Castle Rock Financial Planning, Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Castle Rock provides personalized financial planning and investment management to individuals, high‑net‑worth clients, trusts, and estates. Its services include retirement, investment, tax, estate and insurance planning, education funding, cash‑flow analysis, and implementation of portfolios composed of stocks, bonds, mutual funds and exchange‑traded funds.
The firm operates as a fee‑only fiduciary, gathering detailed client information to produce written financial plans and offering ongoing discretionary portfolio management under a limited power of attorney with periodic reviews. Investment work draws on multiple analysis methods — including fundamental, technical, and charting approaches — and uses third‑party research sources such as Morningstar and Schwab to support investment decisions.
Notable characteristics that distinguish the firm from many peers include formal credentialing expectations for advisors and principal‑level certifications (CFA, CFP, AIF) highlighted in the brochure, and a stated policy of not selling commissioned products or accepting referral fees. The firm also discloses operational practices that are less common among advisors, including declining to vote client proxies, having constructive custody due to automatic fee deduction, and receiving institutional services and soft‑dollar research from its recommended custodian.
Client services
Expertise
Fee options
Financial planning project fees range from $4,000 to $6,000
under $1 million - $1 million: Variable flat quarterly fee up to $10,000 annually $1 million - $2 million: Variable flat quarterly fee ranging $8,000 - $20,000 annually $3 million - $5 million: Variable flat quarterly fee ranging $15,000 - $35,000 annually over $5 million+: Minimum $30,000 annually
Hourly fee range $150 - $300 based on services and individual providing the service
Minimum fee: Minimum quarterly advisory fee is $1,250 or $5,000 annually Fee-only: Flat quarterly advisory fees; also hourly fees $150 - $300 per hour; financial planning project fees $4,000 - $6,000
Main office
2267 Waters Drive
Mendota Heights MN 55120
Advisors at this office
1
Most active in
Minnesota
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.
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