SourcingSourcing

INNOVATIVE FINANCIAL, LLC

B55
CRD 127469·SEC 801-135286·LAKEWOOD, CO
AUM
$105.3M
$100M-$500M
Est. Revenue
$1.1M
@ 1% on AUM
Est. EBITDA
$316K
@ 30% margin
Est. Deal Value
$2.5M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
INNOVATIVE FINANCIAL, LLC
CRD
127469
SEC file #
801-135286
EIN
—
DBA names
—

Economics

AUM
$105.3M
AUM band
$100M-$500M
AUM trajectory
—
Client mix
Individuals High Net Worth61
Individuals Other54

Operations

Employees (total)
3
Advisory staff (per ADV)
1
Advisory staff (5-yr trend)
—
Primary office
LAKEWOOD CO
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsOther Advisory Services
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
02/04/2026
ADV-W filed at
—
Website
facebook.com/innovativefinancialllc(social)

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMOLEN, DEDE, M
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
1
Control Persons
SMOLEN, DEDE, M
Solo Advisor Indicator
Yes
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
social_url_excluded:facebook.com

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
Yes
Form 5500 Plan Count
1
Form 5500 Total Participants
3
Form 5500 Compensation Trajectory 3y
20240
Form 5500 Plan Count Trajectory 3y
20241
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (9)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
1
Bc Firm IAR Count
1
Custodian Candidates
Full
Fidelity4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Top Owner CRD
4436189
Trust Company Affiliate
No

People (1)

1
SMOLEN, DEDE, M
IAR · Direct Owner · 87.5%
4436189