Cottonwood Ventures, Llc
- Regulatory AUM
- $347M
- Discretionary
- $347M
- Clients
- 210
- Avg AUM / client
- $1.7M
- Accounts
- 640
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 24, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 110 | $49.9M | 14.4% |
| High net worth individuals | 81 | $246M | 70.8% |
| Pooled investment vehicles (non-investment companies) | 4 | $20.5M | 5.89% |
| Charitable organizations | 1 | $3.1M | 0.9% |
| Corporations and other businesses | 14 | $27.9M | 8.03% |
Private funds (1)
Reported in Form ADV Section 7.B.(1), filing of Feb 2024 · $4.9M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Cca Saxum Opportunity, Lp | Private Equity Fund | Texas | $4.9M | 16 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Plumbers & Pipefitters Local No. 45 Retirement Savings Plan Plumbers & Pipefitters Local No.45 Union No. 45 Retirement Plan | 2024 | |
| Plumbers Local Union No. 16 Pension Plan Board Of Trustees Plumbers Local Union No. 16 Pension Plan | 2024 |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| John William Rubottom | Founder, Director Of Business Development | CFP | Mar 2013 (13y) | 25% – 50% |
| Stephen Barnett Shipley | Founder, Director Of Financial Planning, Chief Compliance Officer | Mar 2013 (13y) | 25% – 50% | |
| Kristen Joy Holt | Partner, Director Of Operations | Jun 2022 (4y) | Less than 5% | |
| Christa Dianne Bass | Registered representative | CFP | Mar 2023 (3y) | |
| Victor Berlizov | Registered representative | Jul 2025 (1y) |
Undisclosed: 0% – 50% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (1, $4.9M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Cca Saxum Opportunity, Lp | Private Equity Fund | $4.9M | $100K | 16 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Plumbers & Pipefitters Local No. 45 Retirement Savings Plan | Plumbers & Pipefitters Local No.45 Union No. 45 Retirement Plan | 195 | $12.2M | 04/01/2024 |
| Plumbers Local Union No. 16 Pension Plan | Board Of Trustees Plumbers Local Union No. 16 Pension Plan | 531 | $96.0M | 04/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/24/2026 | 1.53 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- National Financial Services (Fidelity) $327M (94% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 24, 2026.
View current Form ADV (SEC/IAPD) ↗