Castle Financial
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Castle Financial provides discretionary portfolio management to individuals, high‑net‑worth clients, and trusts or estates, and also offers written financial planning across topics such as retirement strategy, cash‑flow analysis and estate preservation. Financial planning is offered as a distinct service and is delivered on a set timeline contingent on timely client documentation.
The firm tailors investment programs to each client's objectives, time horizon and risk tolerance, using fundamental, cyclical and technical analysis as appropriate and monitoring portfolios on an ongoing basis. Castle Financial requires client authorization for discretionary trading and may retain third‑party sub‑advisors to manage all or a portion of client assets while maintaining oversight and the authority to hire or terminate those sub‑advisors.
Noteworthy for this regulatory peer group, the firm combines fixed‑fee financial planning with individualized portfolio management and explicit selection and oversight of sub‑advisors—features that are relatively uncommon among similarly categorized firms. Management also discloses outside licensed activities in insurance, real estate and tax preparation that may be offered for separate compensation and states that it does not act as a private‑fund adviser.
Client services
Expertise
Fee options
Financial planning fees between $500 and $3,500
1.50% annually
Insurance product sales commissions received by licensed insurance agent
Fee-only: Fixed fee between $500 and $3,500 dependent on complexity of financial planning
Main office
25950 Acero, Suite 100
Mission Viejo CA 92692
Advisors at this office
1
Most active in
California
Also doing business as
Castle Financial · Castle Group Holdings Inc.
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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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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