Castle Wealth Planning Llc
- Regulatory AUM
- $236M
- Discretionary
- $203M
- Clients
- 111
- Avg AUM / client
- $2.1M
- Accounts
- 355
- Employees
- 3
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 57 | $23.5M | 9.95% |
| High net worth individuals | 54 | $176M | 74.6% |
| Pension and profit sharing plans | Fewer than 5 clients | $26.3M | 11.1% |
| Charitable organizations | Fewer than 5 clients | $10.3M | 4.34% |
| Corporations and other businesses | Fewer than 5 clients | $2.5K | 0.0% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Nathan Edward Cultice | Chief Compliance Officer, President, Managing Member | CFP | Aug 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.04 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THIS MATTER INVOLVES CASTLE WEALTH'S FAILURE TO FILE WITH THE COMMISSION AND TO DELIVER TO RETAIL INVESTOR CLIENTS ITS FORM CRS. CASTLE WEALTH WAS REQUIRED TO FILE ITS INITIAL FORM CRS WITH THE COMMISSION AS PART 3 OF ITS FORM ADV AND TO BEGIN DELIVERING ITS FORM CRS TO PROSPECTIVE AND NEW RETAIL INVESTOR CLIENTS, AS APPLICABLE, BY JUNE 30, 2020. CASTLE WEALTH WAS FURTHER REQUIRED TO DELIVER ITS FORM CRS TO EXISTING RETAIL INVESTOR CLIENTS BY JULY 30, 2020. THE FIRM FAILED TO FILE AND DELIVER FORM CRS BY THESE DEADLINES, NOT BECOMING COMPLIANT UNTIL IN OR AFTER LATE JANUARY 2021. AS A RESULT, CASTLE WEALTH VIOLATED ADVISERS ACT SECTION 204 AND RULES 204-1 AND 204-5 THEREUNDER. Status: Final Sanction Detail: MONETARY PENALTY OF $25,000 WAS PAID IN WHOLE BY THE FIRM ON AUGUST 3, 2021, NO PORTION OF THE PENALTY WAS WAIVED. Summary: THE MATTER WAS RESOLVED FOLLOWING THE PAYMENT OF THE CIVIL MONETARY PENALTY ON AUGUST 3, 2021.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
Custody
Reported custodians
- Charles Schwab & Co. $194M (82% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having 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: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗