Castle Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$1,068,512
Clients
4
Advisors
1
of 1 employees
About
Castle Financial provides investment advisory and financial planning services to individuals and employer-sponsored retirement plans, including pension and profit‑sharing plans. The firm offers ongoing portfolio management, one‑time financial plans, and pension consulting services and currently reports a small client base with approximately $1.07 million in non‑discretionary assets across four clients.
The firm creates individualized Investment Policy Statements and tailors portfolios by goals, time horizon, cash‑flow needs, tax status, held‑away assets, and any client‑imposed ESG or other restrictions, and it may seek discretionary authority to implement investment decisions. Its investment process combines fundamental analysis, modern portfolio theory, and quantitative methods, favors long‑term trading, and generally limits recommendations to mutual funds, ETFs, fixed income securities and TIPS.
Distinctive features disclosed in the brochure include an affiliated licensed insurance practice in which the firm’s principal may receive commissions for insurance sales, a conflict the firm documents and discloses, and a formal pension consulting capability that can act as an ERISA 3(21) adviser or 3(38) investment manager and offers fixed‑fee pension plan creation. The brochure also reports no discretionary AUM at present, reflecting a focus on advisory and consulting relationships and retirement plan lineup services rather than large discretionary asset management.
Client services
Expertise
Fee options
Financial Planning Fees: $1,000 - $5,000; Pension Consulting Plans: $1,000 - $100,000
$0+: Up to 1.00% (Portfolio Management Fees) $0+: Up to 0.75% (Pension Consulting Services Fees)
Main office
Verona WI
Advisors at this office
1
Most active in
Wisconsin
Also doing business as
Castle Financial · Fortifying Your Future 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
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