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Our story

Castle Rock Investment Company, formed in 2006, is an independent woman-owned SEC-registered investment adviser located in Castle Rock, Colorado. Specialties include advising workplace retirement plans, including 401(a), 401(k), 403(b), 457, profit sharing, employee stock ownership, defined benefit plans and individual financial planning.

Capabilities Statement

Catalog of Services

Woman Owned Small Business Certification

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Michele Suriano Founder

Our founder

Career

Prior to founding the firm in 2006, Michele Suriano served plan sponsors as a retirement plan adviser for Ceridian (2002-2006) and retail investors as an investment adviser with T. Rowe Price, Inc. (1999-2002).  Between 1994 and 1999 she worked in the mortgage industry holding several positions including Executive Branch Manager for Transamerica Financial Services, Inc. in Colorado Springs, CO and Advanta Finance, Inc. in Vienna, VA.

Volunteer Work

In addition to her business activities, Michele teaches yoga at https://peaceoutyoga.com/ and serves on the Investment Committee for Disability Law Colorado (“DLC”), a nonprofit organization protecting the human, civil and legal rights of people with disabilities and older people. She served on the Board of Directors for DLC from 2011 – 2017). She served as Crew Leader for Keepers of the Rock, in partnership with the Town’s Teen Court program (2005 – 2018). https://www.crgov.com/2370/Trail-Maintenance-Groups She served on the Board of Directors for the Denver chapter of the Western Pension & Benefits Council (2007- 2013).

Additional Designations
  • Tax-Exempt & Governmental Plan Consultant (“TGPC”) certification awarded by the American Society of Pension Professional and Actuaries (“ASPPA”).
  • Qualified Plan Financial Consultant (“QPFC”) designation awarded by ASPPA
  • Accredited Investment Fiduciary™ (“AIF®”) designation awarded by the Center for Fiduciary Studies
  • Global Fiduciary Strategist (“GFS”) designation
  • Thunderbird's Certificate in Fiduciary Governance
  • Bachelor of Science Degree in Applied Economics from Hofstra University.
  • Leadership Development Institute at Glen Eyrie from the Navigators
Public Speaking Engagements
  • Panelist at the 2010 PLANADVISER National Conference in Orlando, FL
  • Panelist at the 2011 PLANSPONSOR National Conference in Chicago, IL, PSNC 2011:  Small Plans, Big Challenges, https://www.plansponsor.com/psnc-2011-small-plans-big-challenges/
  • Presented at the 2011 Rocky Mountain Area Conference on the importance of measuring retirement readiness and using plan design to optimize participant outcomes.
  • Presented at the September 2012, Rocky Mountain Area Conference on the plan-level and participant-level ERISA notice requirements, “408(b)(2) for Responsible Fiduciaries.”
  • Panelist at the 2013 PLANSPONSOR National Conference in Chicago, IL PSNC 2013:  Metric Taking, https://www.plansponsor.com/psnc-2013-metric-taking/
Referenced in Trade Publications

Quoted in several articles by the retirement benefits industry trade publications, www.plansponsor.com and www.planadviser.com

    1. The Moment of Truth, The 408(b)(2) fee disclosure rule is a tremendous opportunity for advisers https://www.planadviser.com/magazine/the-moment-of-truth/
    2. Getting Wired, Seven keys for advisers to use social media effectively. https://www.planadviser.com/magazine/getting-wired/
Passed these FINRA examinations:
  • Series 6 (Investment Company and Variable Contracts Products Representatives)
  • Series 7 (General Securities Representative)
  • Series 63 (Uniform Securities State Law)
  • Series 66 (Uniform Combined State Law).
  • Passed the Colorado state insurance exams for life, health and variable annuities.
Adviser to Finalists for Plan Sponsor of the Year (2013 and 2017)

Our values

Transparency. Honesty. Trust. Creative Solutions.

This is what you can expect when you work with Castle Rock Investment Company.

We believe

You always come first. You will always know what you are paying for when you trust us with your finances. No hidden fees. No commissions.

FallStroll Castle Rock
Cattle Drive through Castle Rock
Starlighting 2023 Fireworks
Starlighting 2023 Guests
Keepers of the Rock