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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
I•••••••• C•••••• M••••••••• L••
Latest filing Jun 18, 2026
First filing on the tape Mar 1, 2017 · 24 filings
SEC status approved since Mar 9, 2017
RAUM
$30B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
73
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$30B as of Jun 18, 2026
Mar 21, 2018$424M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 21, 20182 then
Employees (5.A)73 as of Jun 18, 2026
Mar 21, 201811 then
Private funds: no history
RAUM +36% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $30BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$30B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=54.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• H•••••• B•••• · Manager And Chief Executive Officercontrolsince 02/2017 · owns 50% to 75%
- S•••••••• J•••• W••••• · Presidentcontrolsince 02/2017 · owns 25% to 50%
- B••••• J••••••• D• · Membersince 02/2017 · owns 10% to 25%
- D••• G•••••• A•••••••• · Evp, Chief Investment Officersince 09/2022 · owns less than 5%
- M••••• K•••••••• I•••• · Chief Financial Officersince 09/2022 · owns less than 5%
- Z•••••••• C••• · Chief Compliance Officersince 05/2022 · owns less than 5%
Related persons
Schedule D 7.A
- T• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 42 to 54Apr 21, 2025 to Mar 30, 2026
- Employees · 55 to 73Apr 21, 2025 to Mar 30, 2026
- Discretionary RAUM · $22B to $30BApr 21, 2025 to Mar 30, 2026
- RAUM · $22B to $30BApr 21, 2025 to Mar 30, 2026
- BD registered reps · 33 to 42Dec 16, 2024 to Apr 21, 2025
- Employees · 48 to 55Dec 16, 2024 to Apr 21, 2025
- Financial planning clients · unset to Dec 16, 2024 to Apr 21, 2025
- Discretionary RAUM · $17B to $22BDec 16, 2024 to Apr 21, 2025
- RAUM · $17B to $22BDec 16, 2024 to Apr 21, 2025
- Advisory employees · 5 to 6Dec 8, 2023 to Mar 27, 2024
- BD registered reps · 30 to 33Dec 8, 2023 to Mar 27, 2024
- Employees · 42 to 48Dec 8, 2023 to Mar 27, 2024
- Discretionary RAUM · $11B to $17BDec 8, 2023 to Mar 27, 2024
- RAUM · $11B to $17BDec 8, 2023 to Mar 27, 2024
- Related adviser · true to falseDec 8, 2023 to Mar 27, 2024
- BD registered reps · 22 to 30Nov 4, 2022 to Mar 28, 2023
- Employees · 30 to 42Nov 4, 2022 to Mar 28, 2023
- Discretionary RAUM · $6.0B to $11BNov 4, 2022 to Mar 28, 2023
- RAUM · $6.0B to $11BNov 4, 2022 to Mar 28, 2023
- Accounts · 2 to 1Mar 29, 2021 to Mar 25, 2022
- Advisory employees · 4 to 5Mar 29, 2021 to Mar 25, 2022
- BD registered reps · 26 to 22Mar 29, 2021 to Mar 25, 2022
- Discretionary RAUM · $4.1B to $6.0BMar 29, 2021 to Mar 25, 2022
- RAUM · $4.1B to $6.0BMar 29, 2021 to Mar 25, 2022
- BD registered reps · 13 to 26Mar 30, 2020 to Mar 29, 2021
- Employees · 18 to 30Mar 30, 2020 to Mar 29, 2021
- Discretionary RAUM · $2.3B to $4.1BMar 30, 2020 to Mar 29, 2021
- RAUM · $2.3B to $4.1BMar 30, 2020 to Mar 29, 2021
- BD registered reps · 11 to 13Jan 3, 2020 to Mar 30, 2020
- Employees · 13 to 18Jan 3, 2020 to Mar 30, 2020
- State-registered IARs · 2 to 0Jan 3, 2020 to Mar 30, 2020
- Discretionary RAUM · $718M to $2.3BJan 3, 2020 to Mar 30, 2020
- RAUM · $718M to $2.3BJan 3, 2020 to Mar 30, 2020
- BD registered reps · 9 to 11Dec 11, 2018 to Mar 29, 2019
- Employees · 11 to 13Dec 11, 2018 to Mar 29, 2019
- HQ city · unset to WHEATONDec 11, 2018 to Mar 29, 2019
- HQ state · unset to ILDec 11, 2018 to Mar 29, 2019
- Discretionary RAUM · $424M to $718MDec 11, 2018 to Mar 29, 2019
- RAUM · $424M to $718MDec 11, 2018 to Mar 29, 2019
- Accounts · 0 to 2Mar 1, 2017 to Mar 21, 2018
Signals
10 dated events
- I•••••••• C•••••• M••••••••• L•• reported RAUM $30.2B, up 36% from $22.3B (2025-04-21 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• reported RAUM $22.3B, up 28% from $17.4B (2024-12-16 to 2025-04-21)Apr 21, 2025 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• reported RAUM $17.4B, up 58% from $11.1B (2023-12-08 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• reported RAUM $11.1B, up 85% from $6.0B (2022-11-04 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• reported RAUM $6.0B, up 47% from $4.1B (2021-03-29 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• reported RAUM $4.1B, up 79% from $2.3B (2020-03-30 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• reported RAUM $2.3B, up 215% from $717.7M (2020-01-03 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- J Michael Wiederholt (Chief Compliance Officer) no longer on Schedule A of I•••••••• C•••••• M••••••••• L•• (listed 2019-10-18, absent 2019-11-25)Nov 25, 2019 · Control person left · inference
- I•••••••• C•••••• M••••••••• L•• reported RAUM $717.7M, up 69% from $424.0M (2018-12-11 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- I•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 1, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/innovatoretfsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- innovatoretfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-208-5212reportedpublic record, Form ADV, Jun 18, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026