II
Investment Initiatives, Llc
State-registered
Wealth Manager · Boutique (under $100M)
CRD 170334
·
☆ Save with Pro
ADV data as of Mar 25, 2026
- Regulatory AUM
- $26.0M
- Discretionary
- $16.6M
- Clients
- 24
- Avg AUM / client
- $1.1M
- Accounts
- 72
- Employees
- 1
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 16 | $2.6M | 9.95% |
| High net worth individuals | 8 | $10.6M | 40.8% |
| Banking or thrift institutions | Fewer than 5 clients | $5.0M | 19.3% |
| Pension and profit sharing plans | Fewer than 5 clients | $4.3M | 16.7% |
| Charitable organizations | Fewer than 5 clients | $3.4M | 13.3% |
People (1)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Dennis John Brown | Registered representative | Mar 2014 (12y) |
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) | 03/25/2026 | 985 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
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Pension consulting services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 25, 2026.
View current Form ADV (SEC/IAPD) ↗