Wealth manager, independent · Boston, MA
Castle Rock Advisors LLC
SEC-registered investment adviser · CRD 331429 · SEC 801-130907
At a glance
Castle Rock Advisors LLC is an SEC-registered investment adviser based in Boston, Massachusetts, with $3.9B in regulatory assets under management as of its Form ADV filed August 6, 2026. It reports 37 individual clients, 37 of them high-net-worth, holding an average of about $73 million each, and 33 employees. That ranks it 287th among the nation’s 5,657 independent wealth management RIAs and 20th of 202 in Massachusetts. It reports Fidelity as the custodian for its clients’ separately managed accounts.
Up $1.5B from $2.4B in its previous filing; rank 476 → 287. This month’s movers →
Main office 617-227-0050As filed on Form ADV
- Regulatory AUM
- $3.9B
- Rank among independent wealth managers
- #287 of 5,657
- Rank among all SEC RIAs
- #2,465 of 17,210
- Rank in Massachusetts
- #20 of 202
- Individual clients
- 37
- High-net-worth clients
- 37
- Accounts
- 46
- Discretionary
- 27% of AUM
- Employees
- 33
- Advisory staff
- 27
- Offices
- 1
Owners and executives on its Form ADV
- Reuben B. AckermanChief Compliance Officer
- Eric R SouzaChief Technology Officer and Ciso
- Sharlyn C. MusslewhiteGeneral Counsel
- Robert J. SmallExecutive Officer
- Ross M. JonesExecutive Officer
- Christopher J. HadleyExecutive Officer
- Michael B. SweenyChief Investment Officer
- Daniel P. CarbonneauPartner
- Anil N. SeetharamExecutive Officer
- Kevin T. CallaghanExecutive Officer
- Bertty Martinez TorresChief Financial Officer
- Michael C. AscioneExecutive Officer
Custody and brokerage
Broker-dealer
No broker-dealer ties
Castle Rock Advisors LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 37 | $2.7B | 70% |
| Pooled investment vehicles | 6 | $1.1B | 27% |
| Charitable organizations | 3 | $91M | 2% |
Private funds
Castle Rock Advisors LLC reports 6 private funds with $632M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Castle Rock Advisors LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for pooled investment vehicles
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Castle Rock Advisors LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 2 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 1,064 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 12 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Similar-size RIAs in Massachusetts
All of Massachusetts →| Firm | Regulatory AUM | Clients |
|---|---|---|
| New England Private Wealth Advisors, LLCWellesley | $5.1B | 376 |
| Twin Focus Capital Partners, LLCBoston | $4.6B | 75 |
| Reynders, McVeigh Capital Management, LLCBoston | $4.2B | 704 |
| St. Germain Investment ManagementSpringfield | $3.8B | 6,461 |
| Beaumont Financial PartnersNeedham | $3.8B | 1,898 |
| Howland Capital Management LLCBoston | $3.7B | 1,270 |
Background
Questions
How much does Castle Rock Advisors LLC manage?
Castle Rock Advisors LLC reports $3.9B in regulatory assets under management across 46 accounts, 27% of it on a discretionary basis, on its Form ADV filed August 6, 2026.
How many clients does Castle Rock Advisors LLC have?
It reports 37 individual clients: 37 high-net-worth individuals and 0 other individuals. Individuals account for about 70% of its regulatory assets.
Where is Castle Rock Advisors LLC headquartered?
Its main office is in Boston, Massachusetts. It reports 1 office in total and 33 employees, 27 of whom perform investment advisory functions.
How does Castle Rock Advisors LLC charge clients?
On Form ADV it lists these forms of compensation: a percentage of assets under management; other. Fees and minimums are set out in its Form ADV Part 2A brochure, available on the SEC’s adviser search.
What custodian does Castle Rock Advisors LLC use?
It reports Fidelity as the custodian for its clients’ separately managed accounts. On Schedule D of its Form ADV filed August 6, 2026, it reports these amounts held: Fidelity ($1.0B). Form ADV lists only custodians holding 10% or more of separately managed account assets.
Is Castle Rock Advisors LLC a hybrid RIA with a broker-dealer?
Castle Rock Advisors LLC reports no employees registered with a broker-dealer and no affiliated broker-dealer.
Is Castle Rock Advisors LLC a fiduciary?
As an SEC-registered investment adviser, Castle Rock Advisors LLC owes its advisory clients a fiduciary duty under the Investment Advisers Act of 1940, which includes duties of care and loyalty. It reports no employees who are registered representatives of a broker-dealer.
Where these numbers come from
Every figure is Castle Rock Advisors LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-06), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Its national rank compares it with every US-based independent wealth management RIA, the same field as The Largest RIAs. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →