Financial Innovations, Llc
- Regulatory AUM
- $535M
- Discretionary
- $0
- Clients
- 353
- Avg AUM / client
- $1.5M
- Accounts
- 1,071
- Employees
- 2
AUM over time
Annual snapshots from Form ADV filings · as of Mar 20, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 100 | $38.4M | 7.18% |
| High net worth individuals | 234 | $467M | 87.2% |
| Pension and profit sharing plans | 13 | $22.0M | 4.11% |
| Corporations and other businesses | Fewer than 5 clients | $4.4M | 0.83% |
| Other | 6 | $3.4M | 0.63% |
People (2)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Laura Kim Schilling | Manager | CFP Personal Financial Specialist | Feb 2005 (22y) | 75% or more |
| Charles Howard Goldberg | Registered representative | Apr 2012 (14y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/20/2026 | 980 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $535M (100% of AUM) Mar 2026
- Triad Advisors Llc $257M (100% of AUM) Aug 2020
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 20, 2026.
View current Form ADV (SEC/IAPD) ↗