ARGI INNOVATIONS
ARGI INNOVATIONS, LLC Legal Name
Adviser information for ARGI INNOVATIONS last updated from Form ADV on January 20th, 2023. 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 | Kentucky, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| 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 | 0 | $0 |
| 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 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers)THIRD PARTY ASSET MANAGEMENT PROGRAM |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-125922 |
|---|---|
| SEC ERA File Number | 801-125922 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 320874 |
| Legal Entity Identifier | None |
Principal Office
2201 HIGH WICKHAM PLACELOUISVILLE
KY
United States
Monday - Friday, 8:30 AM TO 5:30 PM
Tel: 502-753-0609, Fax: 502-426-0247
Chief Compliance Officer
JAMES HADAWAY
255 EAST FIFTH STREET
SUITE 1900
CINCINNATI
OH
United States
Tel:
513-832-5477
J************@*****************************M
(Full email address available in API data)
Regulatory Contact
JAN PEEBLES
1048 ASHLEY STREET
SUITE 301
BOWLING GREEN
KY
United States
Tel:
502-753-0609
Fax:
502-426-0247
J*********@*******T
(Full email address available in API data)
Industry Affiliates
| ADVISOR INSURANCE SOLUTIONS, LLC | Insurance company or agency |
| ARGI ALTERNATIVE INVESTMENT MANAGEMENT COMPANY, LLC | Sponsor, GP, manager of pooled investment vehicles |
| ARGI CPA'S AND ADVISERS, PLLC | Accountant or accounting firm |
| ARGI INVESTMENT SERVICES, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARGI FINANCIAL GROUP, LLC | Domestic Entity | – | OWNER | 01/2022 | > 75% |
| HADAWAY, JAMES, RUSSELL | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| MCGREW, MATTHEW, LEE | Individual | – | DIRECTOR OF ADVISORY PLATFORMS | 01/2022 | < 5% |
| ARGI HOLDINGS INC. | Domestic Entity | ARGI FINANCIAL GROUP, LLC | MANAGING MEMBER | 01/2015 | > 75% |
| ARGI OWNERSHIP INC. EMPLOYEE STOCK OWNERSHIP PLAN | Domestic Entity | ARGI HOLDINGS INC. | SHAREHOLDER | 08/2017 | 25-50% |
| REEVES, PATRICK, JOSEPH | Individual | ARGI HOLDINGS INC. | CEO | 01/2015 | 25-50% |
| REEVES, PATRICK, JOSEPH | Individual | – | CEO | 01/2015 | < 5% |