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Castle Rock Investing

Independent Guide, Trusted Partner.

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  • About Us
    • Our Commitment to You
    • Founder Bio
    • ADV Brochures
      • ADV Part 2
      • ADV Part 3
  • Services
    • Qualified Plan Services
  • Education
    • Financial Education
    • Fiduciary Training
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Qualified Plan Services

Mission: To assist your participants in replacing 80% of their pre-retirement income* as a fiduciary on your retirement plan and assist you in fulfilling your fiduciary duties.

Plan Sponsor Services
• Review Plan Governance Structure
• Review 404(c) Protection
• Fiduciary Training
• Analyze Plan Design Options
• Meet with Plan Committee

Plan Investment Servicespexels-photo-60324-medium
• Assess Plan’s Investment Objectives
• Design Overall Investment Structure
• Review QDIA option
• Review Company Stock option
• Implement Investment Structure
• Build Model Portfolios
• Provide & Review Performance Reporting
• Search for new Investment Manager

Vendor Management
• Monitor Service Provider
• Ensure All Fees are Disclosed
• Benchmark Fees and Value for Reasonableness
• Review Use of ERISA Spending Accounts
• Generate and Evaluate Service Provider RFP
• Generate & Evaluate Service Provider RFI
• Support Contract Negotiation
• Support Service Provider Transition

Fiduciary Status
• Acts as a Fiduciary under 1940 Act (RIA)
• ERISA 3(21) Fiduciary (Limited Scope)
• ERISA 3(38) Fiduciary (Discretionary)

Participation Education Services
• Review of Education Strategy
• Provide Group Meetings
• Provide One-On-One Meetings
• Provide Participant Phone/Email Support
• Review progress against goals
• Rendering of Participant Advice

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Download Our Brochure

*National Savings Rate Guidelines for Individuals, Journal of Financial Planning, April 2007

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About Us

Castle Rock Investment Company, formed in 2006, is an independent woman-owned SEC-registered investment adviser located in Castle Rock, Colorado. We specialize in individual financial plans and qualified service plans.

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Blog

Water Cooler Wisdom: The Day Finally Arrived

Water Cooler Wisdom The Day Finally Arrived On December 22, 2017, President Trump signed the Tax Cuts and Jobs Act of 2017 into law. The long-awaited tax legislation includes a wide array of changes, but a few interesting highlights are listed below. Reduces the top corporate tax rate from 35% to 21%. Changes the taxation […]

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