Castle Rock Advisors Llc
- Regulatory AUM
- $2.4B
- Discretionary
- $349M
- Clients
- 46
- Avg AUM / client
- $51.8M
- Accounts
- 46
- Employees
- 33
AUM over time
Annual snapshots from Form ADV filings · as of Apr 17, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| High net worth individuals | 37 | $2.0B | 82.1% |
| Pooled investment vehicles (non-investment companies) | 6 | $349M | 14.6% |
| Charitable organizations | 3 | $77.4M | 3.25% |
People (10)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Ackerman, Reuben, Benjamin | Chief Compliance Officer | May 2024 (2y) | Less than 5% | |
| Bring, Kenneth, Scott | Chief Financial Officer | May 2024 (2y) | Less than 5% | |
| Carbonneau, Daniel, Paul | Partner | May 2024 (2y) | Less than 5% | |
| Hadley, Christopher, John | Executive Officer | May 2024 (2y) | Less than 5% | |
| Jones, Ross, Marshall | Executive Officer | May 2024 (2y) | Less than 5% | |
| Musslewhite, Sharlyn, Carter | General Counsel | May 2024 (2y) | Less than 5% | |
| Small, Robert, Joshua | Executive Officer | May 2024 (2y) | Less than 5% | |
| Sweeny, Michael, Buckner | Chief Investment Officer | May 2024 (2y) | Less than 5% | |
| Souza, Eric, R | Chief Technology Officer And Ciso | May 2024 (2y) | Less than 5% | |
| Thompson, Terry, H | Chief Operating Officer | May 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Castle Rock Advisors Holdings Llc | Managing Member | May 2024 | A | 50% – 75% |
| Berkshire Partners Holdings Llc | General Partner | Jan 2014 | B | ≈ 25% – 56.25% via Castle Rock Advisors Holdings Llc |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Berkshire Partners Holdings Llc: 50% – 75% of Castle Rock Advisors Holdings Llc × 50% – 75% direct ≈ 25% – 56.25% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/17/2026 | 2.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • COST REIMBURSEMENT
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Selection of other advisers
Custody
Reported custodians
- Goldman Sachs $608M (38% of AUM) Jun 2025
- Fidelity Brokerage Services $447M (19% of AUM) Apr 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Apr 17, 2026.
View current Form ADV (SEC/IAPD) ↗