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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

INNOVATOR MANAGEMENT LLC

CRD 159233

PHILADELPHIA, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9b316992-03a6-c19b-3a81-3d92084c8041

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 0
On other graphs: 0
Observed: Nov 17, 2011 to Mar 31, 2017
9 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $67.7MItem 5.F on the latest filing (2017-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $67.7M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Accounts: 2
SEC number: 801-72910
CRD: 159233
Filings on the tape: 9
First filed: Nov 17, 2011
Latest filed: Mar 31, 2017
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AAM FUND INVESTMENTS, LLC	Member	D	yes	08/2015	Oct 27, 2015	Mar 31, 2017
AEQUITAS ASSET MANAGEMENT OREGON, LLC	SOLE MEMBER	E	yes	04/2015	Oct 27, 2015	Mar 31, 2017
AEQUITAS HOLDINGS, LLC	SOLE MEMBER	E	yes	04/2015	Oct 27, 2015	Mar 31, 2017
AEQUITAS MANAGEMENT, LLC	MANAGER/MEMBER	E	yes	02/2007	Oct 27, 2015	Mar 31, 2017
BUFFIE, BRIAN, JACOB	CHIEF COMPLIANCE OFFICER	F	yes	01/2016	Mar 30, 2016	Mar 31, 2017
CLIFTONLARSONALLEN LLP	SOLE MEMBER	E	yes	09/2014	Mar 22, 2013	Mar 31, 2017
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC	Member	D	yes	01/2016	Nov 17, 2011	Mar 31, 2017
FROUDE, CRAIG, JAY	MANAGER/MEMBER	F	yes	06/2012	Oct 27, 2015	Mar 31, 2017
GRIES, MICHAEL, DAVID	CHIEF COMPLIANCE OFFICER	Na	yes	11/2011	Nov 17, 2011	Mar 31, 2017
HALLADA, ANTONY, REED	MANAGING PRINCIPAL (CEO)	F	yes	11/2001	Nov 17, 2011	Mar 31, 2017
INNOVATOR HOLDINGS, LLC	MANAGING MEMBER	E	yes	08/2015	Oct 27, 2015	Mar 31, 2017
JACOVINI, DAVID, JAMES	President	Na	yes	11/2011	Nov 17, 2011	Mar 31, 2017
JESENIK, ROBERT, JOSEPH	MANAGER/MEMBER	C	yes	02/2007	Oct 27, 2015	Mar 31, 2017
JOHNSON, MATTHEW, BRENT	CHIEF FINANCIAL OFFICER	F	yes	03/2013	Mar 28, 2014	Mar 31, 2017
MACRITCHIE, ANDREW, N	MANAGER/MEMBER	F	yes	02/2007	Oct 27, 2015	Mar 31, 2017
OLIVER, BRIAN, ARTHUR	MANAGER/MEMBER	F	yes	02/2007	Oct 27, 2015	Mar 31, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC	n/a	Bd affiliated wealth	$14B	Y	no	n/a
PRIVATE ADVISORY GROUP LLC	n/a	Independent wealth	$2.1B	N	yes	n/a
AEQUITAS INVESTMENT MANAGEMENT, LLC	n/a	Former SEC adviser	$300M	N	yes	n/a
STRATEGIC CAPITAL ALTERNATIVES, LLC	n/a	Former SEC adviser	$208M	N	yes	n/a
AEQUITAS CAPITAL MANAGEMENT, INC.	n/a	n/a	n/a	N	yes	n/a
AEQUITAS CAPITAL OPPORTUNITIES GP, LLC	n/a	n/a	n/a	N	yes	n/a
CLA TRUST COMPANY LLC	n/a	n/a	n/a	N	yes	n/a
CLIFTONLARSONALLEN LLP	n/a	n/a	n/a	Y	no	n/a
CLIFTONLARSONALLEN MUNICIPAL ADVISORS, LLC	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 31, 2017	$67.7M	$67.7M	2	2	n/a	n/a	n/a
2015	Mar 30, 2016	$91.7M	$91.7M	2	2	n/a	n/a	n/a
2014	Mar 31, 2015	$89.6M	$89.6M	2	2	n/a	n/a	n/a
2013	Mar 28, 2014	$109M	$109M	2	2	n/a	n/a	n/a
2012	Mar 22, 2013	$76.6M	$76.6M	2	2	n/a	n/a	n/a
2011	Mar 20, 2012	$0	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$67.7M	$91.7M	-26.2%	$109M	-14.7%	2	2	n/a	n/a

Relationships

Affiliated with (6)

→ AEQUITAS INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SCARegistered adviserother investment adviser, common control
factForm ADV
→ PRIVATE ADVISORYRegistered adviserother investment adviser, common control
factForm ADV
→ CLIFTONLARSONALLEN WEALTH ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, LP sponsor, control
factForm ADV
← ACADEMY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← CLIFTON GUNDERSON WEALTH ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (16)

← HALLADA, ANTONY, REEDOwnerMANAGING PRINCIPAL (CEO), ownership code F, individual
Nov 17, 2011 to presentfactForm ADV
← JACOVINI, DAVID, JAMESOwnerPRESIDENT, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← CLIFTONLARSONALLEN WEALTH ADVISORS, LLCOwnerMEMBER, ownership code D, domestic entity
Nov 17, 2011 to presentfactForm ADV
← GRIES, MICHAEL, DAVIDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 17, 2011 to presentfactForm ADV
← JESENIK, ROBERT, JOSEPHOwnerMANAGER/MEMBER, ownership code C, individual
Oct 27, 2015 to presentfactForm ADV
← MACRITCHIE, ANDREW, NOwnerMANAGER/MEMBER, ownership code F, individual
Oct 27, 2015 to presentfactForm ADV
← OLIVER, BRIAN, ARTHUROwnerMANAGER/MEMBER, ownership code F, individual
Oct 27, 2015 to presentfactForm ADV
← JOHNSON, MATTHEW, BRENTOwnerCHIEF FINANCIAL OFFICER, ownership code F, individual
Mar 28, 2014 to presentfactForm ADV
← BUFFIE, BRIAN, JACOBOwnerCHIEF COMPLIANCE OFFICER, ownership code F, individual
Mar 30, 2016 to presentfactForm ADV
← FROUDE, CRAIG, JAYOwnerMANAGER/MEMBER, ownership code F, individual
Oct 27, 2015 to presentfactForm ADV
← AAM FUND INVESTMENTS, LLCOwnerMEMBER, ownership code D, domestic entity
Oct 27, 2015 to presentfactForm ADV
← AEQUITAS ASSET MANAGEMENT OREGON, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV
← AEQUITAS HOLDINGS, LLCOwnerSOLE MEMBER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV
← AEQUITAS MANAGEMENT, LLCOwnerMANAGER/MEMBER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV
← CLIFTONLARSONALLEN LLPOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 22, 2013 to presentfactForm ADV
← INNOVATOR HOLDINGS, LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Oct 27, 2015 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9b316992-03a6-c19b-3a81-3d92084c8041
First observed: Nov 17, 2011
Last observed: Mar 31, 2017 115 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

INNOVATOR MANAGEMENT LLC

CRD 159233

PHILADELPHIA, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9b316992-03a6-c19b-3a81-3d92084c8041

Data as of Mar 31, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:34 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AAM FUND INVESTMENTS, LLC

Member

yes

08/2015

Oct 27, 2015

Mar 31, 2017

AEQUITAS ASSET MANAGEMENT OREGON, LLC

SOLE MEMBER

yes

04/2015

Oct 27, 2015

Mar 31, 2017

AEQUITAS HOLDINGS, LLC

SOLE MEMBER

yes

04/2015

Oct 27, 2015

Mar 31, 2017

AEQUITAS MANAGEMENT, LLC

MANAGER/MEMBER

yes

02/2007

Oct 27, 2015

Mar 31, 2017

BUFFIE, BRIAN, JACOB

CHIEF COMPLIANCE OFFICER

yes

01/2016

Mar 30, 2016

Mar 31, 2017

CLIFTONLARSONALLEN LLP

SOLE MEMBER

yes

09/2014

Mar 22, 2013

Mar 31, 2017

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

Member

yes

01/2016

Nov 17, 2011

Mar 31, 2017

FROUDE, CRAIG, JAY

MANAGER/MEMBER

yes

06/2012

Oct 27, 2015

Mar 31, 2017

GRIES, MICHAEL, DAVID

CHIEF COMPLIANCE OFFICER

yes

11/2011

Nov 17, 2011

Mar 31, 2017

HALLADA, ANTONY, REED

MANAGING PRINCIPAL (CEO)

yes

11/2001

Nov 17, 2011

Mar 31, 2017

INNOVATOR HOLDINGS, LLC

MANAGING MEMBER

yes

08/2015

Oct 27, 2015

Mar 31, 2017

JACOVINI, DAVID, JAMES

President

yes

11/2011

Nov 17, 2011

Mar 31, 2017

JESENIK, ROBERT, JOSEPH

MANAGER/MEMBER

yes

02/2007

Oct 27, 2015

Mar 31, 2017

JOHNSON, MATTHEW, BRENT

CHIEF FINANCIAL OFFICER

yes

03/2013

Mar 28, 2014

Mar 31, 2017

MACRITCHIE, ANDREW, N

MANAGER/MEMBER

yes

02/2007

Oct 27, 2015

Mar 31, 2017

OLIVER, BRIAN, ARTHUR

MANAGER/MEMBER

yes

02/2007

Oct 27, 2015

Mar 31, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CLIFTONLARSONALLEN WEALTH ADVISORS, LLC

n/a

Bd affiliated wealth

$14B

n/a

PRIVATE ADVISORY GROUP LLC

n/a

Independent wealth

$2.1B

yes

n/a

AEQUITAS INVESTMENT MANAGEMENT, LLC

n/a

Former SEC adviser

$300M

yes

n/a

STRATEGIC CAPITAL ALTERNATIVES, LLC

n/a

Former SEC adviser

$208M

yes

n/a

AEQUITAS CAPITAL MANAGEMENT, INC.

n/a

yes

n/a

AEQUITAS CAPITAL OPPORTUNITIES GP, LLC

n/a

yes

n/a

CLA TRUST COMPANY LLC

n/a

yes

n/a

CLIFTONLARSONALLEN LLP

n/a

CLIFTONLARSONALLEN MUNICIPAL ADVISORS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 31, 2017

$67.7M

n/a

2015

Mar 30, 2016

$91.7M

n/a

2014

Mar 31, 2015

$89.6M

n/a

2013

Mar 28, 2014

$109M

n/a

2012

Mar 22, 2013

$76.6M

n/a

2011

Mar 20, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$67.7M

$91.7M

-26.2%

$109M

-14.7%

n/a