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- Custodian
- Charles Schwab & Company
- Clients
- Retail and Institutional
- Platforms
- Available in AdvizorPro
- Established Date
- 07-12-2006
- Office Locations
- 1
Office Locations
About Castle Rock Investment Company
Castle Rock Investment Company runs Castle Rock PEP, an outsourced pooled employer 401(k) plan for employers of all sizes, handling administration, compliance, and investment oversight with fiduciary support. Offers personalized investment advice and access to institutional-style lineups (QDIA uses Vanguard Target Retirement Funds), plus free financial planning software. One annual audit is covered by Slavic401k; no commissions or hidden fees.
Reported data analysis
What the numbers show
Between February 23, 2023 and December 10, 2024, reported AUM decreased 28.2%, from $100.5M to $72.1M.
Across 5 reported observations, AUM decreased 31.3% between August 3, 2020 and December 10, 2024, from $105.0M to $72.1M.
Of the latest reported AUM, 13.3% is discretionary and 86.7% is non-discretionary.
The firm reports 1 advisory representatives and 8 clients, or 8 clients per representative. That equates to $6.4M in reported AUM per client.
The profile lists 1 reported office location and 20 years in operation. The source data was last updated on January 28, 2026. Figures reflect reported regulatory data and may not include subsequent changes.
Team overview
Additional firm insights
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Available data coverage
- Asset Classes
- Client Personas
- CRM
- Custodian
- Investment Themes
- Investment Vehicles
- Services
- Technology
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The full Castle Rock Investment Company record includes the detailed values behind these data categories, along with filters and export-ready prospecting fields.
Owner & Executives
MICHELE LOUISE SURIANO
Branch Manager, Chief Compliance Officer
- CRD
- #4067251
- Ownership
- 75% or more
Showing 1 of 1 owners & executives
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| Category | Assets | AVG. Account size |
|---|---|---|
| Discretionary | $12,575,836 | $1,375,090 |
| Non-Discretionary | $38,462,476 | $7,811,153 |
| Total | $51,038,312 | $4,807,657 |
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Separately Managed Accounts
SMA allocation detail is available
Castle Rock Investment Company has reported separately managed account data across 4 asset classes. AdvizorPro provides the associated asset values, allocation percentages, and exportable breakdown.