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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

TOWLE & CO

CRD 110862

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:48cb16f4-a6c8-1d1c-4a0d-24b97de981e1

Data as of Jul 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 7
On other graphs: 0
Observed: Mar 13, 2012 to Jul 16, 2026
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: other adviserderivedprivate_client_share=0.11 fund_share=0.68 institutional_share=0.21 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $474MItem 5.F on the latest filing (2026-07-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $474M
Private client RAUM: $51.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 11%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $94.7Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 9
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 31
Individual clients: 0
High net worth clients: 17
Private funds: 2Schedule D 7.B(1)
Custody, client assets: $46.3M
SEC number: 801-16622
CIK: 1224014
CRD: 110862
Filings on the tape: 30
First filed: Mar 13, 2012
Latest filed: Jul 16, 2026
Organised: Corporation, MO
Website: smallcapvalue.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
CHRISTOPHER DALY TOWLE	n/a	DENVER, CO	30	31	n/a	no
PETER JAMES LEWIS	Chartered Financial Analyst	DENVER, CO \| CHESTERFIELD, MO	25	32	n/a	no
Gabriel Lukas Barthelmess	Chartered Financial Analyst	DENVER, CO	7	11	n/a	no
BROOKE CONNORS MCMAHON	n/a	DENVER, CO	1	10	n/a	no
BRETT JONATHAN MEYER	Chartered Financial Analyst	DENVER, CO \| Larkspur, CA	0	16	1	no

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
TOWLE CAPITAL PARTNERS II, LP	Other Private Fund	$106M	Mar 31, 2017	30	Mar 13, 2012	dropped	n/a
TOWLE CAPITAL PARTNERS, LP	Other Private Fund	$74.5M	Oct 1, 2024	61	Mar 13, 2012	reported	021-1143057
TOWLE EVOLUTION MASTER FUND, LP	Hedge Fund	$59.1M	Oct 1, 2024	38	Mar 31, 2022	reported	021-437384
TOWLE INSTITUTIONAL PARTNERS, LP	Hedge Fund	$382,462	Nov 19, 2021	2	Mar 27, 2019	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SHIELDS, JAMES, MATTHEW	HEAD OF PRIVATE FUNDS; SECRETARY	Na	yes	10/2021	Nov 9, 2021	Oct 1, 2024
THE WOODY TRUST	OWNERSHIP TRUST	C	yes	12/2020	Mar 31, 2021	Oct 1, 2024
TOWLE, CHRISTOPHER, DALY	CHIEF EXECUTIVE OFFICER; DIRECTOR; TRUSTEE OF THE WOODY TRUST	C	yes	07/2009	Mar 13, 2012	Oct 1, 2024
TOWLE, CHRISTOPHER, DALY	SOLE OWNER OF WISHWOOD LLC	E	yes	01/2022	Mar 13, 2012	Oct 1, 2024
WISHWOOD, LLC	OWNERSHIP ENTITY	D	yes	01/2022	Mar 31, 2022	Oct 1, 2024
Barthelmess, Gabriel, Lukas	Director	Na	no	03/2024	Mar 28, 2024	Oct 1, 2024
HOPFENSPERGER, CARI, ANN	CHIEF COMPLIANCE OFFICER	Na	no	10/2021	Nov 9, 2021	Oct 1, 2024
MCMAHON, BROOKE, CONNORS	HEAD OF BUSINESS OPERATIONS; TREASURER	Na	no	04/2022	Mar 28, 2023	Oct 1, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
TOWLE FUND MANAGEMENT, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026	$474M	$474M	9	4	1	2	n/a
2024	Mar 31, 2025	$609M	$609M	9	5	1	2	n/a
2023	Mar 28, 2024	$879M	$879M	10	5	3	2	$134M
2022	Mar 28, 2023	$773M	$773M	10	5	3	2	$135M
2021	Mar 31, 2022	$843M	$843M	9	5	3	2	$94.0M
2020	Mar 31, 2021	$783M	$783M	9	6	1	2	$86.1M
2019	Mar 26, 2020	$889M	$889M	9	6	2	2	$88.1M
2018	Mar 27, 2019	$795M	$795M	9	6	0	2	$76.5M
2017	Mar 29, 2018	$1.0B	$1.0B	8	5	0	1	$122M
2016	Mar 31, 2017	$766M	$766M	8	5	n/a	2	$207M
2015	Mar 14, 2016	$459M	$459M	8	5	n/a	2	$143M
2014	Apr 1, 2015	$561M	$561M	8	5	n/a	2	$143M
2013	Mar 24, 2014	$545M	$545M	8	5	n/a	2	$143M
2012	Mar 22, 2013	$354M	$354M	7	4	n/a	2	$100M
2011	Mar 13, 2012	$308M	$308M	n/a	n/a	n/a	2	$90.9M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	1	0	20.0%	0	0	0	1	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$474M	$609M	-22.2%	$773M	-15.1%	9	9	1	1

Relationships

Registered with (7)

← BRETT JONATHAN MEYERAdvisorregistration: current employment
Nov 14, 2025 to presentfactForm ADV
← BROOKE CONNORS MCMAHONAdvisorregistration: current employment
Apr 15, 2025 to presentfactForm ADV
← Gabriel Lukas BarthelmessAdvisorregistration: current employment
Sep 17, 2019 to presentfactForm ADV
← PETER JAMES LEWISAdvisorregistration: current employment
Sep 12, 2001 to presentfactForm ADV
← CHRISTOPHER DALY TOWLEAdvisorregistration: current employment
Mar 11, 1996 to presentfactForm ADV
← JAMES MATTHEW SHIELDSAdvisorregistration: previous registration
May 15, 2015 to Jun 8, 2026factForm ADV
← JOHN MITCHELL GILLISAdvisorregistration: previous registration
Dec 15, 2022 to Apr 17, 2024factForm ADV

Advises (4)

→ TOWLE CAPITAL PARTNERS, LPPrivate fundOther Private Fund, IA
Mar 13, 2012 to presentfactForm ADV
→ TOWLE EVOLUTION MASTER FUND, LPPrivate fundHedge Fund, IA
Mar 31, 2022 to presentfactForm ADV
→ TOWLE INSTITUTIONAL PARTNERS, LPPrivate fundHedge Fund, IA, no longer reported
Mar 27, 2019 to Nov 19, 2021factForm ADV
→ TOWLE CAPITAL PARTNERS II, LPPrivate fundOther Private Fund, IA, no longer reported
Mar 13, 2012 to Mar 31, 2017factForm ADV

Controls (4)

← TOWLE, CHRISTOPHER, DALYOwnerSOLE OWNER OF WISHWOOD LLC, ownership code E, individual
Mar 13, 2012 to Oct 1, 2024factForm ADV
← SHIELDS, JAMES, MATTHEWOwnerHEAD OF PRIVATE FUNDS; SECRETARY, ownership code NA, individual
Nov 9, 2021 to Oct 1, 2024factForm ADV
← THE WOODY TRUSTOwnerOWNERSHIP TRUST, ownership code C, domestic entity
Mar 31, 2021 to Oct 1, 2024factForm ADV
← WISHWOOD, LLCOwnerOWNERSHIP ENTITY, ownership code D, domestic entity
Mar 31, 2022 to Oct 1, 2024factForm ADV

Owns (3)

← HOPFENSPERGER, CARI, ANNOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 9, 2021 to Oct 1, 2024factForm ADV
← Barthelmess, Gabriel, LukasOwnerDIRECTOR, ownership code NA, individual
Mar 28, 2024 to Oct 1, 2024factForm ADV
← MCMAHON, BROOKE, CONNORSOwnerHEAD OF BUSINESS OPERATIONS; TREASURER, ownership code NA, individual
Mar 28, 2023 to Oct 1, 2024factForm ADV

Dated events

Occurred
Jun 8, 2026
Advisor changed firm
James Matthew Shields left Towle & Co for J.P. Morgan Securities Llc (registered 2026-08-21)
Form ADVobserved 5 days ago
Occurred
Mar 31, 2025
Regulatory AUM changed
Towle & Co reported RAUM $608.7M, down 31% from $879.3M (2024-10-01 to 2025-03-31)
Form ADVobserved 5 days ago
$-271M
Occurred
Apr 17, 2024
Advisor changed firm
John Mitchell Gillis left Towle & Co for J.P. Morgan Securities Llc (registered 2024-04-25)
Form ADVobserved 5 days ago
Occurred
Jun 29, 2022
Control person left
Wright Joseph Bradley (Chief Operating Officer And Director Of Client Relations) no longer on Schedule A of Towle & Co (listed 2022-03-31, absent 2022-06-29)
Form ADVobserved 5 days ago
Occurred
Nov 9, 2021
Control person left
Ellwood Joseph Towle (Chairman) no longer on Schedule A of Towle & Co (listed 2021-07-26, absent 2021-11-09)
Form ADVobserved 5 days ago
Occurred
Nov 9, 2021
Control person joined
Matthew James Shields (Head Of Private Funds) appeared on Schedule A of Towle & Co
Form ADVobserved 5 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Towle & Co reported RAUM $1.0B, up 36% from $766.3M (2017-03-31 to 2018-03-29)
Form ADVobserved 5 days ago
$275M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48cb16f4-a6c8-1d1c-4a0d-24b97de981e1
First observed: Mar 13, 2012
Last observed: Jul 16, 2026 2 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

TOWLE & CO

CRD 110862

DENVER, CO

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:48cb16f4-a6c8-1d1c-4a0d-24b97de981e1

Data as of Jul 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:04 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

CHRISTOPHER DALY TOWLE

n/a

DENVER, CO

n/a

PETER JAMES LEWIS

Chartered Financial Analyst

DENVER, CO | CHESTERFIELD, MO

n/a

Gabriel Lukas Barthelmess

Chartered Financial Analyst

DENVER, CO

n/a

BROOKE CONNORS MCMAHON

n/a

DENVER, CO

n/a

BRETT JONATHAN MEYER

Chartered Financial Analyst

DENVER, CO | Larkspur, CA

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

TOWLE CAPITAL PARTNERS II, LP

Other Private Fund

$106M

Mar 31, 2017

Mar 13, 2012

dropped

n/a

TOWLE CAPITAL PARTNERS, LP

Other Private Fund

$74.5M

Oct 1, 2024

Mar 13, 2012

reported

021-1143057

TOWLE EVOLUTION MASTER FUND, LP

Hedge Fund

$59.1M

Oct 1, 2024

Mar 31, 2022

reported

021-437384

TOWLE INSTITUTIONAL PARTNERS, LP

Hedge Fund

$382,462

Nov 19, 2021

Mar 27, 2019

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SHIELDS, JAMES, MATTHEW

HEAD OF PRIVATE FUNDS; SECRETARY

yes

10/2021

Nov 9, 2021

Oct 1, 2024

THE WOODY TRUST

OWNERSHIP TRUST

yes

12/2020

Mar 31, 2021

Oct 1, 2024

TOWLE, CHRISTOPHER, DALY

CHIEF EXECUTIVE OFFICER; DIRECTOR; TRUSTEE OF THE WOODY TRUST

yes

07/2009

Mar 13, 2012

Oct 1, 2024

TOWLE, CHRISTOPHER, DALY

SOLE OWNER OF WISHWOOD LLC

yes

01/2022

Mar 13, 2012

Oct 1, 2024

WISHWOOD, LLC

OWNERSHIP ENTITY

yes

01/2022

Mar 31, 2022

Oct 1, 2024

Barthelmess, Gabriel, Lukas

Director

03/2024

Mar 28, 2024

Oct 1, 2024

HOPFENSPERGER, CARI, ANN

CHIEF COMPLIANCE OFFICER

10/2021

Nov 9, 2021

Oct 1, 2024

MCMAHON, BROOKE, CONNORS

HEAD OF BUSINESS OPERATIONS; TREASURER

04/2022

Mar 28, 2023

Oct 1, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

TOWLE FUND MANAGEMENT, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$474M

n/a

2024

Mar 31, 2025

$609M

n/a

2023

Mar 28, 2024

$879M

$134M

2022

Mar 28, 2023

$773M

$135M

2021

Mar 31, 2022

$843M

$94.0M

2020

Mar 31, 2021

$783M

$86.1M

2019

Mar 26, 2020

$889M

$88.1M

2018

Mar 27, 2019

$795M

$76.5M

2017

Mar 29, 2018

$1.0B

$122M

2016

Mar 31, 2017

$766M

n/a

$207M

2015

Mar 14, 2016

$459M

n/a

$143M

2014

Apr 1, 2015

$561M

n/a

$143M

2013

Mar 24, 2014

$545M

n/a

$143M

2012

Mar 22, 2013

$354M

n/a

$100M

2011

Mar 13, 2012

$308M

n/a

$90.9M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

20.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$474M

$609M

-22.2%

$773M

-15.1%