Castle Rock Investment Company specializes in advising workplace retirement plans and their participants, as well as individual investors. Founded in 2006, the firm provides investment advisory services tailored to individual and plan needs, recommending mutual funds, exchange-traded funds, stable value contracts, and money market demand accounts. Castle Rock Investment Company acts under federal retirement plan rules as either a 3(38) investment manager with discretionary authority or a 3(21) advisor providing non-discretionary recommendations. Services include developing investment policy statements, monitoring investment options, conducting fee benchmarking, vendor searches, and participant education. The firm employs modern portfolio theory and strategic asset allocation strategies.
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $5.0M | 0.50% |
| $5.0M - $25.0M | 0.40% |
| $25M+ | 0.30% |
Qualified plan basic fee schedule ranges from 0.25% to 0.50%. Flat annual fees ranging from $6,000 to $40,000 are also available. All fees are negotiable.