INNOVATIVE CAPITAL ADVISORS, LLC
Adviser information for INNOVATIVE CAPITAL ADVISORS, LLC last updated from Form ADV on January 26th, 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 | Illinois, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 26 | $654.9M |
| Non-Discretionary | 0 | $0 |
| Total | 26 | $654.9M |
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 | 26 | $654.9M |
| 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 | PORFOLIO MANAGEMENT OF TRUSTS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-76745 |
|---|---|
| SEC ERA File Number | 801-76745 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161281 |
| Legal Entity Identifier | None |
Principal Office
200 W. ADAMSSUITE 2950
CHICAGO
IL
United States
Monday - Friday, 9AM TO 5PM
Tel: 312-263-6408, Fax: 877-783-4432
Websites
Chief Compliance Officer
PETER MAVROGENES
CHIEF EXECUTIVE OFFICER
200 W. ADAMS
SUITE 2950
CHICAGO
IL
United States
Tel:
312-263-6410
Fax:
312-873-4152
P*****@********M
(Full email address available in API data)
Regulatory Contact
LISA FABER
200 W. ADAMS
SUITE 2950
CHICAGO
IL
United States
Tel:
630-204-0671
Fax:
312-873-4152
L****@********M
(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 |
|---|---|---|---|---|---|
| MAVROGENES, PETER, SPYRIDON | Individual | – | MEMBER AND CHIEF COMPLIANCE OFFICER | 03/2012 | 25-50% |
| OGDON, DAVID, EMERSON | Individual | – | MEMBER | 08/2002 | 25-50% |