Castle Rock Investment Company

Castle Rock Investment Company, established in 2006 by Michele L. Suriano, is an independently woman-owned and operated registered investment adviser specializing in advising on workplace retirement plans. The firm offers tailored investment advisory services primarily recommending mutual funds, exchange-traded funds, stable value contracts, and money market demand accounts. Castle Rock can serve as a 3(38) or 3(21) investment adviser, providing discretionary or non-discretionary investment advice based on client needs. The firm's investment strategies include modern portfolio theory and strategic asset allocation, focusing on long-term portfolio performance and diversification. Clients have the option to specify restrictions on their investments. As of December 31, 2024, Castle Rock managed approximately $61,008,582 on a non-discretionary basis and $9,153,911 on a discretionary basis. Fees are negotiable and can be based on assets under management or a flat fee structure, with a minimum quarterly fee of $1,500. The firm does not charge performance-based fees and does not engage in side-by-side management. Castle Rock serves U.S. corporate, governmental, and non-governmental tax-exempt defined contribution retirement plans, foundations, and individual investors with no minimum account balance requirement. Michele L. Suriano, the President, has a Bachelor of Science in Applied Economics and holds various industry designations. The firm's Code of Ethics ensures high standards of business conduct and fiduciary duty to clients. Michele L. Suriano has a clean disciplinary record and does not engage in any other business activities or receive additional compensation for advisory services. The firm does not provide custody services and does not vote proxies on behalf of clients. Clients receive quarterly written reports and ongoing meetings with a representative. Michele L. Suriano supervises all activities at the firm and adheres to industry regulations and the firm's written supervisory procedures and code of ethics.