LUMOS CAPITAL GROUP LLC
Adviser information for LUMOS CAPITAL GROUP LLC last updated from Form ADV on March 19th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 6 | $244.3M |
| Non-Discretionary | 0 | $0 |
| Total | 6 | $244.3M |
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 | 6 | $244.3M |
| 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 | 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 | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126166 |
|---|---|
| SEC ERA File Number | 801-126166 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306528 |
| Legal Entity Identifier | None |
Principal Office
1460 BROADWAYNEW YORK
NY
United States
Monday - Friday, 8 A.M. TO 5 P.M.
Tel: 917-847-5468, Fax: None
Websites
Chief Compliance Officer
JAMES TIENG
MANAGING PARTNER & CO-FOUNDER
1460 BROADWAY
NEW YORK
NY
United States
Tel:
917-847-5468
J****@********************M
(Full email address available in API data)
Industry Affiliates
| LCG GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| LCP II GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| LUMOS CAPITAL FUND I LP | Private Equity Fund | $175.3M | $0.0M | 70 |
| LUMOS CAPITAL FUND I-A LP | Private Equity Fund | $2.3M | $0.0M | 15 |
| LUMOS CAPITAL FUND II LP | Private Equity Fund | $38.2M | $0.0M | 30 |
| LUMOS CAPITAL FUND II-A LP | Private Equity Fund | $1.8M | $0.0M | 2 |
| LUMOS EVEREST LP | Private Equity Fund | $23.5M | $0.0M | 14 |
| LUMOS OASIS LP | Private Equity Fund | $3.1M | $0.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HU, VICTOR, T. | Individual | – | MANAGING PARTNER | 02/2019 | 50-75% |
| TIENG, JAMES, FRANCIS | Individual | – | MANAGING PARTNER AND CCO | 02/2019 | 50-75% |