LUMENT INVESTMENT MANAGEMENT, LLC
Adviser information for LUMENT INVESTMENT MANAGEMENT, LLC last updated from Form ADV on October 6th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 445 |
|---|---|
| Investment Advisory/Research | 53 |
| Registered Broker-Dealer Representatives | 50 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $2.7B |
| Non-Discretionary | 1 | $9.0M |
| Total | 3 | $2.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.1B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $9.0M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $1.5B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based feesACQUISITION, ORIGINATION AND/OR DISPOSITION FEES |
Identifiers
| SEC RIA File Number | 801-117782 |
|---|---|
| SEC ERA File Number | 801-117782 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306487 |
| Legal Entity Identifier | None |
Principal Office
230 PARK AVENUE20TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00-5:00
Tel: 212-317-5700, Fax: None
Chief Compliance Officer
MICHELE ELISSA HALICKMAN
230 PARK AVENUE
20TH FLOOR
NEW YORK
NY
United States
Tel:
646-957-7784
M****************@*********M
(Full email address available in API data)
Regulatory Contact
KEVIN MAINELLI
10 W BROAD STREET
8TH FLOOR
COLUMBUS
OH
United States
Tel:
614-857-1569
K*************@*********M
(Full email address available in API data)
Industry Affiliates
| LUMENT SECURITIES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NXT CAPITAL INVESTMENT ADVISERS, LLC | Other investment adviser, including financial planners |
| ORIX ADVISERS, LLC | Other investment adviser, including financial planners |
| RB CAPITAL ASSET MANAGEMENT LTDA | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | Domestic Entity | – | SOLE MEMBER | 10/2019 | > 75% |
| OREC HOLDINGS LLC | Domestic Entity | LUMENT REAL ESTATE CAPITAL HOLDINGS, LLC | MAJORITY SHAREHOLDER | 12/2018 | > 75% |
| OCU COMMERCIAL MORTGAGE SERVICING, LLC | Domestic Entity | OREC HOLDINGS LLC | MAJORITY SHAREHOLDER | 12/2018 | > 75% |
| ORIX CORPORATION USA | Domestic Entity | ORIX CAPITAL MARKETS, LLC | MAJORITY SHAREHOLDER | 07/1999 | > 75% |
| ORIX CORPORATION | Foreign Entity | ORIX CORPORATION USA | MAJORITY SHAREHOLDER | 08/1981 | > 75% |
| HENSON, JAMES, JOSEPH | Individual | – | GENERAL COUNSEL | 10/2019 | < 5% |
| OCU EQUITY HOLDINGS, LLC | Domestic Entity | OCU COMMERCIAL MORTGAGE SERVICING, LLC | MAJORITY SHAREHOLDER | 05/2010 | > 75% |
| OCU OPCO HOLDINGS, LLC | Domestic Entity | OCU EQUITY HOLDINGS, LLC | MAJORITY SHAREHOLDER | 09/2014 | > 75% |
| ORIX CAPITAL MARKETS, LLC | Domestic Entity | OCU OPCO HOLDINGS, LLC | MAJORITY SHAREHOLDER | 09/2015 | > 75% |
| BRIGGS, JAMES, ANTHONY | Individual | – | CHIEF ACCOUNTING OFFICER | 01/2020 | < 5% |
| FLYNN, JAMES, PETER | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2020 | < 5% |
| HALICKMAN, MICHELE, ELISSA | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |