Firm profile

Castle Rock Advisors LLC

BOSTON, MACRD 331429Registration Status: ApprovedEffective since August 9, 2024SEC # 801-130907Latest ADV August 6, 2026

Castle Rock Advisors LLC is an SEC registered investment adviser organized as a limited liability company with a primary office location in Boston, MA. Its latest Form ADV filing, dated August 6, 2026, reports $3.9B in regulatory assets under management, 33 employees, 1 office, and 46 accounts.

Assets Under Management
$3.9B
Employees
33
Offices
1 office
Total Clients
46

Associated firm names

1 name listed
  • CASTLE ROCK ADVISORS LLC

Leadership

3 roles identified
CCOReuben B. Ackerman
CFOBertty Martinez Torres
CIOMichael B. Sweeny

Advisory services offered

4 types reported
Financial Planning Services
Portfolio management for individuals and small businesses
Portfolio management for pooled investment vehicles

Fee models offered

2 types reported
Asset based fees
Other fee arrangements

Offices & Contact

Primary office

BOSTON, Massachusetts, United States

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Primary office regionOther reported regions

Shading shows states and countries with reported offices. Cities are listed below; shading does not indicate service coverage.

Massachusetts

BOSTONPrimary office

1 office records listed · 1 total offices reported. Counts can use different reporting dates. SEC filers may list only their largest 25 additional offices.

Contact and digital presence

ADV profile links
Phone617-227-0050
WebsiteNot found
LinkedInNot found

Regulatory Assets Under Management Breakdown

Total regulatory assets under management$3.9Bas of August 6, 2026
Discretionary27.3%
$1.1B
27% of total RAUM27.3%
Non-discretionary72.7%
$2.8B
73% of total RAUM72.7%
Regulatory assets under management are split between discretionary and non-discretionary assets.

Client Coverage Demographics

Top client segmentHNWI represent 80.4% of total clients.
Top client categories% of clientsClients
1
HNWI
80.4%
37
2
Pooled Investment Vehicles
13.0%
6
3
Charitable
6.5%
3
Categories with <5 clients
Charitable Organizations<5 clients

Assets under management Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total AUM$3.9B
Total Accounts46
10Y AUM Change+$3.9B

Private Funds

Private funds reported by Castle Rock Advisors LLC

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Employee Growth by Quarter

Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.

Total Employees33
Clients per Employee1:1
10Y Employee Change+5 (+17.9%)

Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.


Ownership

Reported direct and indirect ownership ranges

Each range applies to a separate reported relationship and should not be added together.

Reported ownership ranges

Highlighted bands show the percentage range reported in Form ADV.

0%25%50%75%100%
CASTLE ROCK ADVISORS HOLDINGS LLCDirect owner · Schedule AInterest in CASTLE ROCK ADVISORS LLC
75%+
DANIEL PAUL CARBONNEAUDirect owner · Schedule AInterest in CASTLE ROCK ADVISORS LLC
< 5%
BERKSHIRE PARTNERS HOLDINGS LLCIndirect owner · Schedule BInterest in CASTLE ROCK ADVISORS HOLDINGS LLC
75%+

Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Castle Rock Advisors LLC.

Reported ownership and control details

Form ADV · Filing date 2026-08-06 · Schedules A and B

14 entries
#Owner / person & roleInterest in entityReported interestControl personTitle / status acquiredSource
1REUBEN BENJAMIN ACKERMANCHIEF COMPLIANCE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NANoCHIEF COMPLIANCE OFFICER05/2024Schedule APDF page 44
2Eric R SouzaCHIEF TECHNOLOGY OFFICER AND CISOIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NANoCHIEF TECHNOLOGY OFFICER AND CISO05/2024Schedule APDF page 44
3SHARLYN CARTER MUSSLEWHITEGENERAL COUNSELIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesGENERAL COUNSEL05/2024Schedule APDF page 44
4CASTLE ROCK ADVISORS HOLDINGS LLCMANAGING MEMBERDomestic entityCASTLE ROCK ADVISORS LLC75% or moreCode EYesMANAGING MEMBER05/2024Schedule APDF page 44
5ROBERT JOSHUA SMALLEXECUTIVE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesEXECUTIVE OFFICER05/2024Schedule APDF page 44
6ROSS MARSHALL JONESEXECUTIVE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesEXECUTIVE OFFICER05/2024Schedule APDF page 44
7CHRISTOPHER JOHN HADLEYEXECUTIVE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesEXECUTIVE OFFICER09/2025Schedule APDF page 44
8MICHAEL BUCKNER SWEENYCHIEF INVESTMENT OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesCHIEF INVESTMENT OFFICER05/2024Schedule APDF page 44
9DANIEL PAUL CARBONNEAUPARTNERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesPARTNER05/2024Schedule APDF page 44
10ANIL NMN SEETHARAMEXECUTIVE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesEXECUTIVE OFFICER12/2024Schedule APDF page 44
11KEVIN THOMAS CALLAGHANEXECUTIVE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesEXECUTIVE OFFICER12/2024Schedule APDF page 44
12BERTTY MARTINEZ TORRESCHIEF FINANCIAL OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NANoCHIEF FINANCIAL OFFICER05/2025Schedule APDF page 44
13MICHAEL CARL ASCIONEEXECUTIVE OFFICERIndividualCASTLE ROCK ADVISORS LLCLess than 5%Code NAYesEXECUTIVE OFFICER09/2025Schedule APDF page 44
14BERKSHIRE PARTNERS HOLDINGS LLCGENERAL PARTNERDomestic entityCASTLE ROCK ADVISORS HOLDINGS LLC75% or moreCode EYesGENERAL PARTNER01/2014Schedule BPDF page 45

Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.

Compliance & Disclosures

Filing dated 8/6/2026 4:36:17 PM

Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.

RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No

In the past ten years, have you or any advisory affiliate:

  • A1Been convicted of or pleaded guilty or no contest to a felony?No
  • A2Been charged with a felony?No
BMisdemeanors2 No

In the past ten years, have you or any advisory affiliate:

  • B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
  • B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No

Has the SEC or CFTC ever:

  • C1Found you or an advisory affiliate made a false statement or omission?No
  • C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
  • C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No

Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:

  • D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
  • D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
  • D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
  • D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No

Has a self-regulatory organization or commodities exchange ever:

  • E1Found you or an advisory affiliate made a false statement or omission?No
  • E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
  • E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
  • E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
  • FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
  • GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No

(1) Court actions

Has a domestic or foreign court:

  • H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
  • H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
  • H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No

(2) Pending civil proceedings

  • H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No

* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.