Castle Rock Wealth Management, LLC — 13F Holdings & Portfolio

CIK 1727605 · latest 13F-HR filed 2026-10-09

Castle Rock Wealth Management, LLC manages $531.2M in 13F-reported U.S. long-equity assets across 269 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are NVDA (4.89%), SGOV (4.21%), KO (3.94%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 19 new positions and exited 18; 55 existing positions rose in reported value and 96 fell.

AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.

AUM

$531.2M

Long-equity book

Holdings

269

Distinct positions

Period

2026-09-30

Filed 2026-10-09

Q/Q Activity

+19 / −18 / ↑55 / ↓96

vs 2026-06-30

Portfolio charts

Latest quarter's book, what changed, and how the portfolio has evolved across filings.

Portfolio map

Q3 26

NVDA4.9% · -0%SGOV4.2% · +182%KO3.9% · -0%GBIL3.9% · +174%CVX3.8% · +10%TFLO3.5% · +20%AAPL3.0% · -12%USFR2.3% · +7%MSFT2.0% · -8%GOOG1.7% · -12%PANW1.7% · -14%AMZN1.6% · -11%SCHO1.4% · new SPY1.2% · -7%SMH1.2% · -7%META1.2% · -4%QQQ1.2% · -5%FLOT1.1% · -3%SHV1.1% · +783%AVGO1.0% · -22%JPM1.0% · -16%IYW0.9% · +60%MU0.9% · -42%CRWD0.8% · +180%ETN0.8% · -16%AMD0.8% · -16%CNEQ0.7% · -20%V0.7% · -7%PFEB0.7% · -2%PDEC0.7% · -0%GPIX0.7% · +5%SPCX0.7% · +52%WMT0.7% · -9%BINC0.7% · +7%ENFR0.7% · -3%PMAY0.7% · -1%GPIQ0.7% · +6%GOOGL0.6% · -8%JSI0.6% · +5%COST0.6% · -7%XLE0.6% · -17%FTSM0.6% · +6%INTC0.6% · -2%FAI0.6% · new FRTY0.6% · -7%JPIE0.5% · +10%DRAM0.5% · -15%NVBW0.5% · -1%ATFV0.5% · -23%AMGN0.5% · -34%GCOR0.5% · +9%PLTR0.5% · +4%IYH0.5% · new CLIP0.4% · +26%MRK0.4% · -42%VRT0.4% · -42%SO0.4% · new NEAR0.4% · -3%CRDO0.4% · +32%IWV0.4% · -21%

Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.

Sector mix

% of 13F value

Sectors from each company's SIC code; funds and ETFs grouped separately.

Biggest buys and sells

Q2 26 → Q3 26

Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.

13F assets and positions

4 quarters

Total reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.

Top positions over time

reported value

The eight largest current positions, valued at each quarter end.

Concentration

top 10 = 33.1%

Cumulative share of the portfolio held in the largest N positions.

Firm Profile & Key People

As of the firm’s regulatory filing dated Mar 5, 2026.

Assets Under Management

$587.1M

Discretionary

$587.1M

Employees

Accounts

2,040

Address

1777 BOTELHO DR.
SUITE 105
WALNUT CREEK, CA 94596

Phone

(925) 478-8800

Website

WWW.CRWMADVISORS.COM
WWW.FACEBOOK.COM/CASTLEROCKWEALTHMANAGEMENT
www.linkedin.com/in/castle-rock-wealth-management-llc-6764a7170

Name	Title / Status	Ownership	Type
LUIPPOLD, JAMES, BLAIR Control	MANAGING MEMBER since Jun 2015	75% or more	Individual
LUIPPOLD, JENNIFER, ROSE Control	CHIEF COMPLIANCE OFFICER since May 2017	Less than 5%	Individual

Ownership & leadership changes · 1 filing with changes since May 9, 2017

From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.

May 18, 2017 filing

ChangedLUIPPOLD, JAMES, BLAIR · title PRESIDENT → MANAGING MEMBER

May 9, 2017 filing (earliest on record)

ListedLUIPPOLD, JAMES, BLAIR · PRESIDENT · 75% or more · control person
ListedLUIPPOLD, JENNIFER, ROSE · CHIEF COMPLIANCE OFFICER · Less than 5% · control person

Quarter-over-quarter changes

Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.

Top Adds (vs prior quarter)

ISHARES TR$14.4M +182.5%
GOLDMAN SACHS ETF TR$13.0M +174.0%
CHEVRON CORPORATION$5.5M +38.3%
ISHARES TR$5.0M +783.8%
NVIDIA CORPORATION$4.4M +20.5%

Show all 55 →

Top Trims

INTERNATIONAL BUSINESS MACHS-$3.3M -63.9%
MICRON TECHNOLOGY INC-$3.3M -41.7%
VERTIV HOLDINGS CO-$2.6M -52.9%
HOME DEPOT INC-$1.9M -65.9%
ALPHABET INC-$1.7M -15.7%

Show all 96 →

New Positions

Show all 19 →

Exited Positions

Show all 18 →

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#	Issuer	Symbol	CUSIP	Value	Δ

Castle Rock Wealth Management, LLC Holdings (2026-09-30)

#	Issuer	Symbol	CUSIP	Value	Weight	Shares	Type
1	NVIDIA CORPORATION	NVDA	67066G104	$26.0M	4.89%	108,566	SH
2	ISHARES TR	SGOV	46436E718	$22.4M	4.21%	222,619	SH
3	COCA COLA CO	KO	191216100	$20.9M	3.94%	242,821	SH
4	GOLDMAN SACHS ETF TR	GBIL	381430529	$20.5M	3.86%	205,469	SH
5	CHEVRON CORPORATION	CVX	166764100	$20.0M	3.76%	96,199	SH
6	ISHARES TR	TFLO	46434V860	$18.4M	3.46%	363,427	SH
7	APPLE INC	AAPL	037833100	$15.7M	2.95%	47,042	SH
8	WISDOMTREE TR	USFR	97717Y527	$12.2M	2.30%	242,868	SH
9	MICROSOFT CORP	MSFT	594918104	$10.7M	2.02%	20,277	SH
10	ALPHABET INC	GOOG	02079K107	$9.2M	1.74%	26,786	SH
11	PALO ALTO NETWORKS INC	PANW	697435105	$9.0M	1.69%	21,353	SH
12	AMAZON COM INC	AMZN	023135106	$8.5M	1.59%	32,991	SH
13	SCHWAB STRATEGIC TR	SCHO	808524862	$7.6M	1.43%	319,545	SH
14	STATE STR SPDR S&P 500 ETF T	SPY	78462F103	$6.5M	1.22%	8,299	SH
15	VANECK ETF TRUST	SMH	92189F676	$6.4M	1.21%	10,144	SH
16	META PLATFORMS INC	META	30303M102	$6.3M	1.19%	8,587	SH
17	INVESCO QQQ TR	QQQ	46090E103	$6.2M	1.16%	8,112	SH
18	ISHARES TR	FLOT	46429B655	$5.7M	1.07%	111,857	SH
19	ISHARES TR	SHV	464288679	$5.6M	1.06%	51,122	SH
20	BROADCOM INC	AVGO	11135F101	$5.4M	1.02%	14,357	SH
21	JPMORGAN CHASE & CO	JPM	46625H100	$5.2M	0.98%	15,781	SH
22	ISHARES TR	IYW	464287721	$4.8M	0.91%	17,645	SH
23	MICRON TECHNOLOGY INC	MU	595112103	$4.6M	0.86%	4,373	SH
24	CROWDSTRIKE HLDGS INC	CRWD	22788C105	$4.4M	0.83%	15,783	SH
25	EATON CORP PLC	ETN	G29183103	$4.1M	0.77%	9,145	SH
26	ADVANCED MICRO DEVICES INC	AMD	007903107	$4.0M	0.75%	6,131	SH
27	THE ALGER ETF TRUST	CNEQ	015564404	$4.0M	0.75%	94,905	SH
28	VISA INC	V	92826C839	$4.0M	0.75%	10,686	SH
29	INNOVATOR ETFS TRUST	PFEB	45782C417	$4.0M	0.75%	89,044	SH
30	INNOVATOR ETFS TRUST	PDEC	45782C540	$3.9M	0.73%	82,114	SH
31	GOLDMAN SACHS ETF TR	GPIX	38149W622	$3.9M	0.73%	68,310	SH
32	SPACE EXPLORATION TECHN CORP	SPCX	84615Q103	$3.8M	0.72%	22,357	SH
33	WALMART INC	WMT	931142103	$3.6M	0.68%	33,628	SH
34	BLACKROCK ETF TRUST II	BINC	092528603	$3.6M	0.68%	71,026	SH
35	ALPS ETF TR	ENFR	00162Q676	$3.6M	0.68%	94,200	SH
36	INNOVATOR ETFS TRUST	PMAY	45782C318	$3.6M	0.67%	83,850	SH
37	GOLDMAN SACHS ETF TR	GPIQ	38149W630	$3.6M	0.67%	60,553	SH
38	ALPHABET INC	GOOGL	02079K305	$3.4M	0.65%	9,875	SH
39	JANUS DETROIT STR TR	JSI	47103U746	$3.3M	0.62%	66,344	SH
40	COSTCO WHOLESALE CORPORATION	COST	22160K105	$3.2M	0.61%	3,453	SH
41	SELECT SECTOR SPDR TR	XLE	81369Y506	$3.2M	0.60%	50,195	SH
42	FIRST TR EXCHANGE-TRADED FD	FTSM	33739Q408	$3.2M	0.60%	53,572	SH
43	INTEL CORP	INTC	458140100	$3.1M	0.59%	27,988	SH
44	FIRST TR EXCHANGE-TRADED FD	FAI	33734X739	$3.0M	0.56%	50,690	SH
45	THE ALGER ETF TRUST	FRTY	015564107	$3.0M	0.56%	123,991	SH
46	J P MORGAN EXCHANGE TRADED F	JPIE	46641Q159	$2.9M	0.54%	63,730	SH
47	ROUNDHILL ETF TRUST	DRAM	77926X320	$2.8M	0.52%	46,513	SH
48	AIM ETF PRODUCTS TRUST	NVBW	00888H844	$2.7M	0.51%	73,972	SH
49	THE ALGER ETF TRUST	ATFV	015564206	$2.6M	0.49%	61,931	SH
50	AMGEN INC	AMGN	031162100	$2.5M	0.47%	6,194	SH

Filing History

Period	Filed	AUM	Holdings	Accession
2026-09-30	2026-10-09	$531.2M	269	0001085146-26-000860
2026-06-30	2026-07-08	$509.4M	268	0001727605-26-000004
2026-03-31	2026-04-08	$461.9M	262	0001727605-26-000002
2025-12-31	2026-02-05	$462.5M	261	0001727605-26-000001

Filer Information

Address

1777 BOTELHO DRIVE
SUITE 105
WALNUT CREEK, CA 94596

Phone

(925) 478-8800

Filing Manager

Castle Rock Wealth Management, LLC

WALNUT CREEK, CA

Signatory

Jennifer Luippold

Chief Compliance Officer