CASTLE ASSET MANAGEMENT, LLC
CRD #131910 SEC #801-66317 HAUPPAUGE, NY 631-952-3700
SEC Registered
Total AUM
$334.6M
Discretionary
$334.6M
Employees
3
Clients
51
Accounts
735
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- New York
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 13, 2021
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | Control |
| CAFFREY, JOHN, DAVID | I | MEMBER | D | Control |
| CAFFREY, JOHN, DAVID | I | MEMBER | D | Control |
| CAFFREY, JOHN, DAVID | I | MEMBER | D | Control |
| CAFFREY, JOHN, DAVID | I | MEMBER | D | Control |
| HATZFELD, JOEY, EDWARD | I | MEMBER | D | Control |
| HATZFELD, JOEY, EDWARD | I | CHIEF COMPLIANCE OFFICER | D | Control |
| HATZFELD, JOEY, EDWARD | I | MEMBER | D | Control |
| HATZFELD, JOEY, EDWARD | I | CHIEF COMPLIANCE OFFICER | D | Control |
| HATZFELD, JOEY, EDWARD | I | MEMBER | D | Control |
| HATZFELD, JOEY, EDWARD | I | CHIEF COMPLIANCE OFFICER | D | Control |
| HATZFELD, JOEY, EDWARD | I | CHIEF COMPLIANCE OFFICER | D | Control |
| HATZFELD, JOEY, EDWARD | I | MEMBER | D | Control |
Registrations
Federal
IA
May 13, 2021 REGISTERED
Notice Filings (11)
CA CT FL NC NH NJ NY OH PA SC TX
Address
145 MARCUS BLVD.SUITE 1
HAUPPAUGE, NY 11788
United States
Phone: 631-952-3700