Castle Wealth Planning
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$199,879,198
Clients
111
49% high-net worth
Advisors
1
of 3 employees
Firm type
Supported
1-3 advisors or $200M+ in AUM
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
111
Very HighAverage account size
$1,800,713
About
Castle Wealth Planning provides investment advisory and planning services to individuals (including high‑net‑worth clients), trusts, estates, charitable organizations, corporations and retirement plan sponsors. Services disclosed in the brochure include comprehensive portfolio management, standalone financial planning and consulting, retirement plan consulting, and portfolio monitoring, with planning work that can cover estate, tax, charitable, real estate and lines‑of‑credit evaluations.
The firm describes an individualized portfolio process that combines fundamental analysis, long‑ and short‑term security selection, and continuous monitoring and rebalancing. Portfolios may include ETFs, mutual funds, individual equities and bonds, options (including covered and uncovered writing), private equity and cryptocurrency trusts, and the firm discloses that some option strategies can require margin or additional funding and that it may request margin payments when needed.
Noteworthy aspects of the firm include reported assets under management of roughly $236 million, a level that produces materially higher AUM per advisor compared with most supported peers. The brochure also discloses a prior SEC administrative action related to Form CRS filing and delivery requirements (resulting in censure and a $25,000 penalty) and notes that the firm no longer accepts proxy voting authority for client accounts.
Client services
Financial planning
Portfolio management
Pension consulting
Expertise
Options & derivatives strategies
Private / alternative investments
Cash flow / budgeting
College savings (529s, UTMA, etc.)
Fee options
Up to $10,000 for financial planning and consulting services
Up to $250 per hour for financial planning and consulting services
Account minimum: $250,000 Fee-only: Hourly fees up to $250/hour; flat fees up to $10,000 for financial planning; flat fee retainers not exceeding $1,200 when services cannot be rendered within 6 months
Main office location
Castle Wealth Planning
1105 Chapala St., Ste. 4
Santa Barbara CA 93101, United States
Number of offices
1
Most active in
Castle Wealth Planning has reported serving >5 clients in these states in the last 12 months.
California · New York · Texas · Washington
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
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.
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