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••••••••• W••••• S••••••••• L••
Legal name C••••••••• C•••••• A•••••••• L••
Latest filing Aug 28, 2026
First filing on the tape Oct 13, 2020 · 13 filings
SEC status approved since Nov 12, 2020
RAUM
$279M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
72%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$279M as of Aug 28, 2026
Mar 11, 2021$223M then
HNW client RAUM$137M as of Aug 28, 2026
Mar 11, 2021$114M then
State-registered IARs (5.B.3)2 as of Aug 28, 2026
Mar 11, 20213 then
Employees (5.A)5 as of Aug 28, 2026
Mar 11, 20214 then
Private funds4 as of Aug 28, 2026
Mar 31, 20221 then
RAUM -8.9% over the last fiscal year+8.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $437,267derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $270MreportedItem 5.I
- Custody
- $8.9M, 2 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$137M49%
- Charitable organizations$68.0M24%
- Individuals$64.7M23%
- Pooled investment vehicles$8.9M3.2%
- Corporations and businesses$405,3990.1%
- Individual clients
- 185reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 638reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $8.9M for 2 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.72 fund_share=0.03 institutional_share=0.24 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 |
|---|---|---|---|---|
| M•••••• D••••• P••••• | Salt Lake City, Ut | Feb 19, 2021 | 16 y | 2 |
| T••••• J• P••••• | Salt Lake City, Ut | Feb 19, 2021 | 43 y | 4 |
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
- M•••••• D••••• P••••• from W•••• F•••• A•••••••Feb 19, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- T••••• J• P••••• from W•••• F•••• A•••••••Feb 19, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Feb 24, 2021 · Holladay, Ut
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• V•••••• F•••• L•• | Venture Capital Fund | $2.2M | 6 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- P•••••• M••••••• D••••• · Managing Partnercontrolsince 10/2020 · owns 50% to 75%
- P•••••• T•••••• J• · Managing Partner & Chief Compliance Officercontrolsince 10/2020 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 29, 2026discretionary share of RAUM moved from 76.0% to 97.0% between the annual amendments of 2025-03-12 and 2026-04-29peers: independent wealth managers, $100M to $500M (5,676)
- private fund count surgeChange between filings · filing Apr 29, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 4.0 (+100.0%) between the annual amendments of 2025-03-12 and 2026-04-29; the peer median change was 0.0% (126 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $100M to $500M (126) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 630 to 638Nov 21, 2025 to Mar 27, 2026
- Individual clients · 164 to 185Nov 21, 2025 to Mar 27, 2026
- Pooled vehicle clients · unset to 2.0Nov 21, 2025 to Mar 27, 2026
- Assets in custody · $28.1M to $8.9MNov 21, 2025 to Mar 27, 2026
- Private funds · 2 to 4Nov 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $232M to $271MNov 21, 2025 to Mar 27, 2026
- HNW RAUM · $129M to $137MNov 21, 2025 to Mar 27, 2026
- Individual RAUM · $56.6M to $64.7MNov 21, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $74.3M to $8.0MNov 21, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · unset to 8921618.0Nov 21, 2025 to Mar 27, 2026
- RAUM · $306M to $279MNov 21, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 12, 2025 to Nov 21, 2025
- Accounts · 617 to 630Feb 23, 2024 to Mar 12, 2025
- Individual clients · 177 to 164Feb 23, 2024 to Mar 12, 2025
- Pooled vehicle clients · 1.0 to unsetFeb 23, 2024 to Mar 12, 2025
- Assets in custody · $2.2M to $28.1MFeb 23, 2024 to Mar 12, 2025
- Private funds · 1 to 2Feb 23, 2024 to Mar 12, 2025
- Discretionary RAUM · $187M to $232MFeb 23, 2024 to Mar 12, 2025
- HNW RAUM · $118M to $129MFeb 23, 2024 to Mar 12, 2025
- Individual RAUM · $43.2M to $56.6MFeb 23, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $63.2M to $74.3MFeb 23, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · 2188429.0 to unsetFeb 23, 2024 to Mar 12, 2025
- RAUM · $251M to $306MFeb 23, 2024 to Mar 12, 2025
- Accounts · 670 to 617Oct 2, 2023 to Feb 23, 2024
- Charity clients · unset to 6.0Oct 2, 2023 to Feb 23, 2024
- HNW clients · 46 to 45Oct 2, 2023 to Feb 23, 2024
- Individual clients · 176 to 177Oct 2, 2023 to Feb 23, 2024
- Assets in custody · $1.1M to $2.2MOct 2, 2023 to Feb 23, 2024
- Employees · 4 to 5Oct 2, 2023 to Feb 23, 2024
- Discretionary RAUM · $187M to $187MOct 2, 2023 to Feb 23, 2024
- HNW RAUM · $175M to $118MOct 2, 2023 to Feb 23, 2024
- Individual RAUM · $40.7M to $43.2MOct 2, 2023 to Feb 23, 2024
- Non-discretionary RAUM · $30.1M to $63.2MOct 2, 2023 to Feb 23, 2024
- Pooled vehicle RAUM · $1.1M to $2.2MOct 2, 2023 to Feb 23, 2024
- RAUM · $217M to $251MOct 2, 2023 to Feb 23, 2024
- Accounts · 661 to 670Mar 31, 2022 to Feb 27, 2023
- HNW clients · 55 to 46Mar 31, 2022 to Feb 27, 2023
- Individual clients · 155 to 176Mar 31, 2022 to Feb 27, 2023
- Assets in custody · $1.3M to $1.1MMar 31, 2022 to Feb 27, 2023
- Employees · 5 to 4Mar 31, 2022 to Feb 27, 2023
Signals
1 dated events
- C••••••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 13, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••••• W••••• S••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 385-853-5000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cottonwood-wealth-strategiesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 385-853-5000reportedpublic record, Form ADV, Aug 28, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026