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
Cromwell Funds
Legal name Cromwell Investment Advisors, LLC
Latest filing Mar 27, 2026
First filing on the tape Jun 9, 2021 · 13 filings
SEC status approved since Oct 27, 2021
RAUM
$369M
reported, Item 5.F
Discretionary
100%
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$369M as of Mar 27, 2026
Mar 8, 2022$214M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Mar 8, 20220 then
Employees (5.A)4 as of Mar 27, 2026
Mar 8, 20225 then
Private funds: no history
RAUM -8.1% over the last fiscal year-2.7% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $184MderivedRAUM 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
- $73.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.1%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 assetsreportedItem 5.E
- Advisory activities
- 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$369M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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=3.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Edward Stephen Baird · Chief Operating Officer/Membercontrolsince 05/2021 · owns 5% to 10%
- Nicole Darcy Limanni · Chief Compliance Officercontrolsince 02/2022 · owns less than 5%
- Carl Brian Nelson · President/Membercontrolsince 05/2021 · owns 50% to 75%
- Matthew Christian Kansler · Membersince 05/2021 · owns less than 5%
- Therese Micheal Mattingly · Membersince 05/2021 · owns 5% to 10%
- Michael Erik Ranson · Membersince 05/2021 · owns 10% to 25%
- Turner Megan Vichich · Membersince 05/2021 · owns 5% to 10%
Related persons
Schedule D 7.A
- Jemma Financial Servicesinvestment advisernRAUM $140M
Advisers that list Cromwell Funds as a related person
- 284198 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 6 to 5Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 3 to 2Mar 28, 2025 to Mar 27, 2026
- BD registered reps · 4 to 3Mar 28, 2025 to Mar 27, 2026
- State-registered IARs · 0 to 2Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $402M to $369MMar 28, 2025 to Mar 27, 2026
- RAUM · $402M to $369MMar 28, 2025 to Mar 27, 2026
- Insurance-licensed employees · 1 to 2Mar 26, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $460M to $402MMar 26, 2024 to Mar 28, 2025
- RAUM · $460M to $402MMar 26, 2024 to Mar 28, 2025
- Accounts · 4 to 6Mar 15, 2023 to Mar 26, 2024
- Advisory employees · 4 to 3Mar 15, 2023 to Mar 26, 2024
- Employees · 5 to 4Mar 15, 2023 to Mar 26, 2024
- Discretionary RAUM · $400M to $460MMar 15, 2023 to Mar 26, 2024
- RAUM · $400M to $460MMar 15, 2023 to Mar 26, 2024
- Accounts · 1 to 4Mar 8, 2022 to Mar 15, 2023
- Advisory employees · 0 to 4Mar 8, 2022 to Mar 15, 2023
- BD registered reps · 5 to 4Mar 8, 2022 to Mar 15, 2023
- Business name · CROMWELL INVESTMENT ADVISORS, LLC to CROMWELL FUNDSMar 8, 2022 to Mar 15, 2023
- Insurance-licensed employees · 0 to 1Mar 8, 2022 to Mar 15, 2023
- Discretionary RAUM · $214M to $400MMar 8, 2022 to Mar 15, 2023
- RAUM · $214M to $400MMar 8, 2022 to Mar 15, 2023
- Accounts · unset to 1.0Feb 24, 2022 to Mar 8, 2022
- Advisory employees · 5 to 0Feb 24, 2022 to Mar 8, 2022
- BD registered reps · 4 to 5Feb 24, 2022 to Mar 8, 2022
- Insurance-licensed employees · 2 to 0Feb 24, 2022 to Mar 8, 2022
- Discretionary RAUM · unset to 213550000.0Feb 24, 2022 to Mar 8, 2022
- Non-discretionary RAUM · unset to 0.0Feb 24, 2022 to Mar 8, 2022
- RAUM · unset to 213550000.0Feb 24, 2022 to Mar 8, 2022
- Charity clients · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Corporate clients · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- HNW clients · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Individual clients · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Pension plan clients · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Pooled vehicle clients · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- HNW RAUM · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Individual RAUM · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Pension RAUM · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Pooled vehicle RAUM · 0.0 to unsetJun 25, 2021 to Sep 24, 2021
- Business name · CROMWELL INVESTMENT ADVISORS LLC to CROMWELL INVESTMENT ADVISORS, LLCJun 9, 2021 to Jun 24, 2021
Signals
5 dated events
- Carl Matthew Nelson (Chief Legal Officer/General Counsel) no longer on Schedule A of Cromwell Funds (listed 2023-03-15, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- Cromwell Funds reported RAUM $400.0M, up 87% from $213.6M (2022-03-08 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- Eric-Christopher Thayne Gould (Chief Compliance Officer) no longer on Schedule A of Cromwell Funds (listed 2022-01-26, absent 2022-02-24)Feb 24, 2022 · Control person left · inference
- Nicole Darcy Limanni (Chief Compliance Officer) appeared on Schedule A of Cromwell FundsFeb 24, 2022 · Control person joined · fact
- Cromwell Investment Advisors, Llc filed its initial SEC registration (Form ADV)Sep 24, 2021 · First SEC registration · fact
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/thecromwellfundsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- thecromwellfunds.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 888-844-4110reportedpublic record, Form ADV, Mar 27, 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