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
Ironwood Capital Advisors LLC
Latest filing Mar 29, 2026
First filing on the tape May 6, 2022 · 12 filings
SEC status approved since Jun 8, 2022
RAUM
$766M
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
19
19 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
9
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$766M as of Mar 29, 2026
Mar 30, 2023$771M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2026
Mar 30, 20230 then
Employees (5.A)19 as of Mar 29, 2026
Mar 30, 202320 then
Private funds9 as of Mar 29, 2026
Mar 30, 20235 then
RAUM -15% over the last fiscal year-0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
- $76.6MderivedRAUM 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
- -15%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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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$766M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ironwood Capital Partners V LP | Private Equity Fund | $439M | 20 | Mar 31, 2022 |
| Ironwood Capital Partners V Sbic LP | Private Equity Fund | $154M | 24 | Mar 31, 2022 |
| Ironwood Mezzanine Fund IV LP | Private Equity Fund | $111M | 15 | Mar 31, 2017 |
| Ironwood Mezzanine Fund IV-B LP | Private Equity Fund | $92.1M | 13 | Mar 31, 2018 |
| Ironwood Mezzanine Fund IV-A LP | Private Equity Fund | $84.7M | 24 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Raymond James Barra · Partnercontrolsince 06/2011 · owns less than 5%
- Cusworth Carolyn Galiette · Partner, President And Chief Investment Officercontrolsince 08/2015 · owns less than 5%
- Alexander Levental · Partnercontrolsince 01/2021 · owns less than 5%
- Robert Zachary Luce · Partner, Chief Financial Officer, Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- Francis Witinski Paul · Partnercontrolsince 01/2023 · owns less than 5%
- Andrew Marc Reich · Partner And Chairman Emerituscontrolsince 08/2015 · owns less than 5%
Entity owners
- Ironwood Capital Holdings · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Ironwood Capital Advisors II LLCinvestment advisern
- Ironwood Capital Advisors LLCinvestment advisernRAUM $869M
- Ironwood Capital Advisors IV LLCinvestment advisern
- Ironwood Capital Advisors V LLCinvestment advisern
- Ironwood Capital Management V LLCpooled vehicle sponsorn
- Ironwood Capital Management V Sbic LLCpooled vehicle sponsorn
- Ironwood Mezzanine Management II LLCpooled vehicle sponsorn
- Ironwood Mezzanine Management III LLCpooled vehicle sponsorn
- Ironwood Mezzanine Management III-A LLCpooled vehicle sponsorn
- Ironwood Mezzanine Management IV LLCpooled vehicle sponsorn
- Ironwood Mezzanine Management IV-A LLCpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Boston, MA3 employees
What changed
consecutive filings, newest first
- Advisory employees · 18 to 19Nov 18, 2025 to Mar 29, 2026
- Employees · 18 to 19Nov 18, 2025 to Mar 29, 2026
- Discretionary RAUM · $903M to $766MNov 18, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $903M to $766MNov 18, 2025 to Mar 29, 2026
- RAUM · $903M to $766MNov 18, 2025 to Mar 29, 2026
- Accounts · 6 to 10Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 16 to 18Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 6 to 10Mar 27, 2024 to Mar 27, 2025
- Employees · 16 to 18Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- Private funds · 5 to 9Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $880M to $903MMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $880M to $903MMar 27, 2024 to Mar 27, 2025
- RAUM · $880M to $903MMar 27, 2024 to Mar 27, 2025
- Accounts · 5 to 6Sep 21, 2023 to Mar 27, 2024
- Advisory employees · 18 to 16Sep 21, 2023 to Mar 27, 2024
- Pooled vehicle clients · 5 to 6Sep 21, 2023 to Mar 27, 2024
- Employees · 20 to 16Sep 21, 2023 to Mar 27, 2024
- Discretionary RAUM · $771M to $880MSep 21, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $771M to $880MSep 21, 2023 to Mar 27, 2024
- RAUM · $771M to $880MSep 21, 2023 to Mar 27, 2024
- Other offices · 0 to 1Oct 6, 2022 to Mar 30, 2023
- Discretionary RAUM · $763M to $771MOct 6, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $763M to $771MOct 6, 2022 to Mar 30, 2023
- RAUM · $763M to $771MOct 6, 2022 to Mar 30, 2023
- Accounts · 0 to 5May 9, 2022 to Oct 6, 2022
- Pooled vehicle clients · unset to 5.0May 9, 2022 to Oct 6, 2022
- Private funds · unset to 5May 9, 2022 to Oct 6, 2022
- Discretionary RAUM · $0 to $763MMay 9, 2022 to Oct 6, 2022
- Pooled vehicle RAUM · unset to 763016278.0May 9, 2022 to Oct 6, 2022
- RAUM · $0 to $763MMay 9, 2022 to Oct 6, 2022
Signals
4 dated events
- James Roger Jr. Roche (Partner) no longer on Schedule A of Ironwood Capital Advisors Llc (listed 2023-07-27, absent 2023-09-21)Sep 21, 2023 · Control person left · inference
- Francis Witinski Paul (Partner) appeared on Schedule A of Ironwood Capital Advisors LlcJul 27, 2023 · Control person joined · fact
- Dickson Suit (Partner) no longer on Schedule A of Ironwood Capital Advisors Llc (listed 2023-03-30, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- Ironwood Capital Advisors Llc filed its initial SEC registration (Form ADV)May 6, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Ironwood Capital Advisors LLC · Independent Sponsorsshared crd · capital_provider
- Ironwood Capital Advisors LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/wildwood-capital/posts/?feedView=allreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/ironwood-capital/mycompanyreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ironwoodcap.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 860-409-2100reportedpublic record, Form ADV, Mar 29, 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