Hedge Fund Database

INVICTUS PRIVATE WEALTH, LLC

Adviser information for INVICTUS PRIVATE WEALTH, LLC last updated from Form ADV on March 21st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 4
Investment Advisory/Research 2
Registered Broker-Dealer Representatives 1
Registered State Investment Advisers 2
Licensed Agents of an Insurance Company 2
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 1,583 $1.1B
Non-Discretionary 1 $358,105
Total 1,584 $1.1B

Clients

Type Number RAUM
Individuals 136 $39.8M
HNW Individuals 240 $1.0B
Banking or thrift institutions 0 $0
Investment companies 0 $0
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 8 $13.2M
Charitable organizations 0 $0
State or municipal gov entities 0 $0
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 0 $0
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting services
Compensation % of AUMHourly chargesFixed fees

Identifiers

SEC RIA File Number 801-124987
SEC ERA File Number 801-124987
SEC CIK Numbers 1939208
SEC CRD Numbers 317727
Legal Entity Identifier None

Principal Office

255 CLAYTON STREET
SUITE 300
DENVER
CO
United States
Monday - Friday, 7 AM - 4 PM
Tel: 202-744-9724, Fax: None

Websites

www.invictusprivatewealth.com www.linkedin.com/in/michael-caplan-b11719b/ www.linkedin.com/in/jessica-margetson-cfp%25c2%25ae-0984a813/ www.linkedin.com/in/jodi-burnett-770162a/ www.invictuspw.com www.linkedin.com/in/sydney-levy67/

Chief Compliance Officer

JODI MICHELLE BURNETT
DIRECTOR OF OPERATIONS
255 CLAYTON STREET
SUITE 300
DENVER
CO
United States
Tel: 720-734-2453
(Full email address available in API data)

Regulatory Contact

MICHAEL CAPLAN
FOUNDER
255 CLAYTON STREET
DENVER
CO
United States
Tel: 720-734-2455
(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CAPLAN, MICHAEL, SCOTT Individual – MANAGING MEMBER 05/2022 > 75%
Burnett, Jodi, Michelle Individual – CHIEF COMPLIANCE OFFICER 10/2023 < 5%

No. Employees, Historic

105020222023202420252 on 4/11/20222 on 4/11/20222 on 4/11/20222 on 4/11/20222 on 4/11/20222 on 4/13/20222 on 5/19/20222 on 5/19/20222 on 6/27/20222 on 9/19/20222 on 10/28/20225 on 3/15/20235 on 10/5/20234 on 3/21/2024

RAUM, Historic

2B1B020222023202420250 on 4/11/20220 on 4/11/20220 on 4/11/20220 on 4/11/20220 on 4/11/20220 on 4/13/20220 on 5/19/20220 on 5/19/20220 on 6/27/2022834400000 on 9/19/2022834400000 on 10/28/2022813600368 on 3/15/2023813600368 on 10/5/20231071653981 on 3/21/2024

No. Clients, Historic

400200020222023202420250 on 4/11/20220 on 4/11/20220 on 4/11/20220 on 4/11/20220 on 4/11/20220 on 4/13/20220 on 5/19/20220 on 5/19/20220 on 6/27/2022319 on 9/19/2022319 on 10/28/2022345 on 3/15/2023345 on 10/5/2023384 on 3/21/2024

Holdings

From latest 13F, filed August 2nd, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADVANCED MICRO DEVICES INC COM 4M 27K –
AFLAC INC COM 417K 5K –
ALPHABET INC CAP STK CL A 2M 12K –
ALPHABET INC CAP STK CL C 34M 186K –
AMAZON COM INC COM 20M 102K –
APPLE INC COM 41M 194K –
BHP GROUP LTD SPONSORED ADS 549K 10K –
BLACKSTONE STRATEGIC CRED 20 COM SHS BEN IN 630K 53K –
BROADCOM INC COM 488K 304 –
CADENCE DESIGN SYSTEM INC COM 425K 1K –
CISCO SYS INC COM 308K 6K –
COCA COLA CO COM 918K 14K –
COMCAST CORP NEW CL A 232K 6K –
COSTCO WHSL CORP NEW COM 45M 53K –
DEXCOM INC COM 361K 3K –
DISNEY WALT CO COM 257K 3K –
ELI LILLY & CO COM 367K 405 –
EXXON MOBIL CORP COM 15M 131K –
GOLDMAN SACHS GROUP INC COM 15M 34K –
GUGGENHEIM TAXABLE MUNICP BO COM 415K 26K –
HOME DEPOT INC COM 502K 1K –
INTERNATIONAL BUSINESS MACHS COM 672K 4K –
INVESCO QQQ TR UNIT SER 1 158M 330K –
ISHARES TR JPMORGAN USD EMG 398K 4K –
ISHARES TR U.S. TECH ETF 918K 6K –
ISHARES TR TIPS BD ETF 1M 11K –
ISHARES TR MSCI EMG MKT ETF 1M 32K –
ISHARES TR RUS 1000 GRW ETF 589K 2K –
ISHARES TR PFD AND INCM SEC 2M 79K –
ISHARES TR IBOXX INV CP ETF 9M 86K –
ISHARES TR CORE S&P MCP ETF 1M 22K –
ISHARES TR IBOXX HI YD ETF 3M 37K –
ISHARES TR 20 YR TR BD ETF 701K 8K –
JABIL INC COM 483K 4K –
JPMORGAN CHASE & CO. COM 12M 62K –
MANHATTAN ASSOCIATES INC COM 450K 2K –
MARKEL GROUP INC COM 280K 178 –
MARRIOTT INTL INC NEW CL A 501K 2K –
META PLATFORMS INC CL A 619K 1K –
MICROSOFT CORP COM 40M 90K –
MOODYS CORP COM 349K 828 –
MURPHY USA INC COM 329K 700 –
NETFLIX INC COM 786K 1K –
NVIDIA CORPORATION COM 20M 163K –
ORACLE CORP COM 500K 4K –
PALANTIR TECHNOLOGIES INC CL A 2M 91K –
PALO ALTO NETWORKS INC COM 359K 1K –
PENSKE AUTOMOTIVE GRP INC COM 336K 2K –
POTLATCHDELTIC CORPORATION COM 2M 42K –
PRICE T ROWE GROUP INC COM 213K 2K –
PROCTER AND GAMBLE CO COM 234K 1K –
QUALCOMM INC COM 1M 7K –
ROBLOX CORP CL A 9M 250K –
RTX CORPORATION COM 291K 3K –
SCHWAB CHARLES CORP COM 738K 10K –
SELECT SECTOR SPDR TR INDL 330K 3K –
SELECT SECTOR SPDR TR ENERGY 11M 123K –
SELECT SECTOR SPDR TR FINANCIAL 31M 761K –
SPDR S&P 500 ETF TR TR UNIT 16M 29K –
STANLEY BLACK & DECKER INC COM 214K 3K –
TEMPLETON EMERGING MKTS INCO COM 462K 87K –
TESLA INC COM 356K 2K –
TEXAS ROADHOUSE INC COM 491K 3K –
UIPATH INC CL A 2M 176K –
UNITEDHEALTH GROUP INC COM 265K 521 –
VANGUARD ADMIRAL FDS INC 500 GRTH IDX F 5M 15K –
VANGUARD BD INDEX FDS SHORT TRM BOND 746K 10K –
VANGUARD INDEX FDS SML CP GRW ETF 296K 1K –
VANGUARD INDEX FDS REAL ESTATE ETF 428K 5K –
VANGUARD INDEX FDS EXTEND MKT ETF 338K 2K –
VANGUARD INDEX FDS GROWTH ETF 143M 383K –
VANGUARD INDEX FDS SMALL CP ETF 67M 306K –
VANGUARD INDEX FDS TOTAL STK MKT 209K 782 –
VANGUARD INDEX FDS MID CAP ETF 86M 356K –
VANGUARD INDEX FDS VALUE ETF 81M 507K –
VANGUARD INDEX FDS S&P 500 ETF SHS 172M 344K –
VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 29M 437K –
VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 37M 839K –
VANGUARD WHITEHALL FDS HIGH DIV YLD 621K 5K –
VANGUARD WORLD FD FINANCIALS ETF 617K 6K –
VANGUARD WORLD FD HEALTH CAR ETF 39M 148K –
VEEVA SYS INC CL A COM 201K 1K –
VISA INC COM CL A 206K 785 –
WALMART INC COM 10M 143K –
WESTERN ASSET PREMIER BD FD SHS BEN INT 460K 44K –