Castle Wealth Group: new SEC registration, $107M AUM, Mooresville, NC
Castle Wealth Group (Mooresville, North Carolina): new SEC registration, $107M AUM, Mooresville, NC. Its amount of 107 is below the median of 135 (20th percentile). Dated 140 days ago, it serves as a historical benchmark. Score 40/100. As of 2026-11-04, from SEC monthly roster of registered investment advisers (Form ADV data).
Data as of · Compiled by Zalwin from SEC monthly roster of registered investment advisers (Form ADV data)
amount: 107 · 20th percentile of 1,225 NewRiaPulse records · 0.8x the median
Free preview: all 10 published fields of this record are shown below. Locked: 23 related NC NewRiaPulse records and the 6-column CSV export.
| Field | Value |
|---|---|
| Firm | Castle Wealth Group |
| Legal name | Castle Securities, LLC |
| CRD | 342075 |
| Status | Approved |
| Registered with the SEC | 2026-06-18 |
| Latest Form ADV filing | 2026-10-09 |
| Location | Mooresville, NC, United States |
| Regulatory AUM | $106,793,526 |
| Accounts | 486 |
| Employees | 3 |
| amount percentile | 20th of 1,225 (median 135, 0.8x median) |
| Peer records CSV (24 NC records) | 🔒 Click to unlock → |
| CRM-ready export with official source URLs | 🔒 Click to unlock → |
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CSV columns: Firm · AUM · Accounts · City · State · Registered · official source URL
- Source agency: SEC monthly roster of registered investment advisers (Form ADV data)
- Record date: 2026-06-18
- Data refreshed: 2026-11-04
- Refunds on request within 14 days
Top NewRiaPulse records (NC first): Corrum Capital Management LLC · Olde Raleigh Financial Group · Pursuit Wealth Strategies, LLC · Advisorstrust Partners LLC · Mauney-Pitt Financial Management, INC. · Browse all by state and category →
LIVE PUBLIC DATA Source: SEC monthly roster of registered investment advisers (Form ADV data) · Last refreshed: Wed, 04 Nov 2026 21:45:24 GMT
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Peer benchmark and outreach value: Castle Wealth Group and 24 North Carolina peers
- North Carolina NewRiaPulse records like this one: 24
- Castle Wealth Group's amount: 20th percentile of 1,225 records
- Timing: Low: older than 30 days
- Estimated pipeline if you contact every North Carolina peer: $4,800 (peers × rate × deal size; an estimate from your assumptions, not a forecast)
40 / 100 Score
- $107M under management.
What is the NewRiaPulse record for Castle Wealth Group in Mooresville, North Carolina?
Castle Wealth Group received SEC registration as an investment adviser (2026-06-18) with $106,793,526 in regulatory assets under management, based in Mooresville, NC.
How does Castle Wealth Group compare to other North Carolina NewRiaPulse records?
Its amount of 107 is below the median (20th percentile); smaller records often move faster and face less competition. It is 140 days old; check the official source for later updates before acting.
Castle Wealth Group vs. top 3 peers
| Organization | Location | Amount | Percentile | Record date |
|---|---|---|---|---|
| Castle Wealth Group | Mooresville, NC | 107 | 20th | 2026-06-18 |
| Round Table Investment Strategies, LLC | Lincoln, NE | 107 | 20th | 2026-10-22 |
| Carapace Financial Advisors LLC | Bedminster, NJ | 106 | 18th | 2026-10-22 |
| Bay Point Financial, LLC | Bedford, NH | 105 | 17th | 2026-10-15 |
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NewRiaPulse: $100M-$500M NewRiaPulse: records in North Carolina NewRiaPulse: Approved
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From the SEC's public monthly roster of registered investment advisers (Form ADV data). Firm level only: we leave out firms whose name is a person's name and never list individual representatives. Registration is not an endorsement by the SEC.