Castle Rock Investment Company
- Regulatory AUM
- $51.0M
- Discretionary
- $12.6M
- Clients
- 8
- Avg AUM / client
- $6.4M
- Accounts
- 21
- Employees
- 1
AUM over time
Annual snapshots from Form ADV filings · as of Jan 28, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | $3.4M | 6.69% |
| Pension and profit sharing plans | 8 | $40.6M | 79.5% |
| Charitable organizations | Fewer than 5 clients | $7.1M | 13.9% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Shippers Automotive Group 401(k) Plan Shippers Automotive Group, Llc | 2024 | |
| Chuck Latham Associates, Inc. Ps Plan Chuck Latham Associates, Inc. | 2024 |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Michele Louise Suriano | Cco | Apr 2006 (20y) | 75% or more |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
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.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Shippers Automotive Group 401(k) Plan | Shippers Automotive Group, Llc | 253 | $8.1M | 01/01/2024 |
| Chuck Latham Associates, Inc. Ps Plan | Chuck Latham Associates, Inc. | 105 | $6.7M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 01/28/2026 | 1 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
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Reported custodians
- Vanguard Marketing Corporation $36.0M (36% of AUM) Feb 2023
- Lincoln Financial Securities Corporation $25.6M (35% of AUM) Dec 2024
- Charles Schwab & Co. $22.0M (43% of AUM) Jan 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have 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: Jan 28, 2026.
View current Form ADV (SEC/IAPD) ↗