SourcingSourcing

CASTLE ROCK ADVISORS LLC

C35
CRD 331429·SEC 801-130907·BOSTON, MA
AUM
$2.38B
$1B+
Est. Revenue
$23.8M
@ 1% on AUM
Est. EBITDA
$7.2M
@ 30% margin
Est. Deal Value
$57.2M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
CASTLE ROCK ADVISORS LLC
CRD
331429
SEC file #
801-130907
EIN
—
DBA names
—

Economics

AUM
$2.38B
AUM band
$1B+
AUM trajectory
'25'26
$1.59B → $2.38B▲ +49%
Client mix
Individuals High Net Worth37
Pooled Investment Vehicles6
Charitable Organizations3

Operations

Employees (total)
33
Advisory staff (per ADV)
27
Advisory staff (5-yr trend)
'25'26
27 advisors → 27 advisors▬ 0%
Primary office
BOSTON MA
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — pooled vehiclesSelection of other advisers
Fee basis
% of AUMOther Compensation

Filings

Latest ADV filing
04/17/2026
ADV-W filed at
—
Website
—

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
CASTLE ROCK ADVISORS HOLDINGS LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
13
Control Persons
CASTLE ROCK ADVISORS HOLDINGS LLC
ASCIONE, MICHAEL, CARL
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (8)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
0
Bc Firm IAR Count
0
Custodian Candidates
Full
Fidelity16
Charles Schwab12
E*trade4
Firm Has Custody
Yes
Mailing Office Differs
No
Trust Company Affiliate
Yes

People (12)

12
ASCIONE, MICHAEL, CARL
Executive Officer · 2.5%
6025317
CALLAGHAN, KEVIN, THOMAS
Executive Officer · 2.5%
6025464
CARBONNEAU, DANIEL, PAUL
Executive Officer · 2.5%
7938049
HADLEY, CHRISTOPHER, JOHN
Executive Officer · 2.5%
6025469
JONES, ROSS, MARSHALL
Executive Officer · 2.5%
2253855
MUSSLEWHITE, SHARLYN, CARTER
Executive Officer · 2.5%
6025473
SEETHARAM, ANIL, NMN
Executive Officer · 2.5%
6313858
SMALL, ROBERT, JOSHUA
Executive Officer · 2.5%
6025479
SWEENY, MICHAEL, BUCKNER
Executive Officer · 2.5%
2927927
ACKERMAN, REUBEN, BENJAMIN
Executive Officer · 2.5%
6002571
MARTINEZ TORRES, BERTTY
Executive Officer · 2.5%
6558194
Souza, Eric, R
Executive Officer · 2.5%
7089097