REDWOOD HOLDINGS, LLC of SANTA MONICA, CA is an SEC-registered investment adviser (CRD 173916). Regulatory assets under management: $837.0M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
| Name | Role | Location |
|---|---|---|
| Benjamin Asher Lincoln | CEO, CCO; MEMBER | — |
| LINCOLN BENJAMIN ASHER | CEO, CCO; MEMBER; PRESIDENT | — |
| PRESLAR DANIEL ROBINSON | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-09-30 | regulatory | PROMISSORY NOTES FROM CLIENT LOANS WERE NOT HELD BY REGISTERED BROKER DEALER AND WERE NOT LISTED ON CLIENT STATEMENTS BUT WERE ONLY BEING SHOWN IN CLIENTS ONLINE "DROP BOX" FOLDER. THEREFORE CCO AND CIO WERE NOT AWARE OF PROMISSORY NOTE INVESTMENTS. SINCE PROMISSORY NOTES WERE HELD IN "DROP BOX" FOL… | Final | $50K |