DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

SEC-registered adviser

Innovation Partners LLC

Independent wealth managerCharlotte, North CarolinaCRD 146344SEC 801-78702websiteIAPD
Legal name Innovation Partners LLC.
Latest filing Mar 24, 2026
First filing on the tape Oct 10, 2013 · 111 filings
SEC status approved since Oct 24, 2013
RAUM
$21.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$21.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$10.8M
derived; firm RAUM over IAPD count
Employees
305
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
111 filings and snapshots on the tape
RAUM$21.7M as of Mar 24, 2026
Mar 11, 2014$16.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 11, 201420 then
Employees (5.A)305 as of Mar 24, 2026
Mar 11, 201461 then
Private funds: no history
RAUM n/a over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$10.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$602,265derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
152.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$21.7M100%
Individual clients
26reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
36reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Robert Stephen BancroftWestport, Ma Nov 27, 201951 y0
David Wayne KarinCharlotte, Nc May 16, 202532 y3
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gregory Earl Smith · Ccocontrol
    since 12/2018 · owns less than 5%
  • Robert Campbell · Finop
    since 09/2020 · owns less than 5%
  • Lei Jiao · Finop
    since 03/2022 · owns less than 5%
  • Lauren Arnett Uyesugi · Compliance Principal
    since 09/2015 · owns less than 5%
Entity owners
  • Anagenisis Investment Holdings LLC · Stock Holder
    direct · owns less than 5%
  • E Stricker Holdings LLC · Stockholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Charlotte, Nc · principal200
Las Vegas, Nv001
Raliegh, Nc000
Offices
Schedule D 1.F, the 25 largest
  • Daytona Beach, FL1 employees
  • Winter Park, FL1 employees
What changed
consecutive filings, newest first
  • Accounts · 0 to 36
    Jul 7, 2025 to Mar 24, 2026
  • Advisory employees · 0 to 1
    Jul 7, 2025 to Mar 24, 2026
  • BD registered reps · 297 to 1
    Jul 7, 2025 to Mar 24, 2026
  • Individual clients · 0 to 26
    Jul 7, 2025 to Mar 24, 2026
  • Employees · 297 to 305
    Jul 7, 2025 to Mar 24, 2026
  • Discretionary RAUM · $0 to $21.7M
    Jul 7, 2025 to Mar 24, 2026
  • Individual RAUM · $0 to $21.7M
    Jul 7, 2025 to Mar 24, 2026
  • RAUM · $0 to $21.7M
    Jul 7, 2025 to Mar 24, 2026
  • Financial planning clients · 0 to 0
    Jun 25, 2025 to Jul 7, 2025
  • BD registered reps · 245 to 297
    Jan 28, 2025 to Mar 28, 2025
  • Employees · 245 to 297
    Jan 28, 2025 to Mar 28, 2025
  • Financial planning clients · 1-10 to 0
    Jan 28, 2025 to Mar 28, 2025
  • Other offices · 2 to 0
    Jan 28, 2025 to Mar 28, 2025
  • Accounts · 14 to 0
    May 15, 2023 to Mar 31, 2024
  • Advisory employees · 2 to 0
    May 15, 2023 to Mar 31, 2024
  • Individual clients · 10 to 0
    May 15, 2023 to Mar 31, 2024
  • Insurance-licensed employees · 36 to 0
    May 15, 2023 to Mar 31, 2024
  • State-registered IARs · 2 to 0
    May 15, 2023 to Mar 31, 2024
  • Discretionary RAUM · $863,951 to $0
    May 15, 2023 to Mar 31, 2024
  • Individual RAUM · $13.7M to $0
    May 15, 2023 to Mar 31, 2024
  • Non-discretionary RAUM · $12.9M to $0
    May 15, 2023 to Mar 31, 2024
  • RAUM · $13.7M to $0
    May 15, 2023 to Mar 31, 2024
  • Accounts · 21 to 14
    Mar 31, 2022 to Mar 27, 2023
  • Advisory employees · 4 to 2
    Mar 31, 2022 to Mar 27, 2023
  • BD registered reps · 210 to 245
    Mar 31, 2022 to Mar 27, 2023
  • Individual clients · 21 to 10
    Mar 31, 2022 to Mar 27, 2023
  • Employees · 210 to 245
    Mar 31, 2022 to Mar 27, 2023
  • Insurance-licensed employees · 30 to 36
    Mar 31, 2022 to Mar 27, 2023
  • State-registered IARs · 4 to 2
    Mar 31, 2022 to Mar 27, 2023
  • Other offices · 5 to 2
    Mar 31, 2022 to Mar 27, 2023
  • Discretionary RAUM · $1.4M to $863,951
    Mar 31, 2022 to Mar 27, 2023
  • Individual RAUM · $2.8M to $13.7M
    Mar 31, 2022 to Mar 27, 2023
  • Non-discretionary RAUM · $1.4M to $12.9M
    Mar 31, 2022 to Mar 27, 2023
  • RAUM · $2.8M to $13.7M
    Mar 31, 2022 to Mar 27, 2023
  • Accounts · 533 to 21
    Sep 20, 2021 to Mar 31, 2022
  • Advisory employees · 53 to 4
    Sep 20, 2021 to Mar 31, 2022
  • BD registered reps · 178 to 210
    Sep 20, 2021 to Mar 31, 2022
  • Individual clients · 533 to 21
    Sep 20, 2021 to Mar 31, 2022
  • Employees · 178 to 210
    Sep 20, 2021 to Mar 31, 2022
  • Insurance-licensed employees · 26 to 30
    Sep 20, 2021 to Mar 31, 2022
Signals
9 dated events
  • Erik Robert Dodds left Innovation Partners Llc for Securities America Advisors, Inc. (registered 2014-06-10)
    Oct 14, 2025 · Advisor changed firm · fact
  • Brian Lon Biederman left Innovation Partners Llc for Cape Investment Advisory, Inc. (registered 2025-08-15)
    Sep 12, 2025 · Advisor changed firm · fact
  • Innovation Partners Llc reported 4 state-registered advisory representatives, down from 53 (2021-09-20 to 2022-03-31)
    Mar 31, 2022 · Advisor headcount change · derived
  • Lei Jiao (Co-President, Chief Financial Principal And Ria Chief Compliance Officer) no longer on Schedule A of Innovation Partners Llc (listed 2020-08-17, absent 2020-09-17)
    Sep 17, 2020 · Control person left · inference
  • Innovation Partners Llc reported RAUM $60.9M, down 63% from $166.9M (2019-11-01 to 2020-01-30)
    Jan 30, 2020 · RAUM change · derived
  • Yanique Elaine Lawrence (Member) no longer on Schedule A of Innovation Partners Llc (listed 2019-08-25, absent 2019-09-05)
    Sep 5, 2019 · Control person left · inference
  • Innovation Partners Llc reported 59 state-registered advisory representatives, up from 46 (2019-01-30 to 2019-02-28)
    Feb 28, 2019 · Advisor headcount change · derived
  • Innovation Partners Llc reported 50 state-registered advisory representatives, up from 33 (2018-03-05 to 2018-03-29)
    Mar 29, 2018 · Advisor headcount change · derived
  • Innovation Partners Llc filed its initial SEC registration (Form ADV)
    Oct 10, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
How to reach
public business contact points only, each with its source
Website
INNOVATIONPARTNERSLLC.COMreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
704-708-5461reportedpublic record, Form ADV, Mar 24, 2026
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$10.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026