IRONWOOD CAPITAL ADVISORS LLC
Adviser information for IRONWOOD CAPITAL ADVISORS LLC last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 16 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 6 | $880.4M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $880.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $880.4M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-125824 |
|---|---|
| SEC ERA File Number | 801-125824 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 321642 |
| Legal Entity Identifier | None |
Principal Office
45 NOD ROADAVON
CT
United States
Monday - Friday, 9:00 - 5:00
Tel: 860-409-2100, Fax: 860-409-2120
Chief Compliance Officer
ZACH LUCE
PARTNER, CHIEF FINANCIAL OFFICER
45 NOD ROAD
AVON
CT
United States
Tel:
860-798-0220
Fax:
860-409-2120
L***@**************M
(Full email address available in API data)
Regulatory Contact
CAROLYN GALIETTE
PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER
45 NOD ROAD
AVON
CT
United States
Tel:
860-680-1035
Fax:
860-409-2120
G*******@**************M
(Full email address available in API data)
Industry Affiliates
| IRONWOOD CAPITAL ADVISORS II LLC | Other investment adviser, including financial planners |
| IRONWOOD CAPITAL ADVISORS III LLC | Other investment adviser, including financial planners |
| IRONWOOD CAPITAL ADVISORS IV LLC | Other investment adviser, including financial planners |
| IRONWOOD CAPITAL ADVISORS V LLC | Other investment adviser, including financial planners |
| IRONWOOD CAPITAL MANAGEMENT V LLC | Sponsor, GP, manager of pooled investment vehicles |
| IRONWOOD CAPITAL MANAGEMENT V SBIC LLC | Sponsor, GP, manager of pooled investment vehicles |
| IRONWOOD MEZZANINE MANAGEMENT II LLC | Sponsor, GP, manager of pooled investment vehicles |
| IRONWOOD MEZZANINE MANAGEMENT III LLC | Sponsor, GP, manager of pooled investment vehicles |
| IRONWOOD MEZZANINE MANAGEMENT III-A LLC | Sponsor, GP, manager of pooled investment vehicles |
| IRONWOOD MEZZANINE MANAGEMENT IV LLC | Sponsor, GP, manager of pooled investment vehicles |
| IRONWOOD MEZZANINE MANAGEMENT IV-A LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| IRONWOOD CAPITAL PARTNERS V LP | Private Equity Fund | $439.2M | $0.0M | 20 |
| IRONWOOD CAPITAL PARTNERS V SBIC LP | Private Equity Fund | $153.8M | $0.0M | 24 |
| IRONWOOD MEZZANINE FUND IV LP | Private Equity Fund | $110.5M | $0.0M | 15 |
| IRONWOOD MEZZANINE FUND IV-A LP | Private Equity Fund | $84.7M | $0.0M | 24 |
| IRONWOOD MEZZANINE FUND IV-B LP | Private Equity Fund | $92.1M | $0.0M | 13 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| IRONWOOD CAPITAL HOLDINGS | Domestic Entity | – | OWNER | 03/2022 | > 75% |
| GALIETTE, CAROLYN, CUSWORTH | Individual | – | PARTNER, PRESIDENT AND CHIEF INVESTMENT OFFICER | 08/2015 | < 5% |
| REICH, MARC, ANDREW | Individual | – | PARTNER AND CHAIRMAN EMERITUS | 08/2015 | < 5% |
| BARRA, JAMES, RAYMOND | Individual | – | PARTNER | 06/2011 | < 5% |
| LUCE, ZACHARY, ROBERT | Individual | – | PARTNER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |
| LEVENTAL, ALEXANDER | Individual | – | PARTNER | 01/2021 | < 5% |
| PAUL, WITINSKI, FRANCIS | Individual | – | PARTNER | 01/2023 | < 5% |