Cottonwood Ventures provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, business succession planning, education planning, estate planning, and retirement plan services. Financial planning was provided to 101–250 clients last fiscal year. The firm advises 4 private funds.
Cottonwood Ventures reports 210 clients. They include 110 individual clients, 81 high-net-worth individuals, and 14 corporations and other businesses. Of its assets, 100.0% ($347M across 640 accounts) are managed with discretion.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 52% | 14% |
| High-net-worth individuals | 39% | 71% |
| Pooled investment vehicles | 2% | 6% |
| Charitable organizations | <1% | <1% |
| Corporations and other businesses | 7% | 8% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 110 | $49.9M | 14.4% | $454K |
| High-net-worth individuals | 81 | $246M | 70.8% | $3.04M |
| Pooled investment vehicles | 4 | $20.5M | 5.9% | $5.12M |
| Charitable organizations | Fewer than 5 | $3.13M | 0.9% | $3.13M |
| Corporations and other businesses | 14 | $27.9M | 8.0% | $1.99M |
| Total | 210 | $347M | 100% | — |
- Clients
- 110
- Regulatory AUM
- $49.9M
- AUM share
- 14.4%
- Avg. per client
- $454K
- Clients
- 81
- Regulatory AUM
- $246M
- AUM share
- 70.8%
- Avg. per client
- $3.04M
- Clients
- 4
- Regulatory AUM
- $20.5M
- AUM share
- 5.9%
- Avg. per client
- $5.12M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.13M
- AUM share
- 0.9%
- Avg. per client
- $3.13M
- Clients
- 14
- Regulatory AUM
- $27.9M
- AUM share
- 8.0%
- Avg. per client
- $1.99M
Total
- Clients
- 210
- Regulatory AUM
- $347M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 4
- Financial planning clients last fiscal year
- 101–250
Cottonwood Ventures is paid through a percentage of assets under management, fixed fees (other than subscription fees) and performance-based fees. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Wealth Management Consulting
- Consulting is an annual fee for ongoing services, a flat fee, or an hourly rate not to exceed $500, negotiable.
John Rubottom owns 25% to 50% of Cottonwood Ventures. The leadership team of Cottonwood Ventures includes Chief Compliance Officer Stephen Shipley. It has 5 employees, 3 of them in advisory roles.
Leadership
- Stephen ShipleyFounder, Director of Financial Planning, Chief Compliance Officer
- Kristen HoltPartner, Director of Operations
- John RubottomFounder, Director of Business Development
Investment adviser representatives
5 representatives listed in the SEC register as of 9 October 2026.
- Christa Dianne Bass
- Victor Berlizov
- Kristen Joy Holt
- John William Rubottom JR
- Stephen Barnett Shipley
Staff
- 5 employees
- 3 in advisory functions
- 4 state-registered reps
- 3 insurance agents
- 1 soliciting firm
- Owns 25% to 50% of Cottonwood Ventures, LLC
John Rubottom
Control person · since March 2013
- Owns 25% to 50% of Cottonwood Ventures, LLC
Stephen Shipley
Control person · since March 2013
- Owns 5% to 10% of Cottonwood Ventures, LLC
Kristen Holt
since June 2022
Cottonwood Ventures’ regulatory assets grew 1.6× from $213M (July 2023) to $347M (March 2026); clients rose from 187 to 210 and employees from 4 to 5.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| March 2026 | $347M | 210 | 5 | 1 |
| March 2025 | $291M | 204 | 5 | 1 |
| February 2024 | $253M | 194 | 4 | 1 |
| July 2023 | $213M | 187 | 4 | 1 |
Besides its headquarters, Cottonwood Ventures has 0 offices, with 1 listed address in Texas.
Texas · 1 listed address
- 105 Decker Court Suite 730, IrvingHQ
Contact and registration details
- Legal name
- Cottonwood Ventures, LLC
- Headquarters
- 105 Decker Court Suite 730, Irving, TX 75062
- Phone
- 972-573-4030
- @cottonwood-capital-advisors
- SEC file
- 801-127478
- Founded
- 2013
- Structure
- Texas LLC
- Fiscal year end
- December
Cottonwood Ventures uses Fidelity ($327M) as custodian for its separately managed accounts. Cottonwood Ventures has custody of $110M in client assets for 89 clients.
- FidelityNational Financial Services LLC · Boston, MA · $327M100%
At year end, Cottonwood Ventures’ separately managed accounts were mostly in funds (70%) and stocks (12%).
What the accounts hold
- Stocks12%
- Funds70%
- Registered funds64%
- Pooled vehicles6%
- Bonds6%
- Cash12%
How many clients does Cottonwood Ventures have?
Cottonwood Ventures has 210 clients and manages $347 million for them, as of March 2026. They include 110 individual clients, 81 high-net-worth individuals, and 14 corporations and other businesses.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026
What services does Cottonwood Ventures offer?
Cottonwood Ventures provides financial planning, portfolio management for individuals and small businesses, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, business succession planning, education planning, estate planning, and retirement plan services.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Cottonwood Ventures use?
Cottonwood Ventures’ separately managed account assets are held at National Financial Services LLC (Boston, MA), with $327M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026
How many financial advisors does Cottonwood Ventures have?
Cottonwood Ventures has 4 investment adviser representatives registered with state securities authorities, out of 5 employees, and 3 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Cottonwood Ventures invest in?
At the end of its last fiscal year, Cottonwood Ventures’ separately managed accounts held 64% registered funds (mutual funds, ETFs, BDCs), 12% exchange-traded equities, 12% cash and equivalents, 6% state and local bonds and 6% pooled vehicles (private funds and similar). It advises 4 private funds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Cottonwood Ventures?
Cottonwood Ventures’ direct owners are John Rubottom, Stephen Shipley and Kristen Holt, each holding 50% or less.
Source: Form ADV Part 1A, Schedules A and B, filed 24 March 2026
How does Cottonwood Ventures get paid?
Cottonwood Ventures is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Cottonwood Ventures registered with the SEC?
Yes, Cottonwood Ventures has been registered with the SEC as an investment adviser since 21 March 2023. Its CRD number is 322366 and its SEC file number is 801-127478.
Source: Form ADV Part 1A, Item 1, filed 24 March 2026; IAPD firm record
How do I contact Cottonwood Ventures?
Cottonwood Ventures’ main office is at 105 Decker Court Suite 730, Irving, TX 75062. Its phone number is 972-573-4030. Its website is cottonwoodcapitaladvisors.com.