Copperwood Financial

Registered investment adviser · Burr Ridge, IL · CRD #310859

Form ADV data as of 2026-09-01

Regulatory assets

$119.6 million

Total accounts

795

Employees

Disclosure events

Firm details

Website: https://www.facebook.com/copperwoodfinancial/
Telephone: 630-581-8998
SEC file number: 801-134875
Most recent Form ADV filing: 2026-03-25
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 5 disclosure questions answered Yes, covering 8 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

Charged with a felony (past 10 years)
Charged with an investment-related misdemeanor (past 10 years)
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Another regulator denied, suspended, or revoked a registration or restricted activity

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$119.3 million
Non-discretionary regulatory assets under management	$303,000
Total regulatory assets under management	$119.6 million
Discretionary accounts	793
Non-discretionary accounts	2
Total accounts	795
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	3
Employees performing investment advisory functions (including research)	3
Employees who are registered representatives of a broker-dealer	0
Employees registered as investment adviser representatives with a state	3
Employees registered as IARs for another investment adviser	0
Employees who are licensed insurance agents	2
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers)

Affiliated related persons

Insurance company or agency

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Buys or sells for itself securities it also recommends to clients
Recommends brokers or dealers to clients
Receives soft dollar benefits
Compensates a non-employee for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	216	$59.2 million
High net worth individuals	46	$58.5 million
Charitable organizations	Not reported	$730,000
Corporations or other businesses not listed above	Not reported	$1.2 million