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
Cottonwood Capital Advisors
Legal name Cottonwood Ventures, LLC
Latest filing Mar 24, 2026
First filing on the tape Feb 15, 2023 · 10 filings
SEC status approved since Mar 21, 2023
RAUM
$347M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$296M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$69.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$347M as of Mar 24, 2026
Feb 20, 2024$253M then
HNW client RAUM$246M as of Mar 24, 2026
Feb 20, 2024$169M then
State-registered IARs (5.B.3)4 as of Mar 24, 2026
Feb 20, 20243 then
Employees (5.A)5 as of Mar 24, 2026
Feb 20, 20244 then
Private funds4 as of Mar 24, 2026
Feb 20, 20241 then
RAUM +19% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Mar 24, 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)
- RAUM per advisor
- $69.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $542,724derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.7%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $110M, 89 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$246M71%
- Individuals$49.9M14%
- Corporations and businesses$27.9M8.0%
- Pooled investment vehicles$20.5M5.9%
- Charitable organizations$3.1M0.9%
- Individual clients
- 110reported
- HNW clients
- 81reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 640reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $110M for 89 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.85 fund_share=0.06 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christa Dianne BassCertified Financial Planner | Austin, Tx | Mar 29, 2023 | 12 y | 1 |
| John William RubottomCertified Financial Planner | Austin, Tx | Mar 29, 2023 | 23 y | 5 |
| Kristen Joy Holt | Irving, Tx | Mar 29, 2023 | 15 y | 1 |
| Stephen Barnett Shipley | Irving, Tx | Mar 30, 2023 | 32 y | 5 |
| Victor Berlizov | Irving, Tx | Jul 21, 2025 | 11 y | 0 |
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 headcount1 left over 36 months
Left, latest
- Charles C Daugherty to Cg Advisory ServicesApr 10, 2025 · RIA to RIA
Joined, latest
- Stephen Barnett Shipley from Commonwealth Financial NetworkMar 30, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- John William Rubottom from Commonwealth Financial NetworkMar 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Kristen Joy Holt from Commonwealth Financial NetworkMar 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Christa Dianne Bass from Commonwealth Financial NetworkMar 29, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from Commonwealth Financial NetworkApr 3, 2023 · Irving, Tx
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Cca Saxum Opportunity, LP | Private Equity Fund | $4.9M | 16 | Jan 4, 2024 |
Owners and control persons
Schedule A and B, latest filing
- William John Rubottom · Founder, Director Of Business Developmentcontrolsince 03/2013 · owns 25% to 50%
- Barnett Stephen Shipley · Founder, Director Of Financial Planning, Chief Compliance Officercontrolsince 03/2013 · owns 25% to 50%
- Joy Kristen Holt · Partner, Director Of Operationssince 06/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Irving, Tx · principal | 5 | 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
- account count surgeChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 204.0 to 640.0 (+214.0%) between the annual amendments of 2025-03-21 and 2026-03-24; the peer median change was +5.0% (3687 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 99% percentile
- private fund count surgeChange between filings · filing Mar 24, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 4.0 (+100.0%) between the annual amendments of 2025-03-21 and 2026-03-24; 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 · 204 to 640Sep 9, 2025 to Mar 24, 2026
- Advisory employees · 4 to 3Sep 9, 2025 to Mar 24, 2026
- Corporate clients · 15 to 14Sep 9, 2025 to Mar 24, 2026
- HNW clients · 68 to 81Sep 9, 2025 to Mar 24, 2026
- Individual clients · 118 to 110Sep 9, 2025 to Mar 24, 2026
- Pooled vehicle clients · 2 to 4Sep 9, 2025 to Mar 24, 2026
- Assets in custody · $71.3M to $110MSep 9, 2025 to Mar 24, 2026
- Private funds · 2 to 4Sep 9, 2025 to Mar 24, 2026
- Discretionary RAUM · $291M to $347MSep 9, 2025 to Mar 24, 2026
- HNW RAUM · $203M to $246MSep 9, 2025 to Mar 24, 2026
- Individual RAUM · $50.6M to $49.9MSep 9, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $9.1M to $20.5MSep 9, 2025 to Mar 24, 2026
- RAUM · $291M to $347MSep 9, 2025 to Mar 24, 2026
- Accounts · 196 to 204Feb 20, 2024 to Mar 21, 2025
- Advisory employees · 3 to 4Feb 20, 2024 to Mar 21, 2025
- Charity clients · unset to 1.0Feb 20, 2024 to Mar 21, 2025
- Corporate clients · 13 to 15Feb 20, 2024 to Mar 21, 2025
- HNW clients · 61 to 68Feb 20, 2024 to Mar 21, 2025
- Individual clients · 119 to 118Feb 20, 2024 to Mar 21, 2025
- Pooled vehicle clients · 1 to 2Feb 20, 2024 to Mar 21, 2025
- Assets in custody · $72.6M to $71.3MFeb 20, 2024 to Mar 21, 2025
- Employees · 4 to 5Feb 20, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Feb 20, 2024 to Mar 21, 2025
- State-registered IARs · 3 to 4Feb 20, 2024 to Mar 21, 2025
- Private funds · 1 to 2Feb 20, 2024 to Mar 21, 2025
- Discretionary RAUM · $253M to $291MFeb 20, 2024 to Mar 21, 2025
- HNW RAUM · $169M to $203MFeb 20, 2024 to Mar 21, 2025
- Individual RAUM · $47.5M to $50.6MFeb 20, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $4.9M to $9.1MFeb 20, 2024 to Mar 21, 2025
- RAUM · $253M to $291MFeb 20, 2024 to Mar 21, 2025
- Accounts · 504 to 196Jan 4, 2024 to Feb 20, 2024
- Advisory employees · 4 to 3Jan 4, 2024 to Feb 20, 2024
- Corporate clients · 11 to 13Jan 4, 2024 to Feb 20, 2024
- HNW clients · 55 to 61Jan 4, 2024 to Feb 20, 2024
- Individual clients · 121 to 119Jan 4, 2024 to Feb 20, 2024
- Pooled vehicle clients · 0 to 1Jan 4, 2024 to Feb 20, 2024
- Assets in custody · $73.6M to $72.6MJan 4, 2024 to Feb 20, 2024
- Financial planning clients · 0 to 101-250Jan 4, 2024 to Feb 20, 2024
- State-registered IARs · 4 to 3Jan 4, 2024 to Feb 20, 2024
- Discretionary RAUM · $213M to $253MJan 4, 2024 to Feb 20, 2024
Signals
3 dated events
- Charles C Daugherty left Cottonwood Capital Advisors for Cg Advisory Services (registered 2025-06-10)Apr 10, 2025 · Advisor changed firm · fact
- 4 advisors left Commonwealth Financial Network (Irving, TX) for Cottonwood Capital Advisors on the same dayApr 3, 2023 · Team lift-out · derived
- Cottonwood Capital Advisors filed its initial SEC registration (Form ADV)Feb 15, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Cottonwood Capital Advisors · Independent Sponsorsshared crd · capital_provider
- Cottonwood Capital Advisors · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 972-573-4030reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 972-573-4040reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/cottonwood-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cottonwoodcapitaladvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9725734030reportedpublic record, Form ADV, Mar 24, 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
- $69.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026