Castle Rock Financial Planning, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Total assets under management
$49,299,628
Total clients
89
25% high-net worth
Total advisors
1
of 2 employees
Firm size
Supported
1-3 advisors or $200M+ in AUM
Average clients per advisor
89
Average account size
$553,928
About
Castle Rock Financial Planning serves individuals — including high-net-worth clients — as well as trusts and estates, offering personalized financial planning and discretionary portfolio management. Its services cover retirement, tax, estate, insurance, education funding, cash-flow analysis, and implementation support through custodial brokerage accounts.
The firm operates as a fee-only fiduciary and places trades under a limited power of attorney while recommending a qualified custodian for asset custody and execution. Investment programs are built from stocks, bonds, mutual funds, and ETFs and are monitored through regular account reviews and periodic client meetings to track progress against documented goals.
Compared with many peers, Castle Rock is a single-advisor practice led by a principal with advanced professional credentials (CFA, CFP, AIF) and uses fee arrangements beyond a pure percentage-of-assets model, including project-based planning and flat periodic advisory fees that can be tailored to client complexity. The firm does not accept commissions, makes clear that it has constructive custody through automatic fee deduction, and expects clients to retain proxy voting authority rather than voting securities on their behalf.
Client services
Expertise
Fee options
Financial plan project fees range from $4,000 to $6,000; quarterly flat fees vary by client circumstances and asset levels
under $1 million - $1 million: flat quarterly fee up to $10,000 $1 million - $2 million: flat quarterly fee $8,000 to $20,000 $3 million - $5 million: flat quarterly fee $15,000 to $35,000 over $5 million+: minimum flat quarterly fee $30,000
Hourly fee ranges from $150 to $300 depending on services and individual providing the service
Minimum fee: Minimum quarterly advisory fee of $1,250 (equivalent to $5,000 annually) Fee-only: Flat quarterly fee based on complexity and investable assets; project fees $4,000 to $6,000 for financial plans; hourly fees $150 to $300
Main office location
Castle Rock Financial Planning, Inc.
2267 Waters Drive
Mendota Heights MN 55120, United States
Number of offices
1
Most active in
Minnesota
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Quick links
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