | Stock | 0 | 6 | – |
| AFLAC INC COM | Stock | 18 | 267 | – |
| FREEPORT-MCMORAN INC CL B | Stock | 16 | 400 | – |
| INVESCO S&P 500 LOW VOLATILITY ETF | ETF | 3 | 50 | – |
| SHIFT4 PMTS INC CL A | Stock | 14 | 280 | – |
| AMERICAN ELEC PWR CO INC COM | Stock | 13 | 145 | – |
| BLACKROCK DEBT STRATEGIES FD I COM NEW | CEF | 17 | 2K | – |
| BROWN FORMAN CORP CL B | Stock | 10 | 141 | – |
| FULLER H B CO COM | Stock | 2 | 28 | – |
| PROSHARES SHORT HIGH YIELD | ETF | 164 | 9K | – |
| NEW JERSEY RES CORP COM | Stock | 11 | 265 | – |
| FIRST EAGLE ALTR CAP BDC INC COM | CEF | 2 | 500 | – |
| VIATRIS INC COM | Stock | 2 | 104 | – |
| FRANCO NEV CORP COM | Stock | 168 | 1K | – |
| CONCENTRIX CORP COM | Stock | 1 | 3 | – |
| SCHWAB US DIVIDEND EQUITY ETF | ETF | 3K | 34K | – |
| COGNYTE SOFTWARE LTD ORD SHS | Stock | 0 | 29 | – |
| COINBASE GLOBAL INC COM CL A | Stock | 2 | 10 | – |
| TRACTOR SUPPLY CO COM | Stock | 9 | 39 | – |
| BITWISE CRYPTO INDUSTRY INNOVATORS ETF | ETF | 650 | 37K | – |
| ORGANON & CO COMMON STOCK | Stock | 1 | 17 | – |
| VISA INC COM CL A | Stock | 17 | 75 | – |
| WENDYS CO COM | Stock | 4 | 159 | – |
| ROUNDHILL BALL METAVERSE ETF | ETF | 409 | 32K | – |
| CANNABIS GROWTH ETF | ETF | 648 | 57K | – |
| KELLOGG CO COM | Stock | 3 | 46 | – |
| INVESCO S&P 500 GARP ETF | ETF | 1K | 14K | – |
| KYNDRYL HLDGS INC COMMON STOCK | Stock | 2 | 100 | – |
| VANGUARD VALUE INDEX FUND | ETF | 472 | 3K | – |
| VANGUARD GROWTH INDEX FUND | ETF | 101 | 351 | – |
| NUVEEN PFD & INCM SECURTIES FD COM | CEF | 21 | 2K | – |
| MID-AMER APT CMNTYS INC COM | REIT | 4 | 18 | – |
| IRON MTN INC NEW COM | REIT | 4 | 100 | – |
| BANCO SANTANDER S.A. ADR | ADR | 0 | 45 | – |
| VANECK MORNINGSTAR WIDE MOAT ETF | ETF | 581 | 8K | – |
| COCA-COLA EUROPACIFIC PARTNERS SHS | Stock | 29 | 500 | – |
| PALO ALTO NETWORKS INC COM | Stock | 19 | 37 | – |
| ANI PHARMACEUTICALS INC COM | Stock | 13 | 327 | – |
| FLEXSHARES GLOBAL UPSTREAM NATURAL RESOURCES INDEX FUND | ETF | 250 | 6K | – |
| INVESCO S&P 500 TOP 50 ETF | ETF | 78 | 225 | – |
| MONDELEZ INTL INC CL A | Stock | 0 | 3 | – |
| BUILDERS FIRSTSOURCE INC COM | Stock | 8 | 108 | – |
| PRO-DEX INC COLO COM NEW | Stock | 1 | 25 | – |
| PENTAIR PLC SHS | Stock | 0 | 7 | – |
| D R HORTON INC COM | Stock | 7 | 84 | – |
| JOHNSON CTLS INTL PLC SHS | Stock | 8 | 125 | – |
| METLIFE INC COM | Stock | 14 | 200 | – |
| TELEFONICA S A SPONSORED ADR | ADR | 1 | 136 | – |
| ENBRIDGE INC COM | Stock | 4 | 105 | – |
| NVIDIA CORPORATION COM | Stock | 7 | 29 | – |
| EATON VANCE TAX-MANAGED DIVERS COM | CEF | 2 | 152 | – |
| ABBVIE INC COM | Stock | 25 | 176 | – |
| NORTHFIELD BANCORP INC DEL COM | Stock | 8 | 500 | – |
| OMNICELL COM COM | Stock | 1 | 8 | – |
| INVESCO FINANCIAL PREFERRED ETF | ETF | 2 | 130 | – |
| FIRST TRUST PREFERRED SECURITIES AND INCOME ETF | ETF | 68 | 3K | – |
| BLACKSTONE INC COM | Stock | 94 | 728 | – |
| KAMAN CORP COM | Stock | 1 | 37 | – |
| T-MOBILE US INC COM | Stock | 13 | 103 | – |
| BLACKSTONE MTG TR INC COM CL A | REIT | 22 | 706 | – |
| GENERAL DYNAMICS CORP COM | Stock | 21 | 100 | – |
| MCDONALDS CORP COM | Stock | 34 | 132 | – |
| CISCO SYS INC COM | Stock | 11 | 190 | – |
| ADVANCED MICRO DEVICES INC COM | Stock | 12 | 93 | – |
| AT&T INC COM | Stock | 59 | 2K | – |
| GENERAL ELECTRIC CO COM NEW | Stock | 0 | 1 | – |
| ISHARES MSCI USA QUALITY FACTOR ETF | ETF | 1K | 11K | – |
| CNH INDL N V SHS | Stock | 2 | 153 | – |
| CHARTER COMMUNICATIONS INC NEW CL A | Stock | 6 | 10 | – |
| PROSHARES S&P 500 DIVIDEND ARISTOCRATS ETF | ETF | 10 | 103 | – |
| SKYWORKS SOLUTIONS INC COM | Stock | 10 | 70 | – |
| FIDELITY MSCI CONSUMER STAPLES INDEX ETF | ETF | 0 | 0 | – |
| ISHARES CORE S&P 500 ETF | ETF | 966 | 2K | – |
| ENI S P A SPONSORED ADR | ADR | 12 | 400 | – |
| ISHARES PREFERRED AND INCOME SECURITIES ETF | ETF | 49 | 1K | – |
| IDEXX LABS INC COM | Stock | 4 | 8 | – |
| JPMORGAN CHASE & CO COM | Stock | 105 | 671 | – |
| CHEVRON CORP NEW COM | Stock | 23 | 171 | – |
| ALBEMARLE CORP COM | Stock | 15 | 67 | – |
| BK OF AMERICA CORP COM | Stock | 10 | 212 | – |
| EXTRA SPACE STORAGE INC COM | REIT | 8 | 40 | – |
| FIRST TRUST NASDAQ RISING DIVIDEND ACHIEVERS FUND | ETF | 2K | 37K | – |
| INTERNATIONAL BUSINESS MACHS COM | Stock | 0 | 3 | – |
| RAYTHEON TECHNOLOGIES CORP COM | Stock | 1 | 10 | – |
| PFIZER INC COM | Stock | 10 | 200 | – |
| ALPHABET INC CAP STK CL C | Stock | 11 | 4 | – |
| AMERICAN EXPRESS CO COM | Stock | 43 | 220 | – |
| APPLIED MATLS INC COM | Stock | 4 | 28 | – |
| OTIS WORLDWIDE CORP COM | Stock | 0 | 4 | – |
| ARES MANAGEMENT CORPORATION CL A COM STK | Stock | 12 | 156 | – |
| QUANEX BLDG PRODS CORP COM | Stock | 0 | 3 | – |
| ISHARES CORE U.S. AGGREGATE BOND ETF | ETF | 0 | 3 | – |
| ISHARES CORE DIVIDEND GROWTH ETF | ETF | 907 | 17K | – |
| BROOKFIELD INFRAST PARTNERS LP LP INT UNIT | Stock | 3 | 55 | – |
| XOMA CORP DEL COM NEW | Stock | 0 | 5 | – |
| ESSENTIAL UTILS INC COM | Stock | 1 | 19 | – |
| ETFMG PRIME CYBER SECURITY ETF | ETF | 1 | 16 | – |
| CIENA CORP COM NEW | Stock | 2 | 28 | – |
| NATIONAL RETAIL PROPERTIES INC COM | REIT | 18 | 431 | – |
| COMMUNITY BK SYS INC COM | Stock | 1 | 15 | – |
| EZCORP INC CL A NON VTG | Stock | 7 | 1K | – |
| GABELLI EQUITY TR INC COM | CEF | 3 | 400 | – |
| GABELLI UTIL TR COM | CEF | 0 | 40 | – |
| GARTNER INC COM | Stock | 12 | 39 | – |
| IDACORP INC COM | Stock | 1 | 5 | – |
| BIOSIG TECHNOLOGIES INC COM NEW | Stock | 6 | 4K | – |
| RESTAURANT BRANDS INTL INC COM | Stock | 2 | 38 | – |
| PHILIP MORRIS INTL INC COM | Stock | 42 | 406 | – |
| HACKETT GROUP INC COM | Stock | 2 | 99 | – |
| SAFEGUARD SCIENTIFICS INC COM NEW | Stock | 0 | 1 | – |
| PNC FINL SVCS GROUP INC COM | Stock | 0 | 1 | – |
| REALTY INCOME CORP COM | REIT | 25 | 365 | – |
| ALTRIA GROUP INC COM | Stock | 16 | 312 | – |
| CITIGROUP INC COM NEW | Stock | 18 | 274 | – |
| EXXON MOBIL CORP COM | Stock | 42 | 523 | – |
| TRAVELERS COMPANIES INC COM | Stock | 6 | 35 | – |
| LOWES COS INC COM | Stock | 8 | 35 | – |
| ARK NEXT GENERATION INTERNET ETF | ETF | 12 | 130 | – |
| ON SEMICONDUCTOR CORP COM | Stock | 9 | 130 | – |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | REIT | 8 | 135 | – |
| COLGATE PALMOLIVE CO COM | Stock | 6 | 78 | – |
| G III APPAREL GROUP LTD COM | Stock | 22 | 790 | – |
| EATON VANCE ENHANCED EQUITY IN COM | CEF | 22 | 1K | – |
| NASDAQ INC COM | Stock | 7 | 42 | – |
| SCHWAB CHARLES CORP COM | Stock | 22 | 232 | – |
| LUMENTUM HLDGS INC COM | Stock | 1 | 7 | – |
| CBRE GROUP INC CL A | Stock | 3 | 31 | – |
| SPX FLOW INC COM | Stock | 3 | 35 | – |
| APPLE INC COM | Stock | 116 | 663 | – |
| GLAXOSMITHKLINE PLC SPONSORED ADR | ADR | 16 | 350 | – |
| SPX CORP COM | Stock | 2 | 34 | – |
| DISNEY WALT CO COM | Stock | 281 | 2K | – |
| INVESCO PREFERRED ETF | ETF | 61 | 4K | – |
| MFS INTER INCOME TR SH BEN INT | CEF | 5 | 2K | – |