{"url":"https://nivawealth.com/firms/innovator-capital-management-287718","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/287718","regulatoryAum":30237128227,"crd":"287718","secFileNumber":"801-110111","legalName":"Innovator Capital Management, LLC","displayName":"Innovator Capital Management","website":null,"linkedinUrl":"https://www.linkedin.com/company/innovatoretfs/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"200 W Front ST","city":"Wheaton","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60187"},"tradeNames":[],"registration":{"secApproved":"9 March 2017","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":73,"advisory":6,"brokerDealerReps":54,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":30237128227,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":30237128227}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Innovator Capital Management does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Marc Nachmann","title":"Chief Executive Officer","crd":"2529086"},{"name":"Graham Day","title":"Vice President","crd":"5532164"},{"name":"Bryon Lake","title":"President","crd":"4528902"},{"name":"Kathleen Meyer","title":"Vice President","crd":"2462873"},{"name":"Trevor Terrell","title":"Vice President","crd":"5810969"},{"name":"Elizabeth Overbay","title":"Chief Financial Officer","crd":"4242794"},{"name":"Cari Zalesiak","title":"Chief Compliance Officer","crd":"5790018"},{"name":"David Plutzer","title":"Chief Legal Officer","crd":"7026685"}],"ownership":[{"label":"Gsam Holdings LLC","detail":"Member in the 75% or more ownership band and a control person, since April 2026."},{"label":"Goldman Sachs Group, Inc.","detail":"Indirect owner: a member of Gsam Holdings LLC in the 75% or more band and a control person, since April 2026.","parent":"Gsam Holdings LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"200 W Front ST","city":"Wheaton","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-208-5212","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"18 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/287718/PDF/287718.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Innovator Capital Management have?","answer":"Innovator Capital Management has 1 clients and manages $30.2 billion for them, as of June 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Innovator Capital Management offer?","answer":"Innovator Capital Management provides portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Innovator Capital Management have?","answer":"Innovator Capital Management has 0 investment adviser representatives registered with state securities authorities, out of 73 employees, and 6 perform investment advisory functions. 54 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Innovator Capital Management?","answer":"Innovator Capital Management is owned through a holding company by Goldman Sachs Group, Inc. Its direct owner is Gsam Holdings LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 18 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Innovator Capital Management get paid?","answer":"Innovator Capital Management is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":{"url":"https://nivawealth.com/firms/innovator-capital-management-287718/holdings","form":"13F-HR","periodOfReport":"2026-06-30","filedOn":"2026-08-14","filingIndexUrl":"https://www.sec.gov/Archives/edgar/data/1708237/000121390026089427/0001213900-26-089427-index.html","totalValue":2949608925,"positionCount":8,"top10Share":1,"top10":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":2947007617,"shares":4290863,"shareType":"SH","priorValue":921591207,"priorShares":1542283},{"issuer":"NVIDIA CORPORATION","titleOfClass":"COM","cusip":"67066G104","value":624881,"shares":3123,"shareType":"SH","priorValue":708936,"priorShares":4065},{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":553256,"shares":1912,"shareType":"SH","priorValue":631683,"priorShares":2489},{"issuer":"MICROSOFT CORP","titleOfClass":"COM","cusip":"594918104","value":365560,"shares":980,"shareType":"SH","priorValue":468265,"priorShares":1265},{"issuer":"AMAZON COM INC","titleOfClass":"COM","cusip":"023135106","value":305790,"shares":1283,"shareType":"SH","priorValue":355725,"priorShares":1708},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL A","cusip":"02079K305","value":278034,"shares":778,"shareType":"SH","priorValue":287272,"priorShares":999},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL C","cusip":"02079K107","value":239204,"shares":677,"shareType":"SH","priorValue":254732,"priorShares":888},{"issuer":"BROADCOM INC","titleOfClass":"COM","cusip":"11135F101","value":234583,"shares":621,"shareType":"SH","priorValue":248846,"priorShares":804}],"positionsListed":8,"positions":[{"issuer":"VANGUARD INDEX FDS","titleOfClass":"S&P 500 ETF SHS","cusip":"922908363","value":2947007617,"shares":4290863,"shareType":"SH","priorValue":921591207,"priorShares":1542283},{"issuer":"NVIDIA CORPORATION","titleOfClass":"COM","cusip":"67066G104","value":624881,"shares":3123,"shareType":"SH","priorValue":708936,"priorShares":4065},{"issuer":"APPLE INC","titleOfClass":"COM","cusip":"037833100","value":553256,"shares":1912,"shareType":"SH","priorValue":631683,"priorShares":2489},{"issuer":"MICROSOFT CORP","titleOfClass":"COM","cusip":"594918104","value":365560,"shares":980,"shareType":"SH","priorValue":468265,"priorShares":1265},{"issuer":"AMAZON COM INC","titleOfClass":"COM","cusip":"023135106","value":305790,"shares":1283,"shareType":"SH","priorValue":355725,"priorShares":1708},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL A","cusip":"02079K305","value":278034,"shares":778,"shareType":"SH","priorValue":287272,"priorShares":999},{"issuer":"ALPHABET INC","titleOfClass":"CAP STK CL C","cusip":"02079K107","value":239204,"shares":677,"shareType":"SH","priorValue":254732,"priorShares":888},{"issuer":"BROADCOM INC","titleOfClass":"COM","cusip":"11135F101","value":234583,"shares":621,"shareType":"SH","priorValue":248846,"priorShares":804}]},"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}