Legal Disclosures

Castle Asset Management, LLC ("Castle") is a registered investment adviser with its principal place of business in the State of New York.  The information presented herein is subject to change without notice and should not be considered as a solicitation to buy or sell any security.  Castle and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by those states in which Castle maintains clients.  Castle may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from notice filing requirements.  Any subsequent, direct communication by Castle with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides.  For information pertaining to the registration status of Castle, please contact us or refer to the Investment Adviser Public Disclosure web site ( For additional information about Castle, including fees and services, send for our disclosure statement as set forth on Form ADV and Form CRS.  Please read the disclosure statement carefully before you invest or send money.

This material is distributed with the understanding that we are not rendering accounting, legal or tax advice.  You should consult with independent advisors concerning such matters.  The risks described herein should not be assumed as the entire set of risks prevalent to your account.  Investors are urged to consider carefully the materials presented.  These views and strategies may not be suitable for all investors.  

Risks commonly associated with other types of investments are also applicable to the Wealth Builder and Managed Solutions products.  These risks include, but are not limited to: systemic risk, security-specific risk, liquidity risk, credit risk, interest rate risk, currency risk, political risk, and risks associated with non-standardized accounting.  The management of these risks is of significant importance when making decisions that affect your account.  Your account is discretionary and Castle Asset Management, LLC has the ability to trade on your behalf without your prior knowledge or consent.  All trades made are assumed to be in your best interest.  Interference with our execution process can, and will, result in the removal of your account from our Wealth Builder or Managed Solutions platform.

IRS Circular 230 Disclosure: Castle Asset Management, LLC and its affiliates do not provide tax advice.  Accordingly, any discussion of U.S. tax matters contained herein, including any attachments, is not intended or written to be used, and cannot be used, in connection with the promotion, marketing or recommendation by anyone unaffiliated with Castle Asset Management, LLC of any of the matters addressed herein or for the purpose of avoiding U.S. tax-related penalties.  Each recipient of these materials, and each agent thereof, may disclose to any person, without limitation, the U.S. income and franchise tax treatment and tax structure of the transactions described herein and may disclose all materials of any kind (including opinions or other tax analyses) provided to each recipient insofar as the materials relate to a U.S. income or franchise tax strategy provided to such recipient by Castle Asset Management, LLC and its subsidiaries.  As applicable, portions of the material contained in this document are provided in association with third parties.  All rights reserved. Any copying, republication or redistribution of this content is expressly prohibited.

Past performance is no guarantee, nor indicator, of future results.