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.
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SEC-registered adviser
I•••••• I••••••••• A•••••••• L•••
Latest filing Apr 28, 2026
First filing on the tape May 11, 2023 · 8 filings
SEC status approved since Jun 9, 2023
RAUM
$2.7B
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
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$2.7B as of Apr 28, 2026
Jan 29, 2024$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Jan 29, 20240 then
Employees (5.A)8 as of Apr 28, 2026
Jan 29, 20246 then
Private funds: no history
RAUM +129% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
- $209MderivedRAUM 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
- +129%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $283M, 3 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $283M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
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
- H••••• S•••••• J•••• · Chief Compliance Officercontrolsince 11/2024 · owns less than 5%
- K••••••• J•••••• D•••• · Presidentcontrolsince 02/2023 · owns less than 5%
- L•••••• A•••••• S•••• · Chief Operating Officercontrolsince 02/2023 · owns less than 5%
- R•••••• F••••••• · Majority Owner Of 10313157 C••••• Inc.controlsince 08/2022 · owns 50% to 75% of 1••••••• C•••••• I•••
Entity owners
- H•••••••• I••••••••• L••• · Ownerdirect · owns 75% or more
- 1••••••• C•••••• I••• · 30% Owners Of I•••••• I••••••••• M••••••••• I•••indirect · owns 25% to 50% of I•••••• I••••••••• M••••••••• I•••
- C••••• D• D•••• E• P•••••••• D• Q••••• · 100% Owner Of C•• I••••••••• I•••indirect · owns 75% or more of C•• I••••••••• I•••
- C•• I••••••••• I••• · 33% Owners Of I•••••• I••••••••• M••••••••• I•••indirect · owns 25% to 50% of I•••••• I••••••••• M••••••••• I•••
- I•• S•••• A••••••••• C•••• · Majority Owner Of H•••••••• International, LLCindirect · owns 75% or more of H•••••••• I••••••••• L•••
- I•••••• I••••••••• M••••••••• I••• · Majority Owner Of Iim S•••• Acquisition Corp.indirect · owns 75% or more of H•••••••• I••••••••• L•••
Related persons
Schedule D 7.A
- H•••••••• S••••••••• L••broker-dealern
- I•••••• G••••• I••••••••• M••••••••• •••••••• L••investment adviserbanknRAUM $141B
- I•••••• I••••••••• M••••••••• I•••investment adviseryRAUM $2.6B
Advisers that list I•••••• I••••••••• A•••••••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 28, 2026RAUM (Item 5.F) moved from $1,183,041,209 to $2,712,181,995 (+129.0%) between the annual amendments of 2025-01-29 and 2026-04-28; the peer median change was +11.0% (231 comparable advisers, 93.0th percentile of changes)peers: other advisers, $1B to $5B (231) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 8 to 13May 13, 2025 to Jan 29, 2026
- Advisory employees · 3 to 4May 13, 2025 to Jan 29, 2026
- Assets in custody · $25.5M to $283MMay 13, 2025 to Jan 29, 2026
- Employees · 7 to 8May 13, 2025 to Jan 29, 2026
- Discretionary RAUM · $1.2B to $2.7BMay 13, 2025 to Jan 29, 2026
- RAUM · $1.2B to $2.7BMay 13, 2025 to Jan 29, 2026
- Financial planning clients · unset to Jan 29, 2025 to May 13, 2025
- Accounts · 2 to 8Nov 27, 2024 to Jan 29, 2025
- Advisory activities · 3 to 2Nov 27, 2024 to Jan 29, 2025
- Assets in custody · $76.3M to $25.5MNov 27, 2024 to Jan 29, 2025
- Employees · 6 to 7Nov 27, 2024 to Jan 29, 2025
- Discretionary RAUM · $1.4B to $1.2BNov 27, 2024 to Jan 29, 2025
- RAUM · $1.4B to $1.2BNov 27, 2024 to Jan 29, 2025
- Assets in custody · $75.0M to $76.3MOct 6, 2023 to Jan 29, 2024
- Discretionary RAUM · $873M to $1.4BOct 6, 2023 to Jan 29, 2024
- RAUM · $873M to $1.4BOct 6, 2023 to Jan 29, 2024
- Accounts · 0 to 2May 11, 2023 to Oct 6, 2023
- Assets in custody · unset to 75000000.0May 11, 2023 to Oct 6, 2023
- Custody of client assets · false to trueMay 11, 2023 to Oct 6, 2023
- Discretionary RAUM · $0 to $873MMay 11, 2023 to Oct 6, 2023
- RAUM · $0 to $873MMay 11, 2023 to Oct 6, 2023
Signals
5 dated events
- I•••••• I••••••••• A•••••••• L••• reported RAUM $2.7B, up 129% from $1.2B (2025-05-13 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- Ann Dolores Eliot (Chief Compliance Officer) no longer on Schedule A of I•••••• I••••••••• A•••••••• L••• (listed 2024-01-29, absent 2024-11-27)Nov 27, 2024 · Control person left · inference
- Jason Stuart Heiss (Chief Compliance Officer) appeared on Schedule A of I•••••• I••••••••• A•••••••• L•••Nov 27, 2024 · Control person joined · fact
- I•••••• I••••••••• A•••••••• L••• reported RAUM $1.4B, up 61% from $872.8M (2023-10-06 to 2024-01-29)Jan 29, 2024 · RAUM change · derived
- I•••••• I••••••••• A•••••••• L••• filed its initial SEC registration (Form ADV)May 11, 2023 · 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
- ca.linkedin.com/company/innocap-investment-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- i••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-289-5726reportedpublic record, Form ADV, Apr 28, 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
- Other adviserderiveda 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