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.
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SEC-registered adviser
C••••••••• H••• C•••••• M••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Mar 30, 2012 · 32 filings
SEC status approved since Nov 13, 2006
RAUM
$18.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$9.1M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$18.1M as of Mar 9, 2026
Mar 30, 2012$14.1M then
HNW client RAUM$0 as of Mar 9, 2026
Jan 29, 2018$0 then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 30, 20120 then
Employees (5.A)2 as of Mar 9, 2026
Mar 15, 20134 then
Private funds1 as of Mar 9, 2026
Feb 26, 20151 then
RAUM -17% over the last fiscal year-32% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
- RAUM per advisor
- $9.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $18.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $18.1M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$18.1M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $18.1M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• T••••• M••••• | Dallas, Tx | May 31, 2002 | 24 y | 0 |
| T••• R•••••• G•••• | Dallas, Tx | Apr 16, 2010 | 33 y | 6 |
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
- E••• A••••• to F•••• N••••••• A•••••••• L••Jan 28, 2022 · Other
Joined, latest
- E••• A••••• from M••••• A•••• M•••••••••Jan 4, 2018 · Other
- T••• R•••••• G•••• from R•• M••••••••• C••••••• L••Apr 16, 2010 · Other
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I••••••• F•••••• X• L••no longer reported | Other Private Fund | $20.0M | 1 | Apr 4, 2019 |
| I••••••• F•••••• X••• L•• | Other Private Fund | $18.1M | 24 | Mar 25, 2021 |
| I••••••• F•••••• 2••• L••no longer reported | Other Private Fund | $10.4M | 55 | Mar 31, 2017 |
| I••••••• F•••••• 2••• L••no longer reported | Other Private Fund | $10.1M | 52 | Mar 31, 2017 |
| I••••••• F•••••• V• L•• | Other Private Fund | $8.3M | 33 | Aug 9, 2016 |
| I••••••• F•••••• 2••• L••no longer reported | Other Private Fund | $7.7M | 53 | Feb 26, 2015 |
| I••••••• F•••••• T•••• L••no longer reported | Other Private Fund | $5.0M | 1 | Mar 31, 2017 |
| I••••••• F•••••• X• L•• | Other Private Fund | $3.7M | 42 | Feb 8, 2019 |
| I••••••• R••••••• K• L••no longer reported | Other Private Fund | $2.9M | 1 | Mar 31, 2017 |
| I••••••• R••••••• F••• L••no longer reported | Other Private Fund | $2.7M | 8 | Mar 31, 2017 |
| I••••••• F•••••• V•• V• L••no longer reported | Other Private Fund | $1.4M | 10 | Jan 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• R•••••• T••••• · Managing Member And Ccocontrolsince 09/2006 · owns 75% or more
Related persons
Schedule D 7.A
- I••••••• F•••••• M••••••••• V• L••pooled vehicle sponsorn
- I••••••• F•••••• M••••••••• X• L••pooled vehicle sponsorn
- I••••••• F•••••• M••••••••• X••• L••pooled vehicle sponsorn
- M••••• A•••• M•••••••••investment advisernRAUM $826M
Advisers that list C••••••••• H••• C•••••• M••••••••• L•• as a related person
- 18389 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 14, 2025 to Mar 9, 2026
- Pooled vehicle clients · 2 to 1Mar 14, 2025 to Mar 9, 2026
- Assets in custody · $21.9M to $18.1MMar 14, 2025 to Mar 9, 2026
- Private funds · 2 to 1Mar 14, 2025 to Mar 9, 2026
- Discretionary RAUM · $21.9M to $18.1MMar 14, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · $21.9M to $18.1MMar 14, 2025 to Mar 9, 2026
- RAUM · $21.9M to $18.1MMar 14, 2025 to Mar 9, 2026
- Accounts · 3 to 2Aug 12, 2024 to Mar 14, 2025
- Pooled vehicle clients · 3 to 2Aug 12, 2024 to Mar 14, 2025
- Assets in custody · $30.1M to $21.9MAug 12, 2024 to Mar 14, 2025
- Financial planning clients · unset to Aug 12, 2024 to Mar 14, 2025
- Private funds · 3 to 2Aug 12, 2024 to Mar 14, 2025
- Discretionary RAUM · $30.1M to $21.9MAug 12, 2024 to Mar 14, 2025
- Pooled vehicle RAUM · $30.1M to $21.9MAug 12, 2024 to Mar 14, 2025
- RAUM · $30.1M to $21.9MAug 12, 2024 to Mar 14, 2025
- Accounts · 8 to 3Mar 9, 2023 to Mar 20, 2024
- Pooled vehicle clients · 8 to 3Mar 9, 2023 to Mar 20, 2024
- Assets in custody · $57.6M to $30.1MMar 9, 2023 to Mar 20, 2024
- Private funds · 8 to 3Mar 9, 2023 to Mar 20, 2024
- Discretionary RAUM · $57.8M to $30.1MMar 9, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $57.8M to $30.1MMar 9, 2023 to Mar 20, 2024
- RAUM · $57.8M to $30.1MMar 9, 2023 to Mar 20, 2024
- Discretionary RAUM · $57.6M to $57.8MOct 28, 2022 to Mar 9, 2023
- Pooled vehicle RAUM · $57.6M to $57.8MOct 28, 2022 to Mar 9, 2023
- RAUM · $57.6M to $57.8MOct 28, 2022 to Mar 9, 2023
- Assets in custody · $57.8M to $57.6MJun 8, 2022 to Aug 25, 2022
- Employees · 3 to 2Jun 8, 2022 to Aug 25, 2022
- State-registered IARs · 3 to 2Jun 8, 2022 to Aug 25, 2022
- Discretionary RAUM · $57.8M to $57.6MJun 8, 2022 to Aug 25, 2022
- Pooled vehicle RAUM · $57.8M to $57.6MJun 8, 2022 to Aug 25, 2022
- RAUM · $57.8M to $57.6MJun 8, 2022 to Aug 25, 2022
- Accounts · 7 to 8Mar 23, 2021 to Mar 25, 2021
- Pooled vehicle clients · 7 to 8Mar 23, 2021 to Mar 25, 2021
- Assets in custody · $39.5M to $57.8MMar 23, 2021 to Mar 25, 2021
- Private funds · 7 to 8Mar 23, 2021 to Mar 25, 2021
- Discretionary RAUM · $39.5M to $57.8MMar 23, 2021 to Mar 25, 2021
- Pooled vehicle RAUM · $39.5M to $57.8MMar 23, 2021 to Mar 25, 2021
- RAUM · $39.5M to $57.8MMar 23, 2021 to Mar 25, 2021
- Pooled vehicle clients · 9 to 7May 15, 2020 to Mar 23, 2021
- Employees · 4 to 3May 15, 2020 to Mar 23, 2021
Signals
2 dated events
- E••• L•••••• A••••• (Chief Compliance Officer) no longer on Schedule A of C••••••••• H••• C•••••• M••••••••• L•• (listed 2022-01-28, absent 2022-06-08)Jun 8, 2022 · Control person left · inference
- E••• A••••• left C••••••••• H••• C•••••• M••••••••• L•• for M••••• A•••• M••••••••• (registered 2018-01-04)Jan 28, 2022 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• H••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- ironwoodfunding.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 214-855-5335reportedpublic record, Form ADV, Mar 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026