DFX Intelligence

RIA Intelligence

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SEC-registered adviser

R•••••• C•••••• M••••••••• L••

Asset manager (funds and pooled vehicles)New York, New YorkCRD 158243SEC 801-74291website IAPD

Latest filing May 12, 2026

First filing on the tape Feb 16, 2012 · 26 filings

SEC status approved since Mar 30, 2012

RAUM

$11B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

16 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

26 filings and snapshots on the tape

RAUM$11B as of May 12, 2026

Mar 28, 2013$6.2B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 12, 2026

Mar 28, 20130 then

Employees (5.A)33 as of May 12, 2026

Mar 28, 201315 then

Private funds5 as of May 12, 2026

Mar 28, 20132 then

RAUM +1.2% over the last fiscal year+5.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 12, 2026; 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: $783MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +13%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 pooled vehiclesreportedItem 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)
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)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$11B100%
Other investment advisers$14.0M0.1%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 14reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
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

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 departure Every arrival

Private funds

6 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
R•••••• M••••• F•••• L•••	Hedge Fund	$4.2B	325	Feb 16, 2012
R•••••• O••••••••• M••••• F•••• L•••	Hedge Fund	$2.5B	128	Feb 16, 2012
R•••••• D••••••• M••••• F••• I••• L•••	Hedge Fund	$2.4B	104	Jul 21, 2021
R•••••• D••••••• M••••• F••• I•• L•••	Hedge Fund	$365M	98	Sep 29, 2017
R•••••• D••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$27.3M	33	Nov 26, 2013
R•••••• A•••••••• M••••• F•••• L•••no longer reported	Hedge Fund	$11.1M	31	Feb 27, 2015

Owners and control persons

Schedule A and B, latest filing

B••••••• A•••• M•••••• · General Counsel, Chief Compliance Officercontrol
since 06/2019 · owns less than 5%
F•••••• L••••• Y•••••••• · Chief Operating Officercontrol
since 05/2021 · owns less than 5%
H•••••• A••••••• N•• · Chief Financial Officercontrol
since 07/2000 · owns less than 5%
K••••••••• R••••• D••••• · Chief Executive Officer, Chief Investment Officercontrol
since 01/2017 · owns less than 5%
S•••••• S•••• I•• · Deputy-Chief Executive Officer, Co-Chief Investment Officercontrol
since 04/2020 · owns less than 5%
S•••••••• A•••••• D••••• · Head Tradercontrol
since 03/2007 · owns less than 5%
K••••••••• J•••• M••••• · Trusteecontrol
since 08/2018 · owns F of T••••• F••••• T••••
K••••••••• R••••• D••••• · Managing Membercontrol
since 04/2020 · owns 50% to 75% of D••••• T•••• K• L••
K••••••••• R••••• D••••• · Managing Membercontrol
since 01/2023 · owns 50% to 75% of D••••• T•••• K• R••••••• L••
W••••••••• E•••• N•• · Trusteecontrol
since 08/2018 · owns F of T••••• F••••• T••••

Entity owners

R•••••• C•••••• M••••••••• H•••••••• L• · Sole Owner Of R•••••• C•••••• M••••••••• L••
direct · owns 75% or more
D••••• T•••• K• R••••••• L•• · Limited Partner
indirect · owns 25% to 50% of R•••••• C•••••• M••••••••• H•••••••• L•
D••••• T•••• K• L•• · General Partner
indirect · owns F of R•••••• C•••••• M••••••••• H•••••••• L•
T••••• F••••• T•••• · Sole Member
indirect · owns 75% or more of T••••• M••••••• L••
T••••• M••••••• L•• · Member
indirect · owns 25% to 50% of D••••• T•••• K• R••••••• L••
T••••• M••••••• L•• · Member
indirect · owns 25% to 50% of D••••• T•••• K• L••

Related persons

Schedule D 7.A

R•••••• C•••••• M••••••••• G•• L••
pooled vehicle sponsorn
R•••••• D••••••• F••••• P••••••• I•• L••
pooled vehicle sponsorn
R•••••• D••••••• F••••• P••••••• I••• L••
pooled vehicle sponsorn
R•••••• D••••••• P••••••• I•• L••
pooled vehicle sponsorn
R•••••• D••••••• P••••••• I••• L••
pooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

Sunny Isles Beach, FL6 employees

What changed

consecutive filings, newest first

Advisory activities · 2 to 1
Mar 31, 2026 to May 12, 2026
Pooled vehicle clients · 12 to 13
Mar 31, 2026 to May 12, 2026
Employees · 32 to 33
Mar 31, 2026 to May 12, 2026
Private funds · 4 to 5
Mar 31, 2026 to May 12, 2026
Discretionary RAUM · $12B to $11B
Mar 31, 2026 to May 12, 2026
Pooled vehicle RAUM · $12B to $11B
Mar 31, 2026 to May 12, 2026
RAUM · $12B to $11B
Mar 31, 2026 to May 12, 2026
Pooled vehicle clients · 13 to 12
Mar 31, 2025 to Mar 31, 2026
Employees · 31 to 32
Mar 31, 2025 to Mar 31, 2026
Discretionary RAUM · $11B to $12B
Mar 31, 2025 to Mar 31, 2026
Pooled vehicle RAUM · $10B to $12B
Mar 31, 2025 to Mar 31, 2026
RAUM · $11B to $12B
Mar 31, 2025 to Mar 31, 2026
Advisory employees · 17 to 16
Mar 28, 2024 to Mar 31, 2025
Employees · 29 to 31
Mar 28, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 28, 2024 to Mar 31, 2025
Discretionary RAUM · $9.9B to $11B
Mar 28, 2024 to Mar 31, 2025
Pooled vehicle RAUM · $9.5B to $10B
Mar 28, 2024 to Mar 31, 2025
RAUM · $9.9B to $11B
Mar 28, 2024 to Mar 31, 2025
Advisory employees · 15 to 17
May 2, 2023 to Mar 28, 2024
Employees · 28 to 29
May 2, 2023 to Mar 28, 2024
Discretionary RAUM · $9.3B to $9.9B
May 2, 2023 to Mar 28, 2024
Pooled vehicle RAUM · $8.8B to $9.5B
May 2, 2023 to Mar 28, 2024
RAUM · $9.3B to $9.9B
May 2, 2023 to Mar 28, 2024
Accounts · 13 to 14
Apr 27, 2022 to Mar 31, 2023
Advisory employees · 11 to 15
Apr 27, 2022 to Mar 31, 2023
Advisory activities · 1 to 2
Apr 27, 2022 to Mar 31, 2023
Charity clients · 0.0 to unset
Apr 27, 2022 to Mar 31, 2023
HNW clients · 0.0 to unset
Apr 27, 2022 to Mar 31, 2023
Individual clients · 0.0 to unset
Apr 27, 2022 to Mar 31, 2023
Pension plan clients · 0.0 to unset
Apr 27, 2022 to Mar 31, 2023
Employees · 19 to 28
Apr 27, 2022 to Mar 31, 2023
Other offices · 0 to 1
Apr 27, 2022 to Mar 31, 2023
Discretionary RAUM · $9.4B to $9.3B
Apr 27, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $9.4B to $8.8B
Apr 27, 2022 to Mar 31, 2023
RAUM · $9.4B to $9.3B
Apr 27, 2022 to Mar 31, 2023
Private funds · 5 to 4
Jul 21, 2021 to Mar 29, 2022
Discretionary RAUM · $9.4B to $9.4B
Jul 21, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $9.4B to $9.4B
Jul 21, 2021 to Mar 29, 2022
RAUM · $9.4B to $9.4B
Jul 21, 2021 to Mar 29, 2022
HQ city · ENGLEWOOD CLIFFS to NEW YORK
Mar 30, 2021 to Jul 21, 2021

Signals

9 dated events

Y. Linda Forish (Chief Operating Officer) appeared on Schedule A of R•••••• C•••••• M••••••••• L••
Jul 21, 2021 · Control person joined · fact
Lee Jonathan Kolatch (Sole Owner Of Little Mission Creek Corp.) no longer on Schedule A of R•••••• C•••••• M••••••••• L•• (listed 2020-03-30, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Ira Sean Sauler (Deputy-Ceo) appeared on Schedule A of R•••••• C•••••• M••••••••• L••
Mar 30, 2020 · Control person joined · fact
J••• K•••••••• (Trustee) appeared on Schedule A of R•••••• C•••••• M••••••••• L••
Mar 30, 2020 · Control person joined · fact
E••• W•••••••• (Trustee) appeared on Schedule A of R•••••• C•••••• M••••••••• L••
Mar 30, 2020 · Control person joined · fact
Diane Kolatch (Lp Of Kolatch Family Lp) no longer on Schedule A of R•••••• C•••••• M••••••••• L•• (listed 2019-06-04, absent 2020-03-30)
Mar 30, 2020 · Control person left · inference
A Noah Kolatch (Lp Of Kolatch Family Lp) no longer on Schedule A of R•••••• C•••••• M••••••••• L•• (listed 2019-06-04, absent 2020-03-30)
Mar 30, 2020 · Control person left · inference
Michael Adam Bensley (General Counsel & Chief Compliance Officer) appeared on Schedule A of R•••••• C•••••• M••••••••• L••
Jun 4, 2019 · Control person joined · fact
Ellen Julia Herr (General Counsel & Chief Compliance Officer) no longer on Schedule A of R•••••• C•••••• M••••••••• L•• (listed 2019-03-29, absent 2019-06-04)
Jun 4, 2019 · 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.

How to reach

public business contact points only, each with its source

Firm profile: linkedin.com/company/redwood-capital-management-llcreportedpublic record, Form ADV, Sep 21, 2026
Website: R••••••CAP.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 212-970-1400reportedpublic record, Form ADV, May 12, 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: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026