Private fund adviser · New York, NY
Redwood Grove Capital, LLC
SEC-registered investment adviser · CRD 286228 · SEC 801-122386
At a glance
Redwood Grove Capital, LLC is an SEC-registered investment adviser based in New York, New York, with $364 million in regulatory assets under management as of its Form ADV filed April 14, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 3,380th of 4,686 private fund advisers and 9,243rd of 17,210 SEC-registered advisers by assets.
Main office 650-622-8739redwoodgrovecapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $364M
- Rank among private fund advisers
- #3,380 of 4,686
- Rank among all SEC RIAs
- #9,243 of 17,210
- Rank in New York
- #1,647 of 2,591
- Clients
- 1
- Accounts
- 1
- Discretionary
- 100% of AUM
- Employees
- 5
- Advisory staff
- 4
- Offices
- 1
Owners and executives on its Form ADV
- Gregory R. SerrurierManaging Member
- Theodore RooseveltManaging Member
- Shahriq B. SheikhChief Operating Officer/chief Compliance Officer
- Grzegorz K. ParosaSenior Equity Research Analyst
Custody and brokerage
Custodian
Redwood Grove Capital, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 1 | $364M | 100% |
Private funds
Redwood Grove Capital, LLC reports 1 private funds with $364M in gross assets: hedge funds (Form ADV Item 7.B).
Disciplinary disclosures
Redwood Grove Capital, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗redwoodgrovecapital.com ↗
AtlasMembers
The full record on Redwood Grove Capital, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
- Locked
- Growth over one, three and five years
- Locked
- Rank against 2,186 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 4 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Redwood Grove Capital, LLC manage?
Redwood Grove Capital, LLC reports $364 million in regulatory assets under management across 1 accounts, 100% of it on a discretionary basis, on its Form ADV filed April 14, 2026.
What kind of firm is Redwood Grove Capital, LLC?
Redwood Grove Capital, LLC is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Redwood Grove Capital, LLC’s clients?
By assets, its largest client types are pooled investment vehicles ($364 million, 1 clients).
Does Redwood Grove Capital, LLC manage private funds?
Yes. It reports 1 private funds with $364 million in gross assets, including hedge funds.
Does Redwood Grove Capital, LLC have any disciplinary history?
Redwood Grove Capital, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Redwood Grove Capital, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-04-14), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →