REDWOOD INVESTMENT GROUP, INC
Adviser information for REDWOOD INVESTMENT GROUP, INC last updated from Form ADV on March 5th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 683 | $139.0M |
| Non-Discretionary | 0 | $0 |
| Total | 683 | $139.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 354 | $31.5M |
| HNW Individuals | 322 | $103.4M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.7M |
| Charitable organizations | <5 | $901,050 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $503,797 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Registered representative of a broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 139.0M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| REDWOOD INVESTMENT GROUP | REDWOOD INVESTMENT GROUP, INC |
Identifiers
| SEC RIA File Number | 801-120258 |
|---|---|
| SEC ERA File Number | 801-120258 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168017 |
| Legal Entity Identifier | None |
Principal Office
319 N MAIN STREETFORT BRAGG
CA
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 707-964-9700, Fax: None
Websites
Chief Compliance Officer
DANIEL CATONE
PRESIDENT
319 N MAIN STREET
FORT BRAGG
CA
United States
Tel:
707-964-9700
D*****@***********************M
(Full email address available in API data)
Regulatory Contact
PATRICK JEFFS-CATONE
COMPLIANCE ASSISTANT
201 E SANDPOINTE AVE
SUITE 460
SANTA ANA
CA
United States
Tel:
714-322-7410
P*************@******************M
(Full email address available in API data)
Industry Affiliates
| GOLDEN STATE ASSET MANAGEMENT | Other investment adviser, including financial planners |
| GOLDEN STATE EQUITY PARTNERS, LLC | Other investment adviser, including financial planners |
| GOLDEN STATE WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CATONE, DANIEL, ROBERT | Individual | – | PRESIDENT & CHIEF COMPLIANCE OFFICER | 06/2005 | > 75% |