Castle Rock Wealth Management, LLC

Castle Rock Wealth Management, LLC, established in 2015, is a California-based firm offering asset management and investment consulting services to various clients, including individuals, high net worth individuals, trusts, estates, charitable organizations, and businesses. As a fiduciary, the firm is committed to acting in the best interest of clients. Services include Comprehensive Portfolio Management, Financial Planning & Consulting, and Retirement Plan Consulting. The firm may utilize Third Party Money Managers in client accounts and offers a range of investment strategies such as long-term purchases, short-term purchases, trading, short sales, margin transactions, and option writing. For Comprehensive Portfolio Management, fees are capped at 1.65% annually, billed quarterly in advance. Financial Planning & Consulting fees are based on a percentage of assets under advisement, not exceeding 1.00%. Retirement Plan Consulting fees are also percentage-based, not exceeding 1.25%. Clients may direct brokerage outside the firm's recommendation, potentially impacting transaction costs. The firm does not receive soft dollars in excess of legal limits and does not provide cash or non-cash compensation for client referrals. Castle Rock Wealth Management does not have custody of client funds or securities and manages accounts on a discretionary basis. The firm does not accept proxy authority to vote client securities. Financial information is not provided due to specific criteria not being applicable.