{"url":"https://nivawealth.com/firms/cottonwood-ventures-322366","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/322366","regulatoryAum":347343569,"crd":"322366","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"6269088","suffix":null,"lastName":"BASS","firstName":"CHRISTA","middleName":"DIANNE"},{"crd":"8114576","suffix":null,"lastName":"Berlizov","firstName":"Victor","middleName":null},{"crd":"5429380","suffix":null,"lastName":"HOLT","firstName":"KRISTEN","middleName":"JOY"},{"crd":"4576246","suffix":"JR","lastName":"RUBOTTOM","firstName":"JOHN","middleName":"WILLIAM"},{"crd":"2413071","suffix":null,"lastName":"SHIPLEY","firstName":"STEPHEN","middleName":"BARNETT"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2023-07-13","regulatoryAum":212512183,"clients":187,"employees":4,"offices":1},{"filedOn":"2024-02-20","regulatoryAum":252589878,"clients":194,"employees":4,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":291018574,"clients":204,"employees":5,"offices":1},{"filedOn":"2026-03-24","regulatoryAum":347343569,"clients":210,"employees":5,"offices":1}],"secFileNumber":"801-127478","legalName":"Cottonwood Ventures, LLC","displayName":"Cottonwood Ventures","slug":"cottonwood-ventures-322366","website":"https://cottonwoodcapitaladvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/cottonwood-capital-advisors/","founded":"2013","organization":"Texas limited liability company","fiscalYearEnd":"December","headquarters":{"street":"105 Decker Court Suite 730","city":"Irving","state":"TX","stateName":"Texas","country":"United States","postalCode":"75062"},"tradeNames":[],"registration":{"secApproved":"21 March 2023","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":1549001.115183246,"staff":{"employees":5,"advisory":3,"brokerDealerReps":0,"insuranceAgents":3,"promoters":1},"aum":{"regulatory":347343569,"discretionary":347343569,"discretionaryAccounts":640,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":110,"regulatoryAum":49937608},{"label":"High-net-worth individuals","clients":81,"regulatoryAum":245921605},{"label":"Pooled investment vehicles","clients":4,"regulatoryAum":20463822},{"label":"Charitable organizations","clients":1,"fewerThan5":true,"regulatoryAum":3133506},{"label":"Corporations and other businesses","clients":14,"regulatoryAum":27887028}],"feePrograms":[{"role":"other","program":"Wealth Management Consulting","summary":"Consulting is an annual fee for ongoing services, a flat fee, or an hourly rate not to exceed $500, negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024722","versionId":1024722,"submittedOn":"2026-03-24","documentName":"MARCH 2026 ADV PART 2 BROCHURE"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T11:13:47.166497+00:00","documents":[{"name":"MARCH 2026 ADV PART 2 BROCHURE","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024722","versionId":1024722,"submittedOn":"2026-03-24"}]},"custodians":[{"name":"National Financial Services LLC","shortName":"Fidelity","location":"Boston, MA","smaAssets":326879747}],"custodyNote":"Cottonwood Ventures has custody of $110M in client assets for 89 clients.","leadership":[{"name":"Stephen Shipley","title":"Founder, Director of Financial Planning, Chief Compliance Officer","crd":"2413071"},{"name":"Kristen Holt","title":"Partner, Director of Operations","crd":"5429380"},{"name":"John Rubottom","title":"Founder, Director of Business Development","crd":"4576246"}],"ownership":[{"label":"John Rubottom","detail":"Founder, director of business development in the 25% to 50% ownership band and a control person, since March 2013."},{"label":"Stephen Shipley","detail":"Founder, director of financial planning, chief compliance officer in the 25% to 50% ownership band and a control person, since March 2013."},{"label":"Kristen Holt","detail":"Partner, director of operations in the 5% to 10% ownership band, since June 2022."}],"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Texas","offices":1,"addresses":[{"street":"105 Decker Court Suite 730","city":"Irving","headquarters":true}]}],"brochureServices":["business succession planning","education planning","estate planning","retirement plan services"],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"972-573-4030","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":12},{"label":"U.S. state and local bonds","percent":6},{"label":"Securities issued by registered investment companies or business development companies","percent":64},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":6},{"label":"Cash and cash equivalents","percent":12}],"privateFunds":4},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/322366/PDF/322366.pdf","brochureDate":"24 March 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1024722","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Cottonwood Ventures have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Cottonwood Ventures offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Cottonwood Ventures use?","answer":"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","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Cottonwood Ventures have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Cottonwood Ventures invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Cottonwood Ventures?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Cottonwood Ventures get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Cottonwood Ventures registered with the SEC?","answer":"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","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Cottonwood Ventures?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}