9AT: REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENTS

FAIRALL WEALTH MANAGEMENT

Adviser Profile

As of Date	06/21/2026
Registration	SEC, Approved, 02/04/2021
Other registrations (2)	California, Terminated, 03/13/2021 Texas, Conditional Restricted, 06/21/2013
ADV Location	FORT BRAGG, CA, United States
Contact Info	707 xxxxxxx
Websites

AUM^*	230,299,398 66%
of that, discretionary	230,299,398 66%
Number of Employees	3 -40%
of those in investment advisory functions	3
Private Fund GAV^*	0
Avg Account Size	299,869 47%
% High Net Worth	48.10% 2%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Pension and profit sharing plans
- Charitable organizations
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

230M 197M 164M 132M 99M 66M 33M

2021 2022 2023 2024 2025 2026

Discretionary

Non-discretionary

Private Funds

No private funds

Employees

Brochure Summary

Overview

We specialize in Comprehensive Portfolio Management. Our assets under management are $138,998,326 as of December 31, 2023 all of which is managed on a discretionary basis. All material conflicts of interest under CCR Section 260.238 (k) are disclosed below regarding our firm, our representatives, or our employees, which could be reasonably expected to impair the rendering of unbiased and objective advice. To comply with CCR Section 260.238(j), we disclose that lower fees for comparable services may be available from other sources. We are dedicated to providing individuals and other types of clients with a wide array of investment advisory services. Our firm is a corporation formed in the State of California. Our firm has been in business since 2005 and an investment adviser since 2013 and is wholly owned by Daniel Catone. 1. Advisory Services Offered We offer individualized investment advice to clients utilizing our Comprehensive Portfolio Management services. 2. Comprehensive Portfolio Management: Our Comprehensive Portfolio Management service encompasses asset management as well as providing financial planning/financial consulting to clients. It is designed to assist clients in meeting their financial goals through the use of financial investments. We conduct at least one, but sometimes more than one meeting (in person if possible, otherwise via telephone conference) with clients in order to understand their current financial situation, existing resources, financial goals, and tolerance

for risk. Based on what we learn, we propose an investment approach to the client. We may propose an investment portfolio, consisting of exchange traded funds (“ETFs”), mutual funds, individual stocks or bonds, or other securities including alternative investments. Upon the client’s agreement to the proposed investment plan, we work with the client to establish or transfer investment accounts so that we can manage the client’s portfolio. Once the relevant accounts are under our management, we review such accounts on a regular basis and at least quarterly. We may periodically rebalance or adjust client accounts under our management. If the client experiences any significant changes to his/her financial or personal circumstances, the client must notify us so that we can consider such information in managing the client’s investments. 3. Tailoring of Advisory Services Each client has the opportunity to place reasonable restrictions on the types of investments to be held in the portfolio. Restrictions on investments in certain securities or types of securities may not be possible due to the level of difficulty this would entail in managing the account. Restrictions would be limited to our Comprehensive Portfolio Management service. We do not manage assets through our other services. 4. Participation in Wrap Programs Redwood Investment Group, Inc participates in a wrap fee program. 5. Regulatory Assets Under Management As of December 31, 2023, we manage $138,998,326 on a discretionary basis.

REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENTS

FAIRALL WEALTH MANAGEMENT

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

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REDWOOD INVESTMENT GROUP, INC REDWOOD INVESTMENT GROUP, INC REDWOOD INVESTMENTS FAIRALL WEALTH MANAGEMENT

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Brochure Summary

Overview

REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENT GROUP, INC

REDWOOD INVESTMENTS

FAIRALL WEALTH MANAGEMENT