Chief Compliance Officer

0001085146-21-003173.txt : 20211112 0001085146-21-003173.hdr.sgml : 20211112 20211112103914 ACCESSION NUMBER: 0001085146-21-003173 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211112 DATE AS OF CHANGE: 20211112 EFFECTIVENESS DATE: 20211112 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: 211401228 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 09-30-2021 09-30-2021 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 11-12-2021 0 254 292136 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABBOTT LABS COM 002824100 2700 21293 SH SOLE 0 0 21293 ABERDEEN STD GOLD ETF TR PHYSCL GOLD SHS 00326A104 264 15067 SH SOLE 0 0 15067 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 634 1728 SH SOLE 0 0 1728 ACTIVISION BLIZZARD INC COM 00507V109 837 12531 SH SOLE 0 0 12531 ADOBE SYSTEMS INCORPORATED COM 00724F101 1842 2765 SH SOLE 0 0 2765 ADVANCED MICRO DEVICES INC COM 007903107 2741 18255 SH SOLE 0 0 18255 AIRBNB INC COM CL A 009066101 562 2808 SH SOLE 0 0 2808 AKAMAI TECHNOLOGIES INC COM 00971T101 269 2481 SH SOLE 0 0 2481 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 849 5236 SH SOLE 0 0 5236 ALPHABET INC CAP STK CL A 02079K305 829 278 SH SOLE 0 0 278 ALPHABET INC CAP STK CL C 02079K107 2929 981 SH SOLE 0 0 981 ALTRIA GROUP INC COM 02209S103 333 7397 SH SOLE 0 0 7397 AMAZON COM 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ETF 464288877 291 5542 SH SOLE 0 0 5542 ISHARES TR ESG ADV TTL USD 46436E619 251 5061 SH SOLE 0 0 5061 ISHARES TR ESG AW MSCI EAFE 46435G516 396 4810 SH SOLE 0 0 4810 ISHARES TR ESG AWARE MSCI 46435U663 355 8297 SH SOLE 0 0 8297 ISHARES TR ESG AWR MSCI USA 46435G425 1360 12658 SH SOLE 0 0 12658 ISHARES TR ESG EAFE ETF 46436E759 245 3447 SH SOLE 0 0 3447 ISHARES TR ESG MSCI USA ETF 46436E767 553 13953 SH SOLE 0 0 13953 ISHARES TR EXPND TEC SC ETF 464287549 205 460 SH SOLE 0 0 460 ISHARES TR FALN ANGLS USD 46435G474 806 26593 SH SOLE 0 0 26593 ISHARES TR IBOXX HI YD ETF 464288513 820 9379 SH SOLE 0 0 9379 ISHARES TR IBOXX INV CP ETF 464287242 1586 11791 SH SOLE 0 0 11791 ISHARES TR ISHARES BIOTECH 464287556 407 2583 SH SOLE 0 0 2583 ISHARES TR JPMORGAN USD EMG 464288281 240 2163 SH SOLE 0 0 2163 ISHARES TR MSCI EAFE ETF 464287465 356 4350 SH SOLE 0 0 4350 ISHARES TR MSCI USA MIN VOL 46429B697 923 11851 SH SOLE 0 0 11851 ISHARES TR RUS MID CAP ETF 464287499 2255 26569 SH SOLE 0 0 26569 ISHARES TR RUSSELL 2000 ETF 464287655 1092 4500 SH SOLE 0 0 4500 ISHARES TR RUSSELL 3000 ETF 464287689 292 1046 SH SOLE 0 0 1046 ISHARES TR SHORT TREAS BD 464288679 341 3086 SH SOLE 0 0 3086 ISHARES TR TIPS BD ETF 464287176 695 5341 SH SOLE 0 0 5341 ISHARES TR U.S. FIN SVC ETF 464287770 691 3428 SH SOLE 0 0 3428 ISHARES TR U.S. MED DVC ETF 464288810 3021 46250 SH SOLE 0 0 46250 ISHARES TR US INDUSTRIALS 464287754 482 4230 SH SOLE 0 0 4230 ISHARES U S ETF TR BLACKROCK ST MAT 46431W507 755 15095 SH SOLE 0 0 15095 J P MORGAN EXCHANGE-TRADED F EQUITY PREMIUM 46641Q332 3964 64559 SH SOLE 0 0 64559 J P MORGAN EXCHANGE-TRADED F ULTRA SHRT INC 46641Q837 388 7666 SH SOLE 0 0 7666 JANUS DETROIT STR TR HENDRSN SHRT ETF 47103U886 1364 27290 SH SOLE 0 0 27290 JOHNSON & JOHNSON COM 478160104 2016 12376 SH SOLE 0 0 12376 JPMORGAN CHASE & CO ALERIAN ML ETN 46625H365 2022 104197 SH SOLE 0 0 104197 JPMORGAN CHASE & CO COM 46625H100 1044 6173 SH SOLE 0 0 6173 LAM RESEARCH CORP COM 512807108 332 545 SH 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SH SOLE 0 0 508 NEXTERA ENERGY INC COM 65339F101 779 9206 SH SOLE 0 0 9206 NUVEEN CA QUALTY MUN INCOME COM 67066Y105 306 19425 SH SOLE 0 0 19425 NUVEEN CALIFORNIA MUNI VLU F COM STK 67062C107 136 13026 SH SOLE 0 0 13026 NUVEEN PFD & INCM SECURTIES COM 67072C105 327 33268 SH SOLE 0 0 33268 NVIDIA CORPORATION COM 67066G104 9541 30973 SH SOLE 0 0 30973 PACCAR INC COM 693718108 731 8224 SH SOLE 0 0 8224 PACER FDS TR BNCHMRK INFRA 69374H741 322 7924 SH SOLE 0 0 7924 PACER FDS TR TRENDP US LAR CP 69374H105 263 6376 SH SOLE 0 0 6376 PACER FDS TR TRENDP US MID CP 69374H204 337 9097 SH SOLE 0 0 9097 PALANTIR TECHNOLOGIES INC CL A 69608A108 585 21861 SH SOLE 0 0 21861 PALATIN TECHNOLOGIES INC COM PAR $ .01 696077403 5 12000 SH SOLE 0 0 12000 PALO ALTO NETWORKS INC COM 697435105 1581 3057 SH SOLE 0 0 3057 PARKER-HANNIFIN CORP COM 701094104 449 1362 SH SOLE 0 0 1362 PAYPAL HLDGS INC COM 70450Y103 1669 7273 SH SOLE 0 0 7273 PEPSICO INC COM 713448108 1016 6254 SH SOLE 0 0 6254 PFIZER INC COM 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SECTOR SPDR TR SBI HEALTHCARE 81369Y209 294 2198 SH SOLE 0 0 2198 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 217 1290 SH SOLE 0 0 1290 SEMPRA COM 816851109 273 2175 SH SOLE 0 0 2175 SERVICENOW INC COM 81762P102 1251 1807 SH SOLE 0 0 1807 SIMON PPTY GROUP INC NEW COM 828806109 1647 9838 SH SOLE 0 0 9838 SNOWFLAKE INC CL A 833445109 1125 3034 SH SOLE 0 0 3034 SPDR DOW JONES INDL AVERAGE UT SER 1 78467X109 1173 3219 SH SOLE 0 0 3219 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 422 3298 SH SOLE 0 0 3298 SPDR INDEX SHS FDS S&P GBLINF ETF 78463X855 381 6860 SH SOLE 0 0 6860 SPDR S&P 500 ETF TR TR UNIT 78462F103 3658 7801 SH SOLE 0 0 7801 SPDR SER TR BLMBRG BRC CNVRT 78464A359 1638 18297 SH SOLE 0 0 18297 SPDR SER TR BLOMBERG BRC INV 78468R200 239 7814 SH SOLE 0 0 7814 SPDR SER TR NUVEEN BLMBRG SR 78468R739 436 8850 SH SOLE 0 0 8850 SPDR SER TR S&P RETAIL ETF 78464A714 676 6655 SH SOLE 0 0 6655 SPRINKLR INC CL A 85208T107 341 18522 SH SOLE 0 0 18522 SQUARE INC CL A 852234103 1072 4527 SH SOLE 0 0 4527 STARBUCKS CORP COM 855244109 305 2645 SH SOLE 0 0 2645 TARGET CORP COM 87612E106 2356 9300 SH SOLE 0 0 9300 TESLA INC COM 88160R101 1527 1313 SH SOLE 0 0 1313 THE ALGER ETF TRUST 35 ETF 015564206 1931 83103 SH SOLE 0 0 83103 THE ALGER ETF TRUST MID CAP 40 ETF 015564107 1964 77912 SH SOLE 0 0 77912 THE TRADE DESK INC COM CL A 88339J105 1277 14388 SH SOLE 0 0 14388 THERMO FISHER SCIENTIFIC INC COM 883556102 2157 3454 SH SOLE 0 0 3454 TREX CO INC COM 89531P105 1445 12480 SH SOLE 0 0 12480 UNION PAC CORP COM 907818108 1503 6277 SH SOLE 0 0 6277 UNITEDHEALTH GROUP INC COM 91324P102 1874 4051 SH SOLE 0 0 4051 UNITY SOFTWARE INC COM 91332U101 998 6117 SH SOLE 0 0 6117 VANECK ETF TRUST MRNGSTR WDE MOAT 92189F643 2906 37228 SH SOLE 0 0 37228 VANECK ETF TRUST PREFERRED SECURT 92189F429 634 29149 SH SOLE 0 0 29149 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 1344 15693 SH SOLE 0 0 15693 VANGUARD CHARLOTTE FDS TOTAL INT BD ETF 92203J407 597 10471 SH SOLE 0 0 10471 VANGUARD INDEX FDS EXTEND MKT ETF 922908652 528 2639 SH SOLE 0 0 2639 VANGUARD INDEX FDS GROWTH ETF 922908736 311 967 SH SOLE 0 0 967 VANGUARD INDEX FDS MCAP GR IDXVIP 922908538 273 1036 SH SOLE 0 0 1036 VANGUARD INDEX FDS TOTAL STK MKT 922908769 324 1337 SH SOLE 0 0 1337 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 689 13407 SH SOLE 0 0 13407 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 274 5247 SH SOLE 0 0 5247 VANGUARD SCOTTSDALE FDS MTG-BKD SECS ETF 92206C771 762 14325 SH SOLE 0 0 14325 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 447 5455 SH SOLE 0 0 5455 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 532 3181 SH SOLE 0 0 3181 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 281 5302 SH SOLE 0 0 5302 VANGUARD WORLD FD MEGA GRWTH IND 921910816 353 1356 SH SOLE 0 0 1356 VANGUARD WORLD FDS CONSUM DIS ETF 92204A108 706 2008 SH SOLE 0 0 2008 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 959 3692 SH SOLE 0 0 3692 VANGUARD WORLD FDS UTILITIES ETF 92204A876 1651 11378 SH SOLE 0 0 11378 VEEVA SYS INC CL A COM 922475108 211 658 SH SOLE 0 0 658 VERIZON COMMUNICATIONS INC COM 92343V104 1472 28131 SH SOLE 0 0 28131 VERTICAL CAP INCOME FD SHS BEN INT 92535C104 112 10605 SH SOLE 0 0 10605 VISA INC COM CL A 92826C839 2765 12539 SH SOLE 0 0 12539 WALMART INC COM 931142103 1054 7064 SH SOLE 0 0 7064 WASTE CONNECTIONS INC COM 94106B101 209 1550 SH SOLE 0 0 1550 WASTE MGMT INC DEL COM 94106L109 2010 12559 SH SOLE 0 0 12559 WELLS FARGO CO NEW COM 949746101 665 13068 SH SOLE 0 0 13068 WISDOMTREE TR FLOATNG RAT TREA 97717X628 502 20000 SH SOLE 0 0 20000 WISDOMTREE TR INTL SMCAP DIV 97717W760 647 8550 SH SOLE 0 0 8550 XCEL ENERGY INC COM 98389B100 308 4915 SH SOLE 0 0 4915 ZOOM VIDEO COMMUNICATIONS IN CL A 98980L101 601 2314 SH SOLE 0 0 2314