LUCAS GROUP FINANCIAL PLANNERS, INC.
Adviser information for LUCAS GROUP FINANCIAL PLANNERS, INC. last updated from Form ADV on January 23rd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,046 | $302.7M |
| Non-Discretionary | 38 | $25.0M |
| Total | 1,084 | $327.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 381 | $180.3M |
| HNW Individuals | 43 | $120.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 38 | $25.0M |
| Charitable organizations | <5 | $1.9M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 251-500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesPORTION OF FEES MANAGED BY THIRD-PARTY MONEY MANAGERS |
Identifiers
| SEC RIA File Number | 801-112737 |
|---|---|
| SEC ERA File Number | 801-112737 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 130163 |
| Legal Entity Identifier | None |
Principal Office
1545 RIVER PARK DRIVE,SUITE 401
SACRAMENTO
CA
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 916-921-9220, Fax: 916-921-2625
Websites
Chief Compliance Officer
MATT PAGE
PARTNER
1545 RIVER PARK DRIVE
SUITE 401
SACRAMENTO
CA
United States
Tel:
916-921-9220
Fax:
916-921-2625
M***@****************M
(Full email address available in API data)
Regulatory Contact
GREGORY LUCAS
PRESIDENT
1545 RIVER PARK DRIVE
SUITE 401
SACRAMENTO
CA
United States
Tel:
916-921-9220
Fax:
916-921-2625
G***@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUCAS, GREGORY, ALAN | Individual | – | PRESIDENT & CEO | 01/2004 | > 75% |
| PAGE, MATTHEW, MAGUIRE | Individual | – | SHAREHOLDER | 04/2016 | 10-25% |
| PAGE, MATTHEW, MAGUIRE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2018 | 10-25% |