Castle Asset Management, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Castle Asset Management, LLC provides personalized financial planning, portfolio management, pension consulting and financial consulting to individuals and institutional clients, including pension and profit‑sharing plans, trusts, estates, and small businesses. Its advisory services include modular written financial plans, ongoing portfolio oversight, and participant education for employee benefit plans.
The firm applies long‑term and income‑focused strategies alongside fundamental and technical analysis within a modern portfolio theory framework, and may implement allocations through third‑party programs such as Matson Money and mutual fund series. While it offers discretionary management, its disclosures show a predominantly non‑discretionary orientation — $1,170,601 in continuous non‑discretionary assets managed and an additional $38,434,000 reported under advisement on a non‑continuous basis — with client accounts custodied at Interactive Brokers.
Noteworthy distinctions include that firm personnel are licensed insurance agents and the firm accepts commissions for insurance products, a practice the brochure discloses as a potential conflict of interest relative to advisory fees. The firm is small (two advisors serving nine clients) and does not report serving high‑net‑worth individuals, a client profile that differs from many peers.
Client services
Expertise
Occupation focus
Fee options
Financial planning fixed fees from $600 to $10,000 depending on scope; Health and Welfare Consulting $3,500; Pension Consulting $1,500 and negotiable
0.75% - 1.0% annually
Commissions vary for insurance products sold by licensed agents affiliated with the firm
$250 per hour for financial planning and consulting services
Minimum fee: Financial planning fixed fees range from $600 to $10,000; hourly fee $250/hour
Main office
64 Lafayette Rd, Suite 8
North Hampton NH 03862
Advisors at this office
2
Most active in
Massachusetts · New Hampshire
Also doing business as
Castle Asset Management L.L.C. · Castle Asset Management, LLC
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Tracy M
Series 63, Series 65
North Hampton, NH
Castle Asset Management, LLC
Tracy Middleton is a financial advisor at Castle Asset Management, LLC with seven years of industry experience. He holds Series 63 and Series 65 licenses and has been with Castle Asset Management since 2017. Castle Asset Management provides financial planning, portfolio management, and pension consulting primarily to non-high-net-worth individuals, pension and profit-sharing plans, trusts, estates, and small businesses. The firm uses a combination of income-focused and long-term purchase strategies supported by fundamental and technical analysis and modern portfolio theory.
Barry D
Series 63, Series 65
North Hampton, NH
Castle Asset Management, LLC
Barry Dyke is a financial advisor at Castle Asset Management, LLC with 24 years of industry experience. He holds Series 63 and Series 65 licenses and has been involved in pension consulting and insurance since the early 1980s. In addition to his advisory work, he is active in life, disability insurance, and annuity sales. Castle Asset Management provides financial planning, portfolio management, and pension consulting primarily for individuals, pension and profit-sharing plans, trusts, estates, and small businesses. The firm uses a combination of income-focused and long-term purchase strategies supported by fundamental and technical analysis, managing assets mainly on a non-discretionary basis.
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