Top financial advisors in Castle Rock, CO
We’ve curated a list of the best financial advisors in Castle Rock, take a look at it below.
| # | Company | Assets under management | Number of advisors | |
|---|---|---|---|---|
| 1 |
Assets under management
$235,485,777
Number of advisors
6 advisors
| $235,485,777 | 6 advisors | |
| 2 |
Assets under management
$215,455,547
Number of advisors
5 advisors
| $215,455,547 | 5 advisors | |
| 3 |
Assets under management
$7,343,050
Number of advisors
2 advisors
| $7,343,050 | 2 advisors |
Commitment
We’ve gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don’t directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Methodology
To generate our top financial advisors list in Castle Rock, we have carried out some rigorous research. First, we’ve analysed data in the SEC database to filter advisors by location, in this case Castle Rock. Then we’ve filtered out any advisors that do not offer financial advice, for example if they only offer mortgage advice we have excluded them from the list. Then we’ve ranked the remainder according to the amount of assets under management.
Jackson Creek Investment Advisors LLC
Jackson Creek Investment
$235,485,777 under management
6 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Services offered
Financial Planning ServicesPortfolio Management For Individuals And/or Small BusinessesPortfolio Management For Investment CompaniesPortfolio Management For Businesses (other Than Small Businesses) Or Institutional Clients (other Than Registered Investment Companies And Other Pooled Investment Vehicles And)Pension Consulting ServicesConsultingThree Peaks Capital Management, LLC
Three Peaks Capital Management, LLC, established in July 2003, is a registered investment adviser specializing in asset management for various clients, including individuals, high net worth individuals, charitable institutions, and corporations. The firm focuses on investing in fixed income and equity securities, with expertise in the high yield market. Clients can have discretionary or non-discretionary advisory services, with no minimum account size required but sufficient assets needed to utilize their investment strategies. The firm charges fees based on a percentage of assets under management, with a maximum annual advisory fee rate of 1.50%. Three Peaks' investment philosophy emphasizes long-term total return and capital preservation, with strategies including high yield, opportunity growth, and diversified approaches. The firm conducts fundamental, technical, and cyclical analysis, aiming for stable performance across economic cycles. Risks associated with investing in securities are disclosed, including stock market, interest rate, credit, and liquidity risks. Three Peaks follows a Code of Ethics, prohibits personal securities transactions without pre-clearance, and does not participate in performance-based fees. The firm has not had any legal or disciplinary events in the past 10 years. Clients grant investment discretion to Three Peaks, which also handles proxy voting for designated securities. The firm has implemented procedures to safeguard client assets and does not accept prepayment exceeding $1,200 per client.
$215,455,547 under management
5 advisors
Fee structure
A percentage of assets under your management
Services offered
Portfolio Management For Individuals And/or Small BusinessesPortfolio Management For Businesses (other Than Small Businesses) Or Institutional Clients (other Than Registered Investment Companies And Other Pooled Investment Vehicles And)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.
$7,343,050 under management
2 advisors
Fee structure
A percentage of assets under your management
Hourly charges
Fixed fees
Services offered
Financial Planning ServicesPortfolio Management For Individuals And/or Small BusinessesPension Consulting ServicesEducational Seminars/workshops
Commitment
We’ve gathered and simplified publicly available information about financial advisors across the U.S. to help you make informed decisions. While we don’t directly connect you with these listed advisors, we do offer a simple, reliable service to match you with trusted, pre-vetted advisors registered on our platform — saving you time and effort.
Methodology
To generate our top financial advisors list in Castle Rock, we have carried out some rigorous research. First, we’ve analysed data in the SEC database to filter advisors by location, in this case Castle Rock. Then we’ve filtered out any advisors that do not offer financial advice, for example if they only offer mortgage advice we have excluded them from the list. Then we’ve ranked the remainder according to the amount of assets under management.
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