0001085146-20-002078.txt : 20200810
0001085146-20-002078.hdr.sgml : 20200810
20200810092758
ACCESSION NUMBER: 0001085146-20-002078
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200810
DATE AS OF CHANGE: 20200810
EFFECTIVENESS DATE: 20200810
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Castle Rock Wealth Management, LLC
CENTRAL INDEX KEY: 0001727605
IRS NUMBER: 473565175
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18292
FILM NUMBER: 201087525
BUSINESS ADDRESS:
STREET 1: 1777 BOTELHO DRIVE
STREET 2: SUITE 105
CITY: WALNUT CREEK
STATE: CA
ZIP: 94596
BUSINESS PHONE: 925-478-8800
MAIL ADDRESS:
STREET 1: 1777 BOTELHO DRIVE
STREET 2: SUITE 105
CITY: WALNUT CREEK
STATE: CA
ZIP: 94596
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001727605
XXXXXXXX
06-30-2020
06-30-2020
false
Castle Rock Wealth Management, LLC
1777 Botelho Drive
Suite 105
WALNUT CREEK
CA
94596
13F HOLDINGS REPORT
028-18292
N
Jennifer Luippold
Chief Compliance Officer
925-478-8800
/s/ Jennifer Luippold
Walnut Creek
CA
08-06-2020
0
192
170686
INFORMATION TABLE
2
infotable.xml
INFORMATION TABLE
ARK ETF TR
INNOVATION ETF
00214Q104
1060
12376
SH
SOLE
0
0
12376
JPMORGAN CHASE & CO
ALERIAN ML ETN
46625H365
1243
94232
SH
SOLE
0
0
94232
ISHARES TR
CORE DIV GRWTH
46434V621
235
5953
SH
SOLE
0
0
5953
ISHARES TR
U.S. MED DVC ETF
464288810
1574
5381
SH
SOLE
0
0
5381
ISHARES TR
U.S. FIN SVC ETF
464287770
460
3794
SH
SOLE
0
0
3794
DEXCOM INC
COM
252131107
755
1708
SH
SOLE
0
0
1708
ALPHABET INC
CAP STK CL A
02079K305
358
243
SH
SOLE
0
0
243
MONDELEZ INTL INC
CL A
609207105
562
10108
SH
SOLE
0
0
10108
ISHARES TR
SHORT TREAS BD
464288679
2630
23754
SH
SOLE
0
0
23754
ABBVIE INC
COM
00287Y109
569
6029
SH
SOLE
0
0
6029
FIRST TR NASDAQ-100 TECH IND
CAP STRENGTH ETF
33733E104
1551
8331
SH
SOLE
0
0
8331
PROCTER AND GAMBLE CO
COM
742718109
992
7414
SH
SOLE
0
0
7414
SPDR GOLD TR
GOLD SHS
78463V107
1422
7502
SH
SOLE
0
0
7502
VANGUARD CHARLOTTE FDS
INTL BD IDX ETF
92203J407
650
11178
SH
SOLE
0
0
11178
PROSHARES TR
ULTRA 20YR TRE
74347R172
784
5349
SH
SOLE
0
0
5349
ISHARES INC
MIN VOL EMRG MKT
464286533
682
12305
SH
SOLE
0
0
12305
EXCHANGE LISTED FDS TR
SABA INT RATE
30151E806
1796
97869
SH
SOLE
0
0
97869
VANGUARD SCOTTSDALE FDS
LG-TERM COR BD
92206C813
1374
12210
SH
SOLE
0
0
12210
JANUS DETROIT STR TR
HENDRSN SHRT ETF
47103U886
2481
49249
SH
SOLE
0
0
49249
PEPSICO INC
COM
713448108
679
4940
SH
SOLE
0
0
4940
SERVICENOW INC
COM
81762P102
540
1233
SH
SOLE
0
0
1233
QORVO INC
COM
74736K101
237
1809
SH
SOLE
0
0
1809
NUVEEN CALIF MUN VALUE FD IN
COM
67062C107
152
14177
SH
SOLE
0
0
14177
PIMCO ETF TR
INTER MUN BD ACT
72201R866
354
6266
SH
SOLE
0
0
6266
UNILEVER PLC
SPON ADR NEW
904767704
501
8108
SH
SOLE
0
0
8108
WASTE MGMT INC DEL
COM
94106L109
729
6699
SH
SOLE
0
0
6699
SPDR SER TR
BLOMBERG BRC INV
78468R200
1343
43891
SH
SOLE
0
0
43891
PACCAR INC
COM
693718108
705
8301
SH
SOLE
0
0
8301
FIRST TR HIGH YIELD OPPRT 20
COM
33741Q107
2453
119200
SH
SOLE
0
0
119200
ISHARES TR
MBS ETF
464288588
2393
21604
SH
SOLE
0
0
21604
INVESCO EXCHANGE TRADED FD T
DWA MOMENTUM
46137V837
473
6340
SH
SOLE
0
0
6340
GOLDMAN SACHS ETF TR
ACCES TREASURY
381430529
5717
56910
SH
SOLE
0
0
56910
ROPER TECHNOLOGIES INC
COM
776696106
325
750
SH
SOLE
0
0
750
VEEVA SYS INC
CL A COM
922475108
300
1118
SH
SOLE
0
0
1118
MOODYS CORP
COM
615369105
471
1708
SH
SOLE
0
0
1708
FACEBOOK INC
CL A
30303M102
1143
4574
SH
SOLE
0
0
4574
ISHARES TR
CORE S&P TTL STK
464287150
202
2716
SH
SOLE
0
0
2716
NETFLIX INC
COM
64110L106
247
485
SH
SOLE
0
0
485
FIRST TR EXCHANGE-TRADED FD
RISNG DIVD ACHIV
33738R506
216
6636
SH
SOLE
0
0
6636
ZOOM VIDEO COMMUNICATIONS IN
CL A
98980L101
381
1426
SH
SOLE
0
0
1426
ISHARES TR
ULTR SH TRM BD
46434V878
1410
27894
SH
SOLE
0
0
27894
DISNEY WALT CO
COM DISNEY
254687106
835
7058
SH
SOLE
0
0
7058
ISHARES TR
ESG MSCI USA ETF
46435G425
789
10527
SH
SOLE
0
0
10527
BLACKSTONE GROUP INC
COM CL A
09260D107
783
15005
SH
SOLE
0
0
15005
FEDERAL AGRIC MTG CORP
CL C
313148306
384
6383
SH
SOLE
0
0
6383
SPDR INDEX SHS FDS
ASIA PACIF ETF
78463X301
526
4759
SH
SOLE
0
0
4759
FIRST TR EXCHNG TRADED FD VI
TCW OPPORTUNIS
33740F805
804
14428
SH
SOLE
0
0
14428
TESLA INC
COM
88160R101
327
220
SH
SOLE
0
0
220
VANGUARD WORLD FDS
HEALTH CAR ETF
92204A504
387
1893
SH
SOLE
0
0
1893
VANGUARD SCOTTSDALE FDS
MORTG-BACK SEC
92206C771
1866
34259
SH
SOLE
0
0
34259
ABERDEEN STD GOLD ETF TR
PHYSCL GOLD SHS
00326A104
717
36932
SH
SOLE
0
0
36932
FIRST TR VALUE LINE DIVID IN
SHS
33734H106
591
18630
SH
SOLE
0
0
18630
PIMCO ETF TR
ENHAN SHRT MA AC
72201R833
367
3600
SH
SOLE
0
0
3600
SPDR S&P 500 ETF TR
TR UNIT
78462F103
683
2064
SH
SOLE
0
0
2064
PALATIN TECHNOLOGIES INC
COM PAR $ .01
696077403
11
20000
SH
SOLE
0
0
20000
JOHNSON & JOHNSON
COM
478160104
1033
7014
SH
SOLE
0
0
7014
MICROSOFT CORP
COM
594918104
2493
11692
SH
SOLE
0
0
11692
BLACKROCK INC
COM
09247X101
404
707
SH
SOLE
0
0
707
NUVEEN PFD & INCM SECURTIES
COM
67072C105
417
46098
SH
SOLE
0
0
46098
ISHARES TR
TIPS BD ETF
464287176
898
7106
SH
SOLE
0
0
7106
INNOVATOR ETFS TR
S&P 500 ULTRA
45782C532
910
33567
SH
SOLE
0
0
33567
J P MORGAN EXCHANGE-TRADED F
ULTRA SHRT INC
46641Q837
1844
36265
SH
SOLE
0
0
36265
FS KKR CAP CORP II
COM
35952V303
692
47759
SH
SOLE
0
0
47759
BROADCOM INC
COM
11135F101
373
1137
SH
SOLE
0
0
1137
FIRST TR EXCHANGE-TRADED FD
FST LOW OPPT EFT
33739Q200
649
12520
SH
SOLE
0
0
12520
CONAGRA BRANDS INC
COM
205887102
459
12051
SH
SOLE
0
0
12051
EBAY INC.
COM
278642103
754
13377
SH
SOLE
0
0
13377
INNOVATOR ETFS TR
S&P 500 PWR BUF
45782C318
327
12000
SH
SOLE
0
0
12000
INVESCO EXCH TRADED FD TR II
1 30 LADER TRE
46138E107
253
6300
SH
SOLE
0
0
6300
CLOUDFLARE INC
CL A COM
18915M107
348
8233
SH
SOLE
0
0
8233
DANAHER CORPORATION
COM
235851102
206
1000
SH
SOLE
0
0
1000
HOME DEPOT INC
COM
437076102
1048
3917
SH
SOLE
0
0
3917
GLOBAL X FDS
NASDAQ 100 COVER
37954Y483
572
26234
SH
SOLE
0
0
26234
VERTEX PHARMACEUTICALS INC
COM
92532F100
418
1517
SH
SOLE
0
0
1517
CHEVRON CORP NEW
COM
166764100
1948
22524
SH
SOLE
0
0
22524
RIO TINTO PLC
SPONSORED ADR
767204100
304
4922
SH
SOLE
0
0
4922
ISHARES TR
CORE 1 5 YR USD
46432F859
281
5450
SH
SOLE
0
0
5450
ISHARES TR
ESG MSCI EAFE
46435G516
244
3847
SH
SOLE
0
0
3847
SPDR SER TR
AEROSPACE DEF
78464A631
237
2625
SH
SOLE
0
0
2625
ABBOTT LABS
COM
002824100
1353
13538
SH
SOLE
0
0
13538
NVIDIA CORPORATION
COM
67066G104
1896
4222
SH
SOLE
0
0
4222
AMAZON COM INC
COM
023135106
4015
1279
SH
SOLE
0
0
1279
DIREXION SHS ETF TR
DLY GOLD INDX 2X
25460G781
475
4209
SH
SOLE
0
0
4209
NEXTERA ENERGY INC
COM
65339F101
1251
4390
SH
SOLE
0
0
4390
FIRST TR NAS100 EQ WEIGHTED
SHS
337344105
888
10395
SH
SOLE
0
0
10395
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
862
10577
SH
SOLE
0
0
10577
VANGUARD SCOTTSDALE FDS
INT-TERM CORP
92206C870
1603
16534
SH
SOLE
0
0
16534
ISHARES TR
PFD AND INCM SEC
464288687
262
7290
SH
SOLE
0
0
7290
ISHARES TR
CORE US AGGBD ET
464287226
1650
13794
SH
SOLE
0
0
13794
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
631
3150
SH
SOLE
0
0
3150
VANGUARD SCOTTSDALE FDS
SHRT TRM CORP BD
92206C409
502
6052
SH
SOLE
0
0
6052
GILEAD SCIENCES INC
COM
375558103
406
5721
SH
SOLE
0
0
5721
ISHARES TR
EXPND TEC SC ETF
464287549
609
2009
SH
SOLE
0
0
2009
INTEL CORP
COM
458140100
477
9717
SH
SOLE
0
0
9717
VANECK VECTORS ETF TR
MORNINGSTAR WIDE
92189F643
681
12510
SH
SOLE
0
0
12510
NORTHROP GRUMMAN CORP
COM
666807102
231
711
SH
SOLE
0
0
711
GLOBAL X FDS
US PFD ETF
37954Y657
571
23172
SH
SOLE
0
0
23172
RINGCENTRAL INC
CL A
76680R206
673
2276
SH
SOLE
0
0
2276
3M CO
COM
88579Y101
415
2742
SH
SOLE
0
0
2742
WALMART INC
COM
931142103
644
4894
SH
SOLE
0
0
4894
GLOBAL X FDS
X YIELDCO RENE
37954Y707
573
38291
SH
SOLE
0
0
38291
HONEYWELL INTL INC
COM
438516106
298
2021
SH
SOLE
0
0
2021
ISHARES TR
ESG AWR US AGRGT
46435U549
402
7015
SH
SOLE
0
0
7015
GLADSTONE INVT CORP
COM
376546107
129
13710
SH
SOLE
0
0
13710
NUVEEN CA QUALTY MUN INCOME
COM
67066Y105
1007
67520
SH
SOLE
0
0
67520
ADOBE INC
COM
00724F101
871
1948
SH
SOLE
0
0
1948
VANGUARD BD INDEX FDS
TOTAL BND MRKT
921937835
1259
14073
SH
SOLE
0
0
14073
TEMPLETON GLOBAL INCOME FD
COM
880198106
58
10562
SH
SOLE
0
0
10562
APPLE INC
COM
037833100
4907
11187
SH
SOLE
0
0
11187
INVESCO QQQ TR
UNIT SER 1
46090E103
2965
10941
SH
SOLE
0
0
10941
ILLINOIS TOOL WKS INC
COM
452308109
291
1573
SH
SOLE
0
0
1573
ISHARES TR
SH TR CRPORT ETF
464288646
241
4378
SH
SOLE
0
0
4378
VANGUARD WORLD FD
EXTENDED DUR
921910709
1433
8112
SH
SOLE
0
0
8112
ALPHABET INC
CAP STK CL C
02079K107
696
475
SH
SOLE
0
0
475
KIMBERLY CLARK CORP
COM
494368103
442
2826
SH
SOLE
0
0
2826
KROGER CO
COM
501044101
696
19678
SH
SOLE
0
0
19678
EATON VANCE TX MNG BY WRT OP
COM
27828Y108
548
38535
SH
SOLE
0
0
38535
BLACKROCK MUN TARGET TERM TR
COM SHS BEN IN
09257P105
230
9200
SH
SOLE
0
0
9200
MCDONALDS CORP
COM
580135101
334
1674
SH
SOLE
0
0
1674
NUVEEN CALIFORNIA AMT QLT MU
COM
670651108
283
18060
SH
SOLE
0
0
18060
ISHARES TR
ESG AWRE 1 5 YR
46435G243
429
16419
SH
SOLE
0
0
16419
ISHARES TR
MRNGSTR LG-CP GR
464287119
257
1003
SH
SOLE
0
0
1003
OSI ETF TR
OSHS GBL INTER
67110P704
1469
34877
SH
SOLE
0
0
34877
BROOKFIELD REAL ASSETS INCOM
SHS BEN INT
112830104
180
10507
SH
SOLE
0
0
10507
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
235
1841
SH
SOLE
0
0
1841
ISHARES TR
MSCI EAFE ETF
464287465
350
5500
SH
SOLE
0
0
5500
VISA INC
COM CL A
92826C839
1627
8460
SH
SOLE
0
0
8460
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
2098
34037
SH
SOLE
0
0
34037
VANGUARD BD INDEX FDS
INTERMED TERM
921937819
1678
17788
SH
SOLE
0
0
17788
CVS HEALTH CORP
COM
126650100
666
10254
SH
SOLE
0
0
10254
IONIS PHARMACEUTICALS INC
COM
462222100
904
15263
SH
SOLE
0
0
15263
VANGUARD WORLD FDS
UTILITIES ETF
92204A876
3953
29800
SH
SOLE
0
0
29800
TARGET CORP
COM
87612E106
201
1539
SH
SOLE
0
0
1539
CHURCH & DWIGHT INC
COM
171340102
484
5038
SH
SOLE
0
0
5038
ISHARES TR
ESG AWRE USD ETF
46435G193
913
32143
SH
SOLE
0
0
32143
INNOVATOR ETFS TR
S&P 500 ULTRA
45782C730
1351
49720
SH
SOLE
0
0
49720
INNOVATOR ETFS TR
S&P 500 ULTRA
45782C805
1168
47689
SH
SOLE
0
0
47689
COLGATE PALMOLIVE CO
COM
194162103
924
12031
SH
SOLE
0
0
12031
SALESFORCE COM INC
COM
79466L302
346
1719
SH
SOLE
0
0
1719
VANGUARD WORLD FD
MEGA GRWTH IND
921910816
475
2661
SH
SOLE
0
0
2661
INVESCO EXCH TRADED FD TR II
PFD ETF
46138E511
1688
114765
SH
SOLE
0
0
114765
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
921908844
311
2484
SH
SOLE
0
0
2484
ISHARES TR
3 7 YR TREAS BD
464288661
1346
10039
SH
SOLE
0
0
10039
POOL CORPORATION
COM
73278L105
256
787
SH
SOLE
0
0
787
COSTCO WHSL CORP NEW
COM
22160K105
1227
3611
SH
SOLE
0
0
3611
AUTOMATIC DATA PROCESSING IN
COM
053015103
330
2411
SH
SOLE
0
0
2411
SPDR SER TR
NUVEEN BLMBRG SR
78468R739
493
9850
SH
SOLE
0
0
9850
ACCENTURE PLC IRELAND
SHS CLASS A
G1151C101
246
1085
SH
SOLE
0
0
1085
SMUCKER J M CO
COM NEW
832696405
334
2950
SH
SOLE
0
0
2950
FIRST TR EXCHANGE-TRADED FD
NO AMER ENERGY
33738D101
233
11160
SH
SOLE
0
0
11160
DRAFTKINGS INC
COM CL A
26142R104
318
9612
SH
SOLE
0
0
9612
BRISTOL-MYERS SQUIBB CO
COM
110122108
444
7477
SH
SOLE
0
0
7477
GOPRO INC
CL A
38268T103
101
18000
SH
SOLE
0
0
18000
HANESBRANDS INC
COM
410345102
703
49274
SH
SOLE
0
0
49274
INVESCO EXCHANGE TRADED FD T
S&P500 EQL WGT
46137V357
308
2842
SH
SOLE
0
0
2842
SPDR INDEX SHS FDS
S&P GBLINF ETF
78463X855
375
8210
SH
SOLE
0
0
8210
FIRST TR EXCHANGE-TRADED FD
FIRST TR ENH NEW
33739Q408
541
9010
SH
SOLE
0
0
9010
ISHARES TR
BARCLAYS 7 10 YR
464287440
3772
30648
SH
SOLE
0
0
30648
BOEING CO
COM
097023105
572
3465
SH
SOLE
0
0
3465
ISHARES TR
1 3 YR TREAS BD
464287457
1581
18264
SH
SOLE
0
0
18264
AMERICAN TOWER CORP NEW
COM
03027X100
546
2100
SH
SOLE
0
0
2100
CROWN CASTLE INTL CORP NEW
COM
22822V101
253
1524
SH
SOLE
0
0
1524
ISHARES TR
NASDAQ BIOTECH
464287556
208
1509
SH
SOLE
0
0
1509
FIRST TR EXCHANGE-TRADED FD
FIRST TR TA HIYL
33738D408
815
17143
SH
SOLE
0
0
17143
UNITEDHEALTH GROUP INC
COM
91324P102
559
1836
SH
SOLE
0
0
1836
TELADOC HEALTH INC
COM
87918A105
648
2600
SH
SOLE
0
0
2600
ADVANCED MICRO DEVICES INC
COM
007903107
945
11118
SH
SOLE
0
0
11118
SELECT SECTOR SPDR TR
SBI HEALTHCARE
81369Y209
1337
12596
SH
SOLE
0
0
12596
AT&T INC
COM
00206R102
414
13769
SH
SOLE
0
0
13769
DOCUSIGN INC
COM
256163106
757
3323
SH
SOLE
0
0
3323
ISHARES TR
MSCI MIN VOL ETF
46429B697
951
14925
SH
SOLE
0
0
14925
ISHARES TR
20 YR TR BD ETF
464287432
8797
51272
SH
SOLE
0
0
51272
PROSHARES TR
S&P 500 DV ARIST
74348A467
637
8958
SH
SOLE
0
0
8958
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
384
16445
SH
SOLE
0
0
16445
VERIZON COMMUNICATIONS INC
COM
92343V104
1482
25596
SH
SOLE
0
0
25596
AKAMAI TECHNOLOGIES INC
COM
00971T101
596
5334
SH
SOLE
0
0
5334
MARRIOTT INTL INC NEW
CL A
571903202
684
7943
SH
SOLE
0
0
7943
QUALCOMM INC
COM
747525103
512
4615
SH
SOLE
0
0
4615
VERTICAL CAP INCOME FD
SHS BEN INT
92535C104
143
14754
SH
SOLE
0
0
14754
INTERCONTINENTAL EXCHANGE IN
COM
45866F104
260
2712
SH
SOLE
0
0
2712
FIRST TRUST PORTFOLIOS LP
SHS
337345102
945
8018
SH
SOLE
0
0
8018
PAYPAL HLDGS INC
COM
70450Y103
835
4233
SH
SOLE
0
0
4233
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
977
21933
SH
SOLE
0
0
21933
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
629
14347
SH
SOLE
0
0
14347
THERMO FISHER SCIENTIFIC INC
COM
883556102
536
1290
SH
SOLE
0
0
1290
PALO ALTO NETWORKS INC
COM
697435105
589
2309
SH
SOLE
0
0
2309
ISHARES TR
IBOXX INV CP ETF
464287242
1391
10027
SH
SOLE
0
0
10027
GOLDMAN SACHS ETF TR
ACCESS INVT GR
381430479
1444
25480
SH
SOLE
0
0
25480
SOLAREDGE TECHNOLOGIES INC
COM
83417M104
299
1526
SH
SOLE
0
0
1526
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
220
1314
SH
SOLE
0
0
1314
CHEWY INC
CL A
16679L109
722
12426
SH
SOLE
0
0
12426
NUVEEN INTER DURATION MN TMF
COM
670671106
195
14500
SH
SOLE
0
0
14500