LUMINA FINANCIAL CONSULTANTS, LLC
Adviser information for LUMINA FINANCIAL CONSULTANTS, LLC last updated from Form ADV on April 17th, 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 | DECEMBER |
| Legal Location | Virginia, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 201 | $132.0M |
| Non-Discretionary | 2 | $2.4M |
| Total | 203 | $134.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 25 | $11.6M |
| HNW Individuals | 46 | $121.7M |
| 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 | <5 | $541,857 |
| Charitable organizations | 0 | $0 |
| 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 | <5 | $535,588 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed feesSUBSCRIPTION FEE FOR WEB-BASED SERVICES |
Identifiers
| SEC RIA File Number | 801-120910 |
|---|---|
| SEC ERA File Number | 801-120910 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 163783 |
| Legal Entity Identifier | None |
Principal Office
100 SHORELINE HIGHWAYSUITE 100B
MILL VALLEY
CA
United States
BY APPOINTMENT ONLY, BY APPOINTMENT
Tel: 415-944-5040, Fax: None
Chief Compliance Officer
JEAN S. H. SCHWARZ
MANAGING DIRECTOR
100 SHORELINE HIGHWAY
SUITE 100B
MILL VALLEY
CA
United States
Tel:
415-944-5040
J*******@***********M
(Full email address available in API data)
Regulatory Contact
IVAN BARRETTO
CONSULTANT
13359 NORTH HIGHWAY 183
SUITE 406-649
AUSTIN
TX
United States
Tel:
18337422246
I***@*******O
(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 |
|---|---|---|---|---|---|
| SCHWARZ, JEAN, STASSI HARRELL | Individual | – | MANAGING MEMBER/MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER | 04/2012 | 50-75% |
| FRIED, LAURIE | Individual | – | INVESTMENT ADVISER AND PARTNER | 01/2018 | 50-75% |