Filing Signals

Source: SEC EDGAR Compiled 2026-09-14 08:28 UTC All 21 checks passing

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Redwood Mortgage Investors IX

CIK 1448038 RWDMU·Real Estate · All EDGAR filings ↗

Progression

  1. Material weakness 10-K
  2. Auditor change 8-K +10d
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Form
An amendment is grouped with the report it amends; every 12b-25 notice is one group

Late filing elevated Filing comparison

Redwood Mortgage Investors IX filed its quarterly report late and said it expects a significant change in results

expects significant change in results 3 days past the statutory due date.

The Registrant could not complete the filing of its Form 10-Q for the three month period ended March 31, 2026 (the “Form 10-Q”) without unreasonable effort and expense because additional time is needed to gather information and complete review processes in order to finalize the Form 10-Q. The Registrant is working diligently to file the Form 10-Q for the three months ended March 31, 2026 as soon as practicable.
Evidence
Anticipates significant change
Yes
Days past due date
3
Other periodic reports filed
Yes
Routine
No
Severity
elevated
Source
Form 12b-25 (notification of late filing)
Stated reason
The Registrant could not complete the filing of its Form 10-Q for the three month period ended March 31, 2026 (the “Form 10-Q”) without unreasonable effort and expense because additional time is needed to gather information and complete review processes in order to finalize the Form 10-Q. The Registrant is working diligently to file the Form 10-Q for the three months ended March 31, 2026 as soon as practicable.
Why
The company told the SEC it could not file a periodic report on time, using Form 12b-25.

Source filing ↗

Auditor change SEC item code

Redwood Mortgage Investors IX dismissed BDO and engaged Baker Tilly

The company dismissed the auditor. BDO → Baker Tilly

Evidence
Direction
dismissed
Direction label
The company dismissed the auditor
Item code
4.01
Item title
Changes in Registrant's Certifying Accountant
Predecessor auditor
BDO
Predecessor tier
national
Severity
normal
Source
SEC 8-K item code
Successor auditor
Baker Tilly
Successor tier
national
Why
The company's independent registered accounting firm changed.

Source filing ↗

Auditor change SEC item code

Redwood Mortgage Investors IX dismissed BDO and engaged Baker Tilly

The company dismissed the auditor. BDO → Baker Tilly

Evidence
Direction
dismissed
Direction label
The company dismissed the auditor
Item code
4.01
Item title
Changes in Registrant's Certifying Accountant
Predecessor auditor
BDO
Predecessor tier
national
Severity
normal
Source
SEC 8-K item code
Successor auditor
Baker Tilly
Successor tier
national
Why
The company's independent registered accounting firm changed.

Source filing ↗

Material weakness Filing comparison

Redwood Mortgage Investors IX reported internal control effective again after a material weakness

Material weakness in internal control → Internal control reported effective

The weakness was first reported on 2024-04-18 — 726 days and 2 annual reports before this one.

RMC, with the participation of RMC’s principal executive officer/principal financial officer, assessed the effectiveness of the manager’s internal control over financial reporting based on the criteria set forth by the Committee of Sponsoring Organizations of the Treadway Commission (COSO) in Internal Control—Integrated Framework (2013). Based on those criteria, management concluded that its internal control over financial reporting was effective as of December 31, 2025. Remediation of Material Weaknesses As…
Evidence
Current state
effective
Current state label
Internal control reported effective
Direction
remediated
Prior filed
2025-04-24
Prior form
10-K
Prior state
material_weakness
Prior state label
Material weakness in internal control
Remediation stated
Yes
Severity
normal
Source
Item 9A internal control conclusion, compared with the prior filing
Weakness annual reports
2
Weakness days reported
726
Weakness first reported
2024-04-18
Why
The company's conclusion on internal control over financial reporting changed: a material weakness was newly reported, or a previously reported one no longer appears.

Source filing ↗ Prior filing ↗

Late filing elevated Filing comparison

Redwood Mortgage Investors IX filed its annual report late and said it expects a significant change in results

expects significant change in results Filed on the statutory due date.

The Registrant could not complete the filing of its Form 10-K for the fiscal year ended December 31, 2025 (the “Form 10-K”) without unreasonable effort and expense because additional time is needed to gather information and complete review processes in order to finalize the Form 10-K. The Registrant is working diligently to file the Form 10-K for the fiscal year ended December 31, 2025 as soon as practicable.
Evidence
Anticipates significant change
Yes
Days past due date
0
Other periodic reports filed
Yes
Routine
No
Severity
elevated
Source
Form 12b-25 (notification of late filing)
Stated reason
The Registrant could not complete the filing of its Form 10-K for the fiscal year ended December 31, 2025 (the “Form 10-K”) without unreasonable effort and expense because additional time is needed to gather information and complete review processes in order to finalize the Form 10-K. The Registrant is working diligently to file the Form 10-K for the fiscal year ended December 31, 2025 as soon as practicable.
Why
The company told the SEC it could not file a periodic report on time, using Form 12b-25.

Source filing ↗