Capital Innovations, LLC (Pewaukee)

Name: Capital Innovations, LLC
Address: 325 Forest Grove Drive, Suite 100, Pewaukee, WI, 53072
Telephone: 262-746-3100

Capital Innovations, LLC is a large advisory firm based in Pewaukee. It manages $103.07 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of Wisconsin.

Capital Innovations provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital Innovations: assets under management

The assets under management (AUM) of Capital Innovations, LLC is $103.07 million. The firm's AUM has grown by 103066380% since the beginning of its operation, and $55 million of the total AUM is attributable to clients outside of the United States.

The firm manages $48.07 million in discretionary accounts and $55 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.37 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $27.5 million.

Investments

The firm invests in exchange traded securities the most. They account for 98% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 2% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Innovations, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Capital Innovations serves?

The firm provides services to investment companies, charitable organizations, other investment advisers, pooled investment vehicles, corporations or other businesses, and pension and profit sharing plans. The largest group of clients of Capital Innovations is corporations or other businesses with 3 clients and $55.21 million of assets under management. Among the 8 most similar advisory firms, Capital Innovations has the 2nd highest percentage of corporations or other businesses out of all clients.

The amount of regulatory assets under management is $103.07 million for 12 clients. 10% of the firm’s clients are foreign persons or businesses.

Capital Innovations doesn't advise any private funds.

Careers at Capital Innovations, LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Llc Capital Innovations Holdings joined the executive team most recently as the Member.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Michael David Underhill	Chief executive officer	1 May 2007	25% - 50%	2334382
Susan Laura Dambekaln	Managing partner, cco	1 Aug 2007	50% - 75%	2412607
Llc Capital Innovations Holdings	Member	1 Mar 2008	Other	262443561
Brian Edward Fischer	Managing director	1 Mar 2008	Other	2853979

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Michael David Underhill	Managing member	1 Mar 2008	75% - 100%	2334382
Susan Laura Dambekaln	Shareholder	1 Mar 2008	25% - 50%	2412607

Based in Pewaukee

The principal office where Capital Innovations, LLC performs its advisory services is located at 325 Forest Grove Drive, Suite 100, Pewaukee, WI 53072, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 262-746-3100 or by fax 262-746-3101. The normal business hours are 8:00-3:00 on Monday - Friday. You can find more information about the New York firm at capinnovations.com.