REDWOOD INVESTMENT MANAGEMENT, LLC.

C28
CRD 153139·SEC 801-78563·SCOTTSDALE, AZ
AUM
$2.47B
$1B+
Est. Revenue
$24.7M
@ 1% on AUM
Est. EBITDA
$7.4M
@ 30% margin
Est. Deal Value
$59.3M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
REDWOOD INVESTMENT MANAGEMENT, LLC.
CRD
153139
SEC file #
801-78563
EIN
901004449
DBA names

Economics

AUM
$2.47B
AUM band
$1B+
AUM trajectory
'20'26
$1.10B → $2.47B▲ +124%
Client mix
Individuals Other81
Individuals High Net Worth61
Investment Companies8
Other Investment Advisers2

Operations

Employees (total)
39
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
5 advisors → 5 advisors▬ 0%
Primary office
SCOTTSDALE AZ
Branches

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Portfolio mgmt — individualsPortfolio mgmt — investment companiesOther Advisory Services
Fee basis
% of AUM

Filings

Latest ADV filing
03/31/2026
ADV-W filed at

Compliance

Disclosures (firm)
0
Trademark
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
RIM HOLDCO, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
5
Control Persons
RIM HOLDCO, LLC
CHEUNG, MICHAEL, TZE-CHUN
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
REDWOODMUTUALFUNDS.COM
Rdap Domain Creation Date
2013-09-23T20:11:18Z
Rdap Firm Age Years
13
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001594368
Edgar Registered
Yes
Edgar Filing Count
10
Edgar First Filing Date
2013-12-17
Edgar Last Filing Date
2023-02-14
Edgar Form D Count
10
Edgar Form D Offerings
2023-02-142023-02-14 · 0001594368-23-000001
2021-12-102021-12-10 · 0001594368-21-000001

Compliance & brand

Firm Registration Status
active

All other collected signals (16)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Edgar Addresses
Mailing
1117 S. ROBERTSON BLVDLOS ANGELES, CA 90035
Business
1117 S. ROBERTSON BLVDLOS ANGELES, CA 90035
Edgar EIN
901004449
Edgar Recent Filings
D/A2023-02-14 · 0001594368-23-000001
D/A2021-12-10 · 0001594368-21-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-09-23T20:11:18Z
Rdap Domain Last Changed
2025-09-24T17:12:20Z
Rdap Nameservers
Ns55.domaincontrol.comNs56.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Trust Company Affiliate
No