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.

Former SEC-registered adviser

Greenwood Resources Capital Management LLC

Former SEC-registered adviserPortland, OregonCRD 158084SEC 801-74638IAPD
Latest filing Apr 29, 2021
First filing on the tape Mar 15, 2012 · 16 filings
RAUM
$1.3B
reported, Item 5.F
Discretionary
0.5%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
49
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$74.0M gross assets
History
16 filings and snapshots on the tape
RAUM$1.3B as of Mar 31, 2021
Apr 1, 2013$329M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Apr 1, 20130 then
Employees (5.A)49 as of Mar 31, 2021
Apr 1, 201316 then
Private funds1 as of Mar 31, 2021
Apr 1, 20131 then
RAUM -0.8% over the last fiscal year-9.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$265MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.5%derivedof RAUM
Institutional
27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-0.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$35.2M, 5 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$973M73%
  • Insurance companies$352M27%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$35.2M for 5 clientsreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Greenwood Tree Farm Fund LPOther Private Fund$74.0M7Mar 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Emil Thomas Grenville · Chief Compliance Officer, Directorcontrol
        since 12/2012 · owns less than 5%
      • Miles Christopher Lipton · Chief Executive Officercontrol
        since 04/2021 · owns less than 5%
      • Mccartney David Miller · Managing Director, Head Of Portfolio Management And Investment Reportingcontrol
        since 07/2017 · owns less than 5%
      Entity owners
      • Greenwood Resources, Inc. · Parent Company
        direct · owns 75% or more
      • Teachers Insurance And Annuity Association Of America · Sharehholder
        indirect · owns 75% or more of Greenwood Resources, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Greenwood Resources Capital Management LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 4 to 3
        Mar 30, 2020 to Mar 31, 2021
      • Assets in custody · $12.9M to $35.2M
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $10.2M to $6.2M
        Mar 30, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · $1.3B to $1.3B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $978M to $973M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.3B to $1.3B
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 9 to 6
        Apr 26, 2019 to Mar 30, 2020
      • Assets in custody · $12.0M to $12.9M
        Apr 26, 2019 to Mar 30, 2020
      • Employees · 51 to 49
        Apr 26, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Apr 26, 2019 to Mar 30, 2020
      • Discretionary RAUM · $41.0M to $10.2M
        Apr 26, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $1.7B to $1.3B
        Apr 26, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.7B to $978M
        Apr 26, 2019 to Mar 30, 2020
      • RAUM · $1.8B to $1.3B
        Apr 26, 2019 to Mar 30, 2020
      • Accounts · 6 to 5
        Mar 31, 2018 to Mar 29, 2019
      • Discretionary RAUM · $74.0M to $41.0M
        Mar 31, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $1.7B to $1.7B
        Mar 31, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $1.7B to $1.7B
        Mar 31, 2018 to Mar 29, 2019
      • RAUM · $1.8B to $1.8B
        Mar 31, 2018 to Mar 29, 2019
      • Advisory employees · 8 to 9
        Sep 22, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 4.0
        Sep 22, 2017 to Mar 31, 2018
      • Assets in custody · $5.0M to $12.0M
        Sep 22, 2017 to Mar 31, 2018
      • Employees · 46 to 51
        Sep 22, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Sep 22, 2017 to Mar 31, 2018
      • Discretionary RAUM · $80.5M to $74.0M
        Sep 22, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $1.6B to $1.7B
        Sep 22, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 1714000000.0
        Sep 22, 2017 to Mar 31, 2018
      • RAUM · $1.7B to $1.8B
        Sep 22, 2017 to Mar 31, 2018
      • Accounts · 5 to 6
        Apr 21, 2016 to Mar 31, 2017
      • Advisory employees · 10 to 8
        Apr 21, 2016 to Mar 31, 2017
      • Assets in custody · $16.0M to $5.0M
        Apr 21, 2016 to Mar 31, 2017
      • Employees · 30 to 46
        Apr 21, 2016 to Mar 31, 2017
      • Discretionary RAUM · $209M to $80.5M
        Apr 21, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $1.2B to $1.6B
        Apr 21, 2016 to Mar 31, 2017
      • RAUM · $1.4B to $1.7B
        Apr 21, 2016 to Mar 31, 2017
      • Advisory employees · 9 to 10
        Aug 17, 2015 to Mar 29, 2016
      • Assets in custody · $14.6M to $16.0M
        Aug 17, 2015 to Mar 29, 2016
      • Employees · 23 to 30
        Aug 17, 2015 to Mar 29, 2016
      • Discretionary RAUM · $197M to $209M
        Aug 17, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $569M to $1.2B
        Aug 17, 2015 to Mar 29, 2016
      Signals
      4 dated events
      • Miles Christopher Lipton (Chief Executive Officer) appeared on Schedule A of Greenwood Resources Capital Management Llc
        Apr 29, 2021 · Control person joined · fact
      • Lee Jeffery Nuss (President) no longer on Schedule A of Greenwood Resources Capital Management Llc (listed 2021-03-31, absent 2021-04-29)
        Apr 29, 2021 · Control person left · inference
      • Travis Lincoln Bach (Chief Financial Officer) no longer on Schedule A of Greenwood Resources Capital Management Llc (listed 2020-03-30, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Raymond Marvin Risco (Managing Director, Head Of Investments And Operations) no longer on Schedule A of Greenwood Resources Capital Management Llc (listed 2019-04-26, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026