Castellan

Registered investment adviser · Louisville, KY · CRD #299363

Form ADV data as of 2026-09-01

Regulatory assets

$882.2 million

Total accounts

106

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/19147779
Telephone: 859.494.0523
SEC file number: 801-119581
Most recent Form ADV filing: 2026-03-25
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$881.1 million
Non-discretionary regulatory assets under management	$1.1 million
Total regulatory assets under management	$882.2 million
Discretionary accounts	103
Non-discretionary accounts	3
Total accounts	106
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	8
Employees performing investment advisory functions (including research)	4
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	4
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	1
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$36.5 million
Clients for whom the firm has custody	7
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	10

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Performance-based fees

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehicles

Other business activities

Insurance broker or agent

Affiliated related persons

Sponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends securities for which it serves as underwriter or general partner
Recommends brokers or dealers to clients

Client types

Type of client	Clients	Assets
High net worth individuals	12	$650.9 million
Investment companies	2	$35.7 million
Pooled investment vehicles (other than investment companies and BDCs)	9	$59.9 million
Charitable organizations	Not reported	$128.6 million
Corporations or other businesses not listed above	Not reported	$7.1 million