CASTLE WEALTH PLANNING LLC of SANTA BARBARA, CA is an SEC-registered investment adviser (CRD 141601). Regulatory assets under management: $236.4M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions.
| Name | Role | Location |
|---|---|---|
| Nathan Edward Cultice | CHIEF COMPLIANCE OFFICER, PRESIDENT, MANAGING MEMBER | — |
| CULTICE NATHAN EDWARD | CHIEF COMPLIANCE OFFICER, PRESIDENT; CHIEF COMPLIANCE OFFICER, PRESIDENT, MANAGING MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-26 | regulatory | THIS MATTER INVOLVES CASTLE WEALTH'S FAILURE TO FILE WITH THE COMMISSION AND TO DELIVER TO RETAIL INVESTOR CLIENTS ITS FORM CRS. CASTLE WEALTH WAS REQUIRED TO FILE ITS INITIAL FORM CRS WITH THE COMMISSION AS PART 3 OF ITS FORM ADV AND TO BEGIN DELIVERING ITS FORM CRS TO PROSPECTIVE AND NEW RETAIL IN… | Final | $25K |