Michael D. Underhill

CAPITAL INNOVATIONS

Waukesha, WI 53188

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CRD#: 2334382

Professional summary

Michael David Underhill, who also goes by Michael David Underhill Mr., Mike Underhill, is a registered financial advisor currently at CAPITAL INNOVATIONS, LLC located in Waukesha, Wisconsin.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Michael has worked at 13 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael David Underhill Mr. | Mike Underhill

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Underhill's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 9, 2011 - Present

CAPITAL INNOVATIONS, LLC

Office #1: N19w24400 Riverwood Dr Suite 350, Waukesha, WI 53188

RIA

CRD#: 145329

Waukesha, WI

Past

February 3, 2022 - May 2, 2023

MIT ASSOCIATES, LLC

CRD#: 121171

TIBURON, CA

Past

October 23, 2018 - February 18, 2020

MIT ASSOCIATES, LLC

CRD#: 121171

TIBURON, CA

Past

March 10, 2015 - December 26, 2016

DELTA SECURITIES COMPANY LLC

CRD#: 145511

ORLANDO, FL

Past

April 3, 2008 - February 5, 2013

DELTA SECURITIES COMPANY LLC

CRD#: 145511

PEWAUKEE, WI

Past

December 19, 2006 - January 30, 2007

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

SAN DIEGO, CA

Past

December 1, 2006 - January 30, 2007

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

SAN DIEGO, CA

Past

November 30, 2004 - December 9, 2004

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

June 5, 2001 - December 3, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

October 26, 2000 - May 4, 2001

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

February 4, 1999 - October 31, 2000

FUND MANAGEMENT COMPANY

CRD#: 25585

HOUSTON, TX

Past

November 13, 1998 - December 9, 1998

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

October 15, 1996 - September 22, 1997

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

October 18, 1993 - July 15, 1996

FEDERATED SECURITIES CORP.

CRD#: 5009

PITTSBURGH, PA

Past

April 23, 1993 - June 21, 1993

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 23, 1993 - June 21, 1993

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CAPITAL INNOVATIONS, LLC

CAPITAL INNOVATIONS ASSET MANAGEMENT, LLC | CAPITAL INNOVATIONS, LLC

CRD#: 145329 / SEC#: 801-72322

RIA

Registered Investment Advisory firm - (4/25/2011 Approved)

Wisconsin

Registered Investment Advisory firm - (4/27/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Wisconsin
(2/9/2011)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/7/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 12/26/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/19/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/26/2008

General Securities Principal Examination

Current Firm

CAPITAL INNOVATIONS, LLC

CAPITAL INNOVATIONS ASSET MANAGEMENT, LLC | CAPITAL INNOVATIONS, LLC

CRD#: 145329 / SEC#: 801-72322

RIA

Registered Investment Advisory firm - (4/25/2011 Approved)

Wisconsin

Registered Investment Advisory firm - (4/27/2011 Terminated)

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Contact information

Main Address

N19w24400 Riverwood Dr Suite 350, Waukesha, WI 53188

Mailing Address

Phone number

(262) 746-3100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	9
AUM (Assets Under Management)	$ 372,948,460

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael D. Underhill

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael David Underhill's CRS (Customer Relationship Summary).

Certified licenses

Experience

MIT ASSOCIATES, LLC

MIT ASSOCIATES, LLC

DELTA SECURITIES COMPANY LLC

DELTA SECURITIES COMPANY LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

ALLIANCEBERNSTEIN INVESTMENTS, INC.

INVESCO DISTRIBUTORS, INC.

FUND MANAGEMENT COMPANY

INVESCO DISTRIBUTORS, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

FEDERATED SECURITIES CORP.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

CAPITAL INNOVATIONS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/14/2005

Series 63

Date: 4/7/1993

Series 79TO

Date: 1/2/2023

SIE

Date: 12/26/2016

Series 7

Date: 12/28/2000

Series 6

Date: 3/19/1993

Series 24

Date: 3/26/2008

Current Firm

CAPITAL INNOVATIONS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INNOVATIONS, LLC

TRUST BUT VERIFY

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