AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RD

Robert W. Davis

Some features on this profile are disabled
CRD#: 1457362
RD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Wayne Davis, who also goes by Bob Davis, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Davis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 19, 2017 - March 11, 2025

CASTLE ROCK WEALTH MANAGEMENT, LLC

RIA
CRD#: 199513
WALNUT CREEK, CA
Past

April 28, 2011 - March 7, 2018

DAVIS INVESTMENT GROUP

RIA
CRD#: 156678
VALLEJO, CA
Past

May 8, 2007 - February 28, 2011

COMPASS INVESTMENTS LLC

RIA
CRD#: 141323
PITTSBURGH, PA
Past

May 22, 1998 - October 2, 2006

BAYSIDE FINANCIAL, LLC

BD
CRD#: 44211
WALNUT CREEK, CA
Past

April 30, 1992 - April 14, 1998

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

April 29, 1986 - March 26, 1992

INTERFIRST CAPITAL CORPORATION

BD
CRD#: 7659
LOS ANGELES, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CR
CASTLE ROCK WEALTH MANAGEMENT, LLC
CASTLE ROCK WEALTH MANAGEMENT, LLC | SC RETIREMENT

CRD#: 199513 / SEC#: 801-110593

RIA
Registered Investment Advisory firm - (6/9/2017 Approved)
Arizona
Registered Investment Advisory firm - (6/12/2017 Terminated)
California
Registered Investment Advisory firm - (7/12/2017 Terminated)
Idaho
Registered Investment Advisory firm - (6/12/2017 Terminated)
Texas
Registered Investment Advisory firm - (6/12/2017 Terminated)
Washington
Registered Investment Advisory firm - (6/19/2017 Terminated)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/2/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/19/1986
General Securities Representative Examination

Current Firm

CR
CASTLE ROCK WEALTH MANAGEMENT, LLC
CASTLE ROCK WEALTH MANAGEMENT, LLC | SC RETIREMENT

CRD#: 199513 / SEC#: 801-110593

RIA
Registered Investment Advisory firm - (6/9/2017 Approved)
Arizona
Registered Investment Advisory firm - (6/12/2017 Terminated)
California
Registered Investment Advisory firm - (7/12/2017 Terminated)
Idaho
Registered Investment Advisory firm - (6/12/2017 Terminated)
Texas
Registered Investment Advisory firm - (6/12/2017 Terminated)
Washington
Registered Investment Advisory firm - (6/19/2017 Terminated)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1777 Botelho Dr. Suite 105, Walnut Creek, CA 94596
Mailing Address
Phone number
(925) 478-8800
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CASTLE ROCK WEALTH MANAGEMENT ADV PART 2 (4/29/2025)

Regulatory assets under management

Total Number of Accounts1,904
AUM (Assets Under Management)$ 521,757,846

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CASTLE ROCK WEALTH MANAGEMENT, LLC

CRD#: 199513

TRUST BUT VERIFY

Monitor Robert Davis

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.