INNOVATOR CAPITAL MANAGEMENT, LLC of WHEATON, IL is an SEC-registered investment adviser (CRD 287718). Regulatory assets under management: $30.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
| Name | Role | Location |
|---|---|---|
| Jeffrey D Brown | MANAGING MEMBER | Mill Valley, CA |
| David Seth Plutzer | CHIEF LEGAL OFFICER | — |
| Marc Otto Nachmann | CHIEF EXECUTIVE OFFICER | — |
| Elizabeth A Overbay | CHIEF FINANCIAL OFFICER | — |
| John Wilder Southard | MANAGING MEMBER; PRESIDENT AND MANAGING MEMBER | — |
| Harold Bruce Bond | CHIEF EXECUTIVE OFFICER AND MANAGING MEMBER | — |
| Cari Zalesiak | CHIEF COMPLIANCE OFFICER | — |
| Graham Alexander Day | CHIEF INVESTMENT OFFICER; VICE PRESIDENT | — |
| Kathleen Irene Meyer | CHIEF FINANCIAL OFFICER; VICE PRESIDENT | — |
| Jeffrey David Brown | MANAGER; TRUSTEE | — |
| Rebecca Joy Brown | MANAGER; TRUSTEE | — |
| SOUTHARD JOHN WILDER | MANAGER, CHIEF INVESTMENT OFFICER; MANAGER, CHIEF INVESTMENT OFFICER AND CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| GUSTAFSON KEVIN RICHARD | CHIEF COMPLIANCE OFFICER | — |
| BOND HAROLD BRUCE | MANAGER AND CHIEF EXECUTIVE OFFICER | — |
| BROWN MARTY D | MEMBER | — |
| WIEDERHOLT MICHAEL J | CHIEF COMPLIANCE OFFICER | — |
| ZALESIAK CARI | CHIEF COMPLIANCE OFFICER | — |
| DAY GRAHAM ALEXANDER | EVP, CHIEF INVESTMENT OFFICER; SVP, CHIEF INVESTMENT OFFICER | — |
| MEYER KATHLEEN IRENE | CHIEF FINANCIAL OFFICER | — |
| Bryon Edward Lake | PRESIDENT | — |
| Trevor Wayne Terrell | VICE PRESIDENT | — |
Showing 10 of 16 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-05-09 | regulatory | EFFECTIVE AS OF MAY 4, 2026, SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") ISSUED A FINE, EQUIVALENT TO APPROXIMATELY US$162,600.00, AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") BASED ON A FINDING THAT, DURING THE PERIOD BETWEEN MARCH 20, 2024 AND APRIL 9, 2025, GS GROUP FAILED TO TIMELY REPORT CHA… | Final | $163K |
| 2024-09-25 | regulatory | ON SEPTEMBER 25, 2024, THE GOLDMAN SACHS GROUPS, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED THAT GS GROUP AND CERTAIN OF ITS AFFILIATES FAILED TO TIMELY FILE RE… | Final | $300K |
| 2021-02-24 | regulatory | ON FEBRUARY 24, 2021, FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY CONCLUDED THAT GOLDMAN SACHS GROUP, INC., GOLDMAN SACHS INTERNATIONAL, AND GOLDMAN SACHS & CO. LLC VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU)… | Final | $42K |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE", AND THE ORDER, THE "FEDERAL RESERVE ORDER"), WHICH ALLEGED GS G… | Final | $154.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO A CONSENT ORDER FOR A CIVIL MONEY PENALTY WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS", AND THE CONSENT ORDER, THE "DFS ORDER"), WHICH ALLEGED VIOLATIONS OF THE NEW YORK BANKING LAW ("BANKING LAW") AR… | Final | $150.0M |
| 2020-10-22 | criminal | AS DESCRIBED IN THE INFORMATION, FROM 2009 TO 2014, GS GROUP AND ITS AFFILIATES, THROUGH CERTAIN OF ITS EMPLOYEES AND AGENTS, KNOWINGLY AND WILLFULLY CONSPIRED AND AGREED WITH OTHERS TO CORRUPTLY PROVIDE PAYMENTS AND THINGS OF VALUE IN EXCHANGE FOR OBTAINING AND RETAINING BUSINESS. PURSUANT TO THE D… | Pending | — |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED GS GROUP FAILED TO REASONABLY MAINTAIN A SUFFICIENT SYSTEM OF INTERNAL… | Final | $400.0M |
| 2019-09-20 | regulatory | ON SEPTEMBER 20, 2019 THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY (FINANSINSPEKTIONEN - "SFSA") IMPOSED AN ADMINISTRATIVE FINE ON THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") IN THE AMOUNT OF 70,000 SWEDISH KRONA (SEK) (APPROXIMATELY USD 7,200). SFSA ALLEGES A VIOLATION BY GS GROUP OF CHAPTER 6, SECTI… | Final | $7K |
| 2018-05-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS") HAS ALLEGED THAT: (A) CERTAIN FOREIGN EXCHANGE ("FX") TRADERS AT CERTAIN AFFILIATES OF THE GOLDMAN SACHS GROUP, INC. AND GOLDMAN SACHS BANK USA (TOGETHER, "GOLDMAN SACHS") ENGAGED IN IMPROPER CONDUCT OVER THE PERIOD 2008 THROUGH EARLY 2… | Final | $54.8M |
| 2018-05-01 | regulatory | THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE") HAS ALLEGED THAT: WHEREAS THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") SERVES AS A FOREIGN EXCHANGE ("FX") DEALER THROUGH CERTAIN OF ITS INDIRECT SUBSIDIARIES ("FX SUBSIDIARIES"), BY BUYING AND SELLING U.S. DOLLARS AND FOREIG… | Final | $54.8M |