SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Redwood Investment Management, LLC.
Scottsdale, AZ
CRD 153139
Firm filing updated March 31, 2026 ·
- $2.5BAssets
- 152Clients
- 5Advisory staff
- 524Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- Individuals81
- High net worth individuals61
- Investment companies8
- Other investment advisors2
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 81 | $21.2 million |
| High net worth individuals | 61 | $59.3 million |
| Investment companies | 8 | $1.4 billion |
| Other investment advisors | 2 | $1.0 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Other: "MODEL PORTFOLIO AND SUB-ADVISER TO INVESTMENT ADVISERS, AND SUB-ADVISER TO AFFILIATED INVESTMENT ADVISER."
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Other: "MODEL PORTFOLIO AND SUB-ADVISER TO INVESTMENT ADVISERS, AND SUB-ADVISER TO AFFILIATED INVESTMENT ADVISER."
Assets and accounts
- Regulatory assets$2.5 billion
- Accounts524
- DiscretionaryAll accounts
People
- Employees39
- Advisory staff5
- Broker-dealer reps16
- Licensed insurance agents0
- Planning clients0
Registration details
- SEC-registered investment advisor. CRD 153139, SEC file 801-78563.
- Registered with the SEC as an investment advisor (status date on record: September 13, 2013).
Is Redwood Investment Management, LLC. a fiduciary?
Short answer: Redwood Investment Management, LLC. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 16 staff are broker-dealer representatives. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.