DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Redwood Investments, LLC
Latest filing May 19, 2026
First filing on the tape Mar 30, 2012 · 42 filings
SEC status approved since Oct 20, 2004
RAUM
$710M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
9.7%
$68.9M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$178M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$710M as of May 19, 2026
Mar 30, 2012$675M then
HNW client RAUM$68.8M as of May 19, 2026
Mar 26, 2018$114M then
State-registered IARs (5.B.3)0 as of May 19, 2026
Mar 30, 20120 then
Employees (5.A)6 as of May 19, 2026
Mar 28, 20139 then
Private funds: no history
RAUM -32% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
- RAUM per advisor
- $178MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $8.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 59%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$401M56%
- Investment companies$209M29%
- High-net-worth individuals$68.8M9.7%
- Charitable organizations$16.8M2.4%
- Pooled investment vehicles$10.6M1.5%
- Corporations and businesses$2.5M0.4%
- Pension and profit-sharing plans$1.2M0.2%
- Individuals$118,5920.0%
- Individual clients
- 1reported
- HNW clients
- 63reported
- Pension plan clients
- 1reported
- Charitable clients
- 2reported
- Accounts
- 85reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.1 fund_share=0.31 institutional_share=0.59 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jennifer Katz SilverChartered Financial Analyst | Newton, Ma | Oct 24, 2004 | 28 y | 1 |
| Michael J MufsonChartered Financial Analyst | Newton, Ma | Nov 30, 2004 | 22 y | 0 |
| Ezra S SametChartered Financial Analyst | Boston, Ma | Sep 18, 2018 | 20 y | 0 |
| Donald William SmithChartered Financial Analyst | Boston, Ma | Mar 15, 2019 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Jennifer Katz Silver from Neuberger Berman Bd LLCOct 24, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Cayley Daniel Chung · Board Of Managerscontrolsince 01/2024 · owns less than 5%
- Agnes Maureen Hendricks · Board Of Managerscontrolsince 01/2024 · owns less than 5%
- Hal Liebes · Board Of Managerscontrolsince 01/2024 · owns less than 5%
- J Michael Mufson · Managing Partner, Board Of Managerscontrolsince 07/2004 · owns less than 5%
- Tina Payne · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- Katz Jennifer Silver · Managing Partner, Board Of Managerscontrolsince 07/2004 · owns less than 5%
- Dewey Alexandra Alger · Stockholdersince 12/2023 · owns 25% to 50% of Alger Associates, Inc.
- Miller Hilary Alger · Stockholdersince 12/2023 · owns 25% to 50% of Alger Associates, Inc.
- Demarigny Nicole Alger · Stockholdersince 12/2023 · owns 25% to 50% of Alger Associates, Inc.
Entity owners
- Alger Group Holdings, LLC · Direct Parentdirect · owns 75% or more
- Alger Associates, Inc. · Indirect Parent Of Registrantindirect · owns 75% or more of Alger Group Holdings, LLC
Related persons
Schedule D 7.A
- Alger Alternative Holdings II, LLCpooled vehicle sponsorn
- Alger Alternative Holdings, LLCpooled vehicle sponsorn
- Alger Management, (Singapore) Pte. Ltd.broker-dealern
- Alger Management, Ltdbroker-dealerinvestment advisern
- Fred Alger & Company, LLCbroker-dealern
- Fred Alger Management, LLCinvestment adviserbanknRAUM $26B
- Weatherbie Capital, LLCinvestment adviserbanknRAUM $1.3B
- Weatherbie Limited Partnershippooled vehicle sponsorn
- Weatherbie Management LLCpooled vehicle sponsorn
Advisers that list Redwood Investments, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 2 | 0 | 0 | ||
| Newton, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $1,051,815,908 to $710,148,725 (-32.0%) between the annual amendments of 2025-03-31 and 2026-03-27; the peer median change was +12.0% (87 comparable advisers, 6.0th percentile of changes)peers: other advisers, $500M to $1B (87) · 5.8% percentile
What changed
consecutive filings, newest first
- Accounts · 104 to 85Mar 31, 2025 to Mar 27, 2026
- Advisory employees · 7 to 6Mar 31, 2025 to Mar 27, 2026
- BD registered reps · 1 to 0Mar 31, 2025 to Mar 27, 2026
- Charity clients · 3 to 2Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 3 to 2Mar 31, 2025 to Mar 27, 2026
- HNW clients · 72 to 63Mar 31, 2025 to Mar 27, 2026
- Pension plan clients · 2 to 1Mar 31, 2025 to Mar 27, 2026
- Employees · 7 to 6Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.1B to $710MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $80.3M to $68.8MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $98,457 to $118,592Mar 31, 2025 to Mar 27, 2026
- Pension RAUM · $5.4M to $1.2MMar 31, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $86.1M to $10.6MMar 31, 2025 to Mar 27, 2026
- RAUM · $1.1B to $710MMar 31, 2025 to Mar 27, 2026
- Accounts · 214 to 104Dec 20, 2024 to Mar 31, 2025
- Advisory employees · 8 to 7Dec 20, 2024 to Mar 31, 2025
- BD registered reps · 0 to 1Dec 20, 2024 to Mar 31, 2025
- Charity clients · 10 to 3Dec 20, 2024 to Mar 31, 2025
- Corporate clients · 29 to 3Dec 20, 2024 to Mar 31, 2025
- HNW clients · 139 to 72Dec 20, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 2Dec 20, 2024 to Mar 31, 2025
- Employees · 12 to 7Dec 20, 2024 to Mar 31, 2025
- Financial planning clients · 0 to Dec 20, 2024 to Mar 31, 2025
- State-registered IARs · 3 to 0Dec 20, 2024 to Mar 31, 2025
- Other offices · 0 to 1Dec 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $1.1BDec 20, 2024 to Mar 31, 2025
- HNW RAUM · $104M to $80.3MDec 20, 2024 to Mar 31, 2025
- Individual RAUM · $627,817 to $98,457Dec 20, 2024 to Mar 31, 2025
- Pension RAUM · $10.5M to $5.4MDec 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $90.3M to $86.1MDec 20, 2024 to Mar 31, 2025
- RAUM · $1.7B to $1.1BDec 20, 2024 to Mar 31, 2025
- Wrap assets (manager) · 41019199.0 to unsetDec 20, 2024 to Mar 31, 2025
- Wrap assets (sponsor) · 0.0 to unsetDec 20, 2024 to Mar 31, 2025
- HQ city · NEWTON to BOSTONMar 28, 2024 to Jun 28, 2024
- Accounts · 232 to 214Feb 1, 2024 to Mar 28, 2024
- Charity clients · 13 to 10Feb 1, 2024 to Mar 28, 2024
- Corporate clients · 11 to 29Feb 1, 2024 to Mar 28, 2024
- HNW clients · 169 to 139Feb 1, 2024 to Mar 28, 2024
- Pension plan clients · 3 to 4Feb 1, 2024 to Mar 28, 2024
- State-registered IARs · 4 to 3Feb 1, 2024 to Mar 28, 2024
Signals
10 dated events
- Redwood Investments, Llc reported RAUM $710.1M, down 32% from $1.1B (2025-03-31 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Redwood Investments, Llc reported RAUM $1.1B, down 38% from $1.7B (2024-12-20 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Tina Payne (Chief Compliance Officer) appeared on Schedule A of Redwood Investments, LlcFeb 1, 2024 · Control person joined · fact
- Agnes Maureen Hendricks (Board Of Managers) appeared on Schedule A of Redwood Investments, LlcFeb 1, 2024 · Control person joined · fact
- Cayley Daniel Chung (Board Of Managers) appeared on Schedule A of Redwood Investments, LlcFeb 1, 2024 · Control person joined · fact
- Hal Liebes (Board Of Managers) appeared on Schedule A of Redwood Investments, LlcFeb 1, 2024 · Control person joined · fact
- Tracy Steven Flammey (Cfo/Chief Compliance Officer) no longer on Schedule A of Redwood Investments, Llc (listed 2024-01-05, absent 2024-02-01)Feb 1, 2024 · Control person left · inference
- Casares Michael Mendez (Trustee) no longer on Schedule A of Redwood Investments, Llc (listed 2023-11-30, absent 2024-01-05)Jan 5, 2024 · Control person left · inference
- Lynn Cheryl Mendez (Trustee) no longer on Schedule A of Redwood Investments, Llc (listed 2023-11-30, absent 2024-01-05)Jan 5, 2024 · Control person left · inference
- Redwood Investments, Llc reported RAUM $2.2B, up 76% from $1.3B (2017-05-16 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/redwood-investments-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- alger.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-467-3000reportedpublic record, Form ADV, May 19, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $178Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026