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CAPITAL INNOVATIONS, LLC
CRD 145329File 801-72322
APPROVED
Filing as of Mar 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$806.7M
Above cohort median (national)
Discretionary AUM
$405.6M
Non-discretionary $401.0M
Clients
6
9 accounts
Employees
4
Above cohort median in WI
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- CHRO
- Registration date
- Apr 25, 2011
- Principal office
- N19W24400 RIVERWOOD DR, SUITE 350, WAUKESHA, WI, 53188
- Phone
- 262-746-3100
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $806.7M
- Discretionary AUM
- $405.6M
- Non-discretionary AUM
- $401.0M
- Discretionary accounts
- 8
- Non-discretionary accounts
- 1
- Total accounts
- 9
- AUM per client
- $134.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 1 | $798.5M |
| Other investment advisers | 5 | $6.8M |
| High net worth individuals | Fewer than 5 | $1.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | AUM | $372,948,460 | $806,657,637 | increased by$433,709,177 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 7 | 4 | decreased by3 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 39 | 6 | decreased by33 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $200,621,368 | $372,948,460 | increased by$172,327,092 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 39 | 9 | decreased by30 |
| Apr 1, 2022 | Clients | 8 | 39 | increased by31 |
| Apr 1, 2022 | AUM | $173,323,777 | $200,621,368 | increased by$27,297,591 |
| Apr 1, 2022 | Accounts | 11 | 39 | increased by28 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “CAPITAL INNOVATIONS” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“CAPITAL INNOVATIONS” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.