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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

IRONWOOD CAPITAL ADVISORS LLC

IRONWOOD CAPITAL ADVISORS III LLC, CRD 161221

AVON, CT

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:965a3f9e-22c6-53b7-3891-6e412f2d83de

Data as of Apr 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 3
On other graphs: 2
Observed: Mar 20, 2012 to Apr 18, 2022
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Ironwood Capital Advisors III LLC

Private equity manager · shared crd

Private Creditidentity

Ironwood Capital Advisors III LLC

Private credit manager · shared crd

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $869MItem 5.F on the latest filing (2022-04-18); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $869M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees: 18
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 7
Private funds: 7Schedule D 7.B(1)
Private fund GAV: $869Mgross asset value as reported per fund; never fund size
Custody, client assets: $0
SEC number: 801-74703
CRD: 161221
Filings on the tape: 16
First filed: Mar 20, 2012
Latest filed: Apr 18, 2022
Organised: Limited Liability Company, Delaware

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
IRONWOOD MEZZANINE FUND III-A LP	Private Equity Fund	$28.4M	Mar 27, 2024	18	Mar 20, 2012	reported	021-166771
IRONWOOD MEZZANINE FUND III LP	Private Equity Fund	$25.6M	Mar 27, 2024	23	Mar 20, 2012	reported	021-166772
CONNECTICUT GROWTH FUND, LP	Other Private Fund	$6.6M	Sep 12, 2012	32	Mar 20, 2012	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
BARRA, JAMES, RAYMOND	PARTNER AND CHIEF OPERATING OFFICER	Na	yes	06/2011	Mar 20, 2012	Apr 18, 2022
GALIETTE, CAROLYN, CUSWORTH	PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	08/2015	Mar 20, 2012	Apr 18, 2022
LEVENTAL, ALEXANDER	Partner	Na	yes	01/2021	Dec 24, 2021	Apr 18, 2022
LUCE, ZACHARY, ROBERT	PARTNER AND CHIEF FINANCIAL OFFICER	Na	yes	01/2021	Apr 13, 2018	Apr 18, 2022
REICH, MARC, ANDREW	PARTNER AND CHAIRMAN	Na	yes	08/2015	Mar 20, 2012	Apr 18, 2022
ROCHE, JR., ROGER, JAMES	Partner	Na	yes	06/2011	Mar 20, 2012	Apr 18, 2022
SUIT, DICKSON	Partner	Na	yes	06/2011	Mar 20, 2012	Apr 18, 2022
IRONWOOD CAPITAL HOLDINGS LLC	Owner	E	no	06/2011	Mar 20, 2012	Apr 18, 2022
STOTLER, ELLEN, DRISCOLL	CHIEF COMPLIANCE OFFICER AND VP, INVESTMENT OPERATIONS	Na	no	06/2011	Mar 20, 2012	Apr 18, 2022

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
IRONWOOD CAPITAL ADVISORS II LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD CAPITAL ADVISORS IV LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD CAPITAL ADVISORS V LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD CAPITAL CONNECTICUT I LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD CAPITAL MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD CAPITAL MANAGEMENT V LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD CAPITAL MANAGEMENT V SBIC LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD EQUITY MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD MEZZANINE MANAGEMENT II LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD MEZZANINE MANAGEMENT III LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD MEZZANINE MANAGEMENT III-A LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD MEZZANINE MANAGEMENT IV LLC	n/a	n/a	n/a	N	yes	n/a
IRONWOOD MEZZANINE MANAGEMENT IV-A LLC	n/a	n/a	n/a	N	yes	n/a

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
2021	Mar 31, 2022	$786M	$786M	20	18	0	5	$786M
2020	Mar 31, 2021	$575M	$528M	20	18	0	10	$427M
2019	Mar 31, 2020	$656M	$601M	20	20	0	10	$417M
2018	Mar 28, 2019	$730M	$669M	19	19	0	10	$401M
2017	Mar 31, 2018	$592M	$522M	19	19	0	10	$368M
2016	Mar 31, 2017	$411M	$326M	19	19	n/a	9	$334M
2015	Mar 30, 2016	$469M	$382M	18	18	n/a	6	$386M
2014	Mar 30, 2015	$471M	$471M	18	18	n/a	3	$350M
2013	Mar 31, 2014	$496M	$496M	18	18	n/a	3	$363M
2012	Mar 28, 2013	$493M	$493M	15	15	n/a	3	$138M

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
2021	$869M	$575M	51.2%	$730M	6.0%	20	20	0	0

Relationships

Affiliated with (1)

← IRONWOOD CAPITAL ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (3)

→ IRONWOOD MEZZANINE FUND III LPPrivate fundPrivate Equity Fund, ERA
Mar 20, 2012 to presentfactForm ADV
→ IRONWOOD MEZZANINE FUND III-A LPPrivate fundPrivate Equity Fund, ERA
Mar 20, 2012 to presentfactForm ADV
→ CONNECTICUT GROWTH FUND, LPPrivate fundOther Private Fund, IA, no longer reported
Mar 20, 2012 to Sep 12, 2012factForm ADV

Controls (7)

← GALIETTE, CAROLYN, CUSWORTHOwnerPARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← REICH, MARC, ANDREWOwnerPARTNER AND CHAIRMAN, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← LEVENTAL, ALEXANDEROwnerPARTNER, ownership code NA, individual
Dec 24, 2021 to presentfactForm ADV
← BARRA, JAMES, RAYMONDOwnerPARTNER AND CHIEF OPERATING OFFICER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← SUIT, DICKSONOwnerPARTNER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← ROCHE, JR., ROGER, JAMESOwnerPARTNER, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← LUCE, ZACHARY, ROBERTOwnerPARTNER AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 13, 2018 to presentfactForm ADV

Owns (2)

← STOTLER, ELLEN, DRISCOLLOwnerCHIEF COMPLIANCE OFFICER AND VP, INVESTMENT OPERATIONS, ownership code NA, individual
Mar 20, 2012 to presentfactForm ADV
← IRONWOOD CAPITAL HOLDINGS LLCOwnerOWNER, ownership code E, domestic entity
Mar 20, 2012 to presentfactForm ADV

Dated events

Occurred
Mar 31, 2022
Regulatory AUM changed
Ironwood Capital Advisors Llc reported RAUM $786.1M, up 37% from $574.8M (2021-12-24 to 2022-03-31)
Form ADVobserved 6 days ago
$211M
Occurred
Dec 24, 2021
Control person joined
Alexander Levental (Partner) appeared on Schedule A of Ironwood Capital Advisors Llc
Form ADVobserved 6 days ago
Occurred
Mar 31, 2018
Regulatory AUM changed
Ironwood Capital Advisors Llc reported RAUM $592.0M, up 44% from $410.9M (2017-03-31 to 2018-03-31)
Form ADVobserved 6 days ago
$181M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:965a3f9e-22c6-53b7-3891-6e412f2d83de
First observed: Mar 20, 2012
Last observed: Apr 18, 2022 53 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.

IRONWOOD CAPITAL ADVISORS LLC

IRONWOOD CAPITAL ADVISORS III LLC, CRD 161221

AVON, CT

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:965a3f9e-22c6-53b7-3891-6e412f2d83de

Data as of Apr 18, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:41 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

IRONWOOD MEZZANINE FUND III-A LP

Private Equity Fund

$28.4M

Mar 27, 2024

Mar 20, 2012

reported

021-166771

IRONWOOD MEZZANINE FUND III LP

Private Equity Fund

$25.6M

Mar 27, 2024

Mar 20, 2012

reported

021-166772

CONNECTICUT GROWTH FUND, LP

Other Private Fund

$6.6M

Sep 12, 2012

Mar 20, 2012

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARRA, JAMES, RAYMOND

PARTNER AND CHIEF OPERATING OFFICER

yes

06/2011

Mar 20, 2012

Apr 18, 2022

GALIETTE, CAROLYN, CUSWORTH

PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

08/2015

Mar 20, 2012

Apr 18, 2022

LEVENTAL, ALEXANDER

Partner

yes

01/2021

Dec 24, 2021

Apr 18, 2022

LUCE, ZACHARY, ROBERT

PARTNER AND CHIEF FINANCIAL OFFICER

yes

01/2021

Apr 13, 2018

Apr 18, 2022

REICH, MARC, ANDREW

PARTNER AND CHAIRMAN

yes

08/2015

Mar 20, 2012

Apr 18, 2022

ROCHE, JR., ROGER, JAMES

Partner

yes

06/2011

Mar 20, 2012

Apr 18, 2022

SUIT, DICKSON

Partner

yes

06/2011

Mar 20, 2012

Apr 18, 2022

IRONWOOD CAPITAL HOLDINGS LLC

Owner

06/2011

Mar 20, 2012

Apr 18, 2022

STOTLER, ELLEN, DRISCOLL

CHIEF COMPLIANCE OFFICER AND VP, INVESTMENT OPERATIONS

06/2011

Mar 20, 2012

Apr 18, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

IRONWOOD CAPITAL ADVISORS II LLC

n/a

yes

n/a

IRONWOOD CAPITAL ADVISORS IV LLC

n/a

yes

n/a

IRONWOOD CAPITAL ADVISORS V LLC

n/a

yes

n/a

IRONWOOD CAPITAL CONNECTICUT I LLC

n/a

yes

n/a

IRONWOOD CAPITAL MANAGEMENT LLC

n/a

yes

n/a

IRONWOOD CAPITAL MANAGEMENT V LLC

n/a

yes

n/a

IRONWOOD CAPITAL MANAGEMENT V SBIC LLC

n/a

yes

n/a

IRONWOOD EQUITY MANAGEMENT LLC

n/a

yes

n/a

IRONWOOD MEZZANINE MANAGEMENT II LLC

n/a

yes

n/a

IRONWOOD MEZZANINE MANAGEMENT III LLC

n/a

yes

n/a

IRONWOOD MEZZANINE MANAGEMENT III-A LLC

n/a

yes

n/a

IRONWOOD MEZZANINE MANAGEMENT IV LLC

n/a

yes

n/a

IRONWOOD MEZZANINE MANAGEMENT IV-A LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 31, 2022

$786M

2020

Mar 31, 2021

$575M

$528M

$427M

2019

Mar 31, 2020

$656M

$601M

$417M

2018

Mar 28, 2019

$730M

$669M

$401M

2017

Mar 31, 2018

$592M

$522M

$368M

2016

Mar 31, 2017

$411M

$326M

n/a

$334M

2015

Mar 30, 2016

$469M

$382M

n/a

$386M

2014

Mar 30, 2015

$471M

n/a

$350M

2013

Mar 31, 2014

$496M

n/a

$363M

2012

Mar 28, 2013

$493M

n/a

$138M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$869M

$575M

51.2%

$730M

6.0%