# Redwood Investment Management, LLC.

> Redwood Investment Management, LLC. is an SEC-registered investment advisory firm in Scottsdale, AZ, registered since 2013, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 31, 2026.

- CRD: 153139
- Filed as: REDWOOD INVESTMENT MANAGEMENT, LLC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Scottsdale, AZ
- Filing period: October 2026
- Form ADV filing dated: March 31, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/153139
- AdvisorCensus page: https://advisorcensus.com/firm/redwood-investment-management-llc-scottsdale-az-153139

## Quick answers

**How is Redwood Investment Management, LLC. compensated?**
On its Form ADV (Item 5.E, October 2026), Redwood Investment Management, LLC. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Redwood Investment Management, LLC. located?**
Redwood Investment Management, LLC.'s principal office is in Scottsdale, AZ, according to its Form ADV.

**Is Redwood Investment Management, LLC. registered with the SEC or a state?**
Redwood Investment Management, LLC. is an SEC-registered investment advisory firm, registered since 2013. Status as filed: Approved. CRD 153139.

**How much does Redwood Investment Management, LLC. manage?**
Redwood Investment Management, LLC. reports $2,472,561,560 in regulatory assets under management in its Form ADV filing dated March 31, 2026 (100% discretionary).

**How have Redwood Investment Management, LLC.'s assets and staff changed since 2021?**
In the Form ADV data for Redwood Investment Management, LLC.: Regulatory assets under management: $2,013,516,369 in the October 2021 data and $2,472,561,560 in the October 2026 data, up 23%. Total employees: 27 in October 2021 and 39 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Redwood Investment Management, LLC. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (81); high net worth individuals (61); investment companies (8).

**Which custodians does Redwood Investment Management, LLC. use?**
Redwood Investment Management, LLC.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does Redwood Investment Management, LLC. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/153139

**What changed in Redwood Investment Management, LLC.'s recent Form ADV filings?**
In the April 2026 filing data: Employees performing advisory functions went from 6 to 5.

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $2,472,561,560
- Discretionary: $2,472,561,560
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 81 | $21,151,353 |
| High net worth individuals | 61 | $59,260,370 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 8 | $1,385,832,321 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 2 | $1,006,317,516 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Other

### Firm details
- Registered since: 2013 (13 years)
- Employees: 39 total, 5 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, CO, FL, IA, IN, KS, NC, NY, OR, PA, TX, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- [cremxfund.com](https://cremxfund.com)
- [leadersharesetfs.com](https://leadersharesetfs.com)
- [redwoodim.com](https://redwoodim.com)
- [redwoodmutualfunds.com](https://redwoodmutualfunds.com)
- LinkedIn @REDWOOD-INVESTMENT-MANAGEMENT-LLC

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $2,013,516,369 | 27 | March 26, 2021 |
| October 2022 | $2,441,903,849 | 27 | March 31, 2022 |
| October 2023 | $2,385,975,981 | 31 | March 31, 2023 |
| October 2024 | $2,727,993,120 | 32 | March 29, 2024 |
| October 2025 | $2,545,149,589 | 31 | March 31, 2025 |
| October 2026 | $2,472,561,560 | 39 | March 31, 2026 |

Regulatory assets under management: $2,013,516,369 in the October 2021 data and $2,472,561,560 in the October 2026 data, up 23%.
Total employees: 27 in October 2021 and 39 in October 2026.

## Changes in the filing (last 12 months)

### April 2026
- Employees performing advisory functions went from 6 to 5.

### January 2026
- No longer registered or notice-filed in MO.

### December 2025
- Registered or notice-filed in KS, MO.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Redwood Investment Management, LLC. (CRD 153139): Form ADV filing data as of October 2026.