Castle Group Investment Counsel, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary portfolio management and related financial planning and advisory services to individuals, high-net-worth clients, and institutional entities such as banks, pension plans, trusts, estates, and charities. It charges percentage-of-assets-under-management advisory fees and also serves as an investment manager for participant accounts or model portfolios in a wrap-fee program.
Investment strategies combine fundamental and technical analysis, charting, and a cyclical approach, with portfolios tailored through client interviews and risk-profile assessments; the firm accepts discretionary authority to implement trading consistent with client objectives. Custody and trade execution are generally arranged through its chosen custodian and clearing relationships, and accounts are reviewed at least quarterly.
The brochure discloses an affiliation with an introducing broker-dealer that also operates as a California-licensed insurance agency, and notes that the firm’s advisory personnel are registered representatives and licensed insurance agents who may implement commissionable transactions in their separate capacities (distinct from the adviser’s fees). The firm also reports no assets under management as of the brochure date and names owners who do not participate in advisory activities, details that are noteworthy relative to many peers.
Client services
Expertise
Fee options
$25,000 - $250,000: 3.00% $250,001 - $500,000: 2.75% $500,001 - $1,000,000: 2.50% $1,000,001 - $2,000,000: 2.00% $2,000,001 - $5,000,000: 1.75% $5,000,001+: 1.50%
Account minimum: $25,000 Minimum fee: Initial one-time setup fee of $250 for a single account; $450 for multiple accounts over $100,000 total. This fee is non-refundable and applied once. Fee-only: Advisory fees paid as percentage of assets under management per tiered schedule, no commissions.
Main office
Arcadia CA
Advisors at this office
2
Most active in
California
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.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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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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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
Larry Y
Series 63, Series 65
Arcadia, CA
Castle Group Investment Counsel, Inc.
Larry Yu is an investment advisor at Castle Group Investment Counsel, Inc. with eight years of industry experience. He holds Series 63 and Series 65 designations and has prior roles at Fortune Securities, Inc. and Evergreen Realty & Associates. Outside of his advisory work, he owns Feather Insurance & Financial Services, which sells fixed life, annuity, health, and property and casualty insurance. Castle Group Investment Counsel, Inc. provides discretionary portfolio management and financial planning services to individuals, high-net-worth clients, and institutional entities. The firm combines fundamental and technical analysis with client risk profiling to tailor portfolios and accepts discretionary authority to manage client accounts accordingly.
Yinyi C
Series 63, Series 65
Arcadia, CA
Castle Group Investment Counsel, Inc.
Yinyi Chen is a financial advisor with Castle Group Investment Counsel, Inc. in Arcadia, CA, holding Series 63 and Series 65 licenses and possessing 33 years of industry experience. Chen has worked with Castle Group since 2002 and has also been affiliated with Fortune Securities, Inc. since 1995. Outside of advisory work, Chen serves as a real estate agent at Golden Orange Realty Inc. Castle Group Investment Counsel provides discretionary portfolio management and financial planning services to individuals, high-net-worth clients, and institutional entities. The firm employs investment strategies that incorporate fundamental and technical analysis, along with a cyclical approach, tailoring portfolios based on client interviews and risk assessments.
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