Data / Investment advisers / California / Castle Wealth Planning
Castle Wealth Planning, Santa Barbara, CA: $236 million AUM, SEC registered investment adviser
Castle Wealth Planning is an SEC registered investment adviser with its main office in Santa Barbara, California and reports $236 million in regulatory assets under management in its Form ADV filed March 31, 2026. Its clients include high net worth individuals, pension and profit sharing plans and individuals. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 141601
- SEC file number
- 801-88216
- SEC status
- Approved, effective April 10, 2015
- Legal name
- Castle Wealth Planning LLC
- Main office
- 1105 Chapala St. Ste. 4, Santa Barbara, CA 93101
- Phone
- (805) 962-5630
- Regulatory AUM
- $236,435,373 in the Form ADV filed March 31, 2026
- Discretionary AUM
- $203,141,770
- Non discretionary AUM
- $33,293,603
- Accounts
- 355
- Employees
- 3, of which 1 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- Reported: SEC or CFTC regulatory actions
- Latest Form ADV filing
- March 31, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 54 | $176.3 million |
| Pension and profit sharing plans | Fewer than 5 | $26.3 million |
| Individuals (other than high net worth individuals) | 57 | $23.5 million |
| Charitable organizations | Fewer than 5 | $10.3 million |
| Corporations or other businesses | Fewer than 5 | $2,507 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $236.4 million | March 31, 2026 |
| December 1, 2025 | $215.5 million | March 31, 2025 |
Other advisers in Santa Barbara
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Foronjy Financial | Santa Barbara | $278 million | Not listed | adviserinfo.sec.gov |
| Alamar Capital Management, LLC | Santa Barbara | $260.3 million | Not listed | adviserinfo.sec.gov |
| Certis Capital Management, Inc. | Santa Barbara | $255.9 million | Not listed | adviserinfo.sec.gov |
| Pacific Wealth Strategies Group, Inc. | Santa Barbara | $253.2 million | Not listed | adviserinfo.sec.gov |
| Nexxus Holdings Advisors LLC | Santa Barbara | $246.2 million | 3 | adviserinfo.sec.gov |
| Daniel Investment Associates, LLC | Santa Barbara | $225.3 million | Not listed | adviserinfo.sec.gov |
| Blue Marble Investments | Santa Barbara | $205.1 million | Not listed | adviserinfo.sec.gov |
| Connor Capital SB, LLC | Santa Barbara | $196.7 million | 8 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Santa Barbara, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving pension and profit sharing plans
- Castle Wealth Planning on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.