COTTONWOOD CAPITAL ADVISORS
COTTONWOOD VENTURES, LLC Legal Name
Adviser information for COTTONWOOD CAPITAL ADVISORS last updated from Form ADV on February 20th, 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 | Texas, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 196 | $252.6M |
| Non-Discretionary | 0 | $0 |
| Total | 196 | $252.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 119 | $47.5M |
| HNW Individuals | 61 | $169.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $4.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $2.9M |
| 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 | 13 | $28.1M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-127478 |
|---|---|
| SEC ERA File Number | 801-127478 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322366 |
| Legal Entity Identifier | None |
Principal Office
105 DECKER COURT SUITE 730IRVING
TX
United States
Monday - Friday, 9AM-4PM
Tel: 9725734030, Fax: (972) 573-4040
Chief Compliance Officer
STEPHEN SHIPLEY
FOUNDER AND DIRECTOR OF FINANCIAL PLANNING
105 DECKER COURT
SUITE 730
IRVING
TX
United States
Tel:
(972) 573-4030
S**************@*****************M
(Full email address available in API data)
Regulatory Contact
KRISTEN HOLT
PARTNER AND DIRECTOR OF OPERATIONS
105 DECKER COURT
SUITE 730
IRVING
TX
United States
Tel:
(972) 573-4030
K***********@*****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CCA SAXUM OPPORTUNITY, LP | Private Equity Fund | $4.9M | $0.1M | 16 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RUBOTTOM, JOHN, WILLIAM | Individual | – | FOUNDER, DIRECTOR OF BUSINESS DEVELOPMENT | 03/2013 | 25-50% |
| SHIPLEY, STEPHEN, BARNETT | Individual | – | FOUNDER, DIRECTOR OF FINANCIAL PLANNING, CHIEF COMPLIANCE OFFICER | 03/2013 | 25-50% |
| HOLT, KRISTEN, JOY | Individual | – | PARTNER, DIRECTOR OF OPERATIONS | 06/2022 | < 5% |