Since our founding, we have focused on serving clients who appreciate individualized account management, our philosophy of diversification and a high level of personal service. We have the experience and investment capabilities to meet the needs of a diverse client base.
- Individuals and Families
- Public Funds
- Taft Hartley
- Religious Organizations
- Financial Institutions
We understand the concerns of institutional investors, starting with your need to develop a deep understanding of our investment strategies and their ability to generate future returns.
As a partner, we respect and share your desire for transparency, and have built a client service model capable of meeting your expectations for communication, risk management, and client reporting.
Our team views investing as a marathon not a sprint. We focus on achieving long-term results through active management and enthusiasm to search for opportunity where others may not. We invest with a long-term horizon as creating value takes time.
As active Quantamental™ investors, we believe we can deliver the expertise to help clients pursue benchmark-beating returns through top down/bottom up granular approach.
Judicious Risk Management
Achieving investment performance involves taking judicious risks. Our deep understanding of risk analysis and global risk platform helps tailor client portfolio construction, so our clients make an informed choice on their portfolio risk. Our risk platform informs the investment team so we can measure and manage metrics so we may implement protocols throughout the investment process.
We established Capital Innovations in 2007 so our clients may have access to a nimble boutique asset manager with the benefits of a stable global platform built on our core principles.
- 100% employee owned 51% female owned
- Effective transparent corporate governance
- Low ego long term client centric focus
- Home grown investment team
- Enduring client partnerships
- Analytical idea driven culture
- Experienced professionals
Institutional investors can rely on Capital Innovations to meet all challenges energetically, from defining optimal strategies and evaluating risk to managing costs. You will find our professionals to be fully committed to your interests, creative in identifying opportunities to meet your objectives, and meticulous in their attention to detail.
Years of Experience: 26
Role: Founder, Managing Partner & Portfolio Manager
Prior Experience: State Street Global Advisors; Strong Capital Management; HR Block; Edward Jones Education: B.S. University of Wisconsin
Years of Experience: 27
Role: Founder, CIO & CEO
Prior Experience: AllianceBernstein; INVESCO; Janus Capital; Lehman
Education: B.S. Pennsylvania State University; Pepperdine Graziadio Business School; Stanford Law School
William O'Connor, CFA
Years of Experience: 36
Role: Director of Research
Prior Experience: BMO Asset Management; M&I Asset Management
Education: B.S. Santa Clara University; MBA University of Wisconsin
Our ESG principles are embedded throughout our operations and help us ensure that our business model will be sustainable well into the future.
Ensure the well-being and safety of employees:
Employee Well-Being: Meet or exceed all applicable labor laws and standards in jurisdictions where we operate, which includes respecting human rights, offering competitive wages and implementing nondiscriminatory hiring practices.
Health & Safety: Aim to have zero serious safety incidents within our businesses by working toward implementing consistent health and safety principles across the organization.
Be good stewards in the communities in which we operate:
Community Engagement: Engage with community groups that might be affected by our actions to ensure that their interests, safety and well-being are appropriately integrated into our decision-making.
Philanthropy: Encourage our employees to participate in the communities in which we operate.
Mitigate the impact of our operations on the environment:
Environmental Stewardship: Strive to minimize the environmental impact of our operations and improve our efficient use of resources over time.
Conduct business according to the highest ethical and legal/regulatory standards:
Governance, Ethics, and Fairness: Operate with high ethical standards by conducting business activities in compliance with applicable legal and regulatory requirements, and with our Code of Business Conduct and Ethics.
Transparency: Be accessible to our investors and stakeholders by being responsive to requests for information and timely in our communication.
Sustainable Water, Waste & Agriculture
Capital Innovations was one of early is a signatories of the Principles for Responsible Investment (PRI), formally demonstrating our ongoing commitment to responsible investment and environmental, social and governance (ESG) best practices. Based on our heritage as an owner and operator, we have a long history of embedding ESG considerations into our operations. Michael Underhill is Chairman Emeritus of the UNPRI Infrastructure Workstream. He was elected to the position in 2011.
The PRI is one the world’s leading proponents of responsible investing, with an emphasis on understanding the investment implications of ESG factors and supporting an international network of investor signatories in incorporating these factors into their investment and ownership decisions.
Integrating ESG considerations into our investment process.
In our due-diligence process for all of our potential investments, we use both internal experts and outside consultants as well as different ESG frameworks to identify material ESG factors. This analysis includes everything from ensuring environmental, legal, and regulatory compliance to the identification of opportunities to add value and mitigate risk in our portfolio of companies. Our investment teams are using an ESG due-diligence questionnaire to ensure that all potential risks and opportunities have been considered.
All investments made by a Capital Innovations fund must be approved by the fund’s Investment Committee. Investment teams provide a detailed memorandum to the committee that outlines the merits of the transaction, as well as disclosures relating to risks, including any material ESG issues and potential mitigation strategies.
Once a company is acquired, we create a tailored integration plan to ensure that all material ESG-related matters are prioritized. ESG risks and opportunities are updated regularly and actively managed by the portfolio companies, with guidance from our in-house teams. This allows us to draw upon local expertise and share best practices across the organization.
As a 51% Female owned firm, embedded in our culture is a commitment to advancing diversity and inclusion across our organization. This begins at recruitment, continues in leadership training programs and is woven into our policies and procedures. As a global firm, we know that the best ideas come from having people from different backgrounds, perspectives, experiences and skills across all businesses, levels of seniority and offices.
Training programs set clear expectations for our leaders in terms of their role in helping all team members achieve their potential. The training emphasizes building trust with their teams, becoming aware of unconscious biases and provides guidance on how to add rigor to decision-making especially in recruiting, performance feedback and promotion, with the goal of creating a more diverse and inclusive environment.
Women’s networks in our various regions help our female colleagues connect with each other and provide support for career growth and leadership development.
Nothing on this website should be deemed to be investment advice. The views and forecasts expressed in any materials on this website are as of the date indicated, are subject to change without notice, may not come to pass and do not represent a recommendation or offer of any particular security, strategy, or investment. Capital Innovations, LLC has no obligation to provide revised assessments in the event of changed circumstances. There can be no assurance that the strategies described will achieve their objectives and goals. Capital Innovations® is a registered trademark of Capital Innovations, LLC. All content is subject to our terms and conditions of use policy.
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