LUMIN FINANCIAL, LLC
Adviser information for LUMIN FINANCIAL, LLC last updated from Form ADV on March 28th, 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 | Michigan, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 366 | $145.9M |
| Non-Discretionary | 19 | $29.6M |
| Total | 385 | $175.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 85 | $39.0M |
| HNW Individuals | 24 | $67.7M |
| 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 | 33 | $68.7M |
| 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 | 3 |
| No. of Non-U.S. Clients | 1 |
| No. of Financial Planning Clients | 1-10 |
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 fees |
Principal Office
2000 TOWN CENTERSUITE 1825
SOUTHFIELD
MI
United States
Monday - Friday, 8:00 A.M.-5:00 P.M.
Tel: 248-936-9480, Fax: 248-936-9480
Chief Compliance Officer
VICTOR H HICKS II
PRINCIPAL
2000 TOWN CENTER
SUITE 1825
SOUTHFIELD
MI
United States
Tel:
248-936-9480
Fax:
248-936-9480
V*****@*****************M
(Full email address available in API data)
Regulatory Contact
CRYSTAL STEINHOUR
DIRECTOR OF OPERATIONS
2000 TOWN CENTER
SUITE 1825
SOUTHFIELD
MI
United States
Tel:
248-936-9535
Fax:
248-936-9480
C*********@*****************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 |
|---|---|---|---|---|---|
| HICKS, VICTOR, HAYES | Individual | – | CHIEF EXECUTIVE OFFICER | 01/2000 | > 75% |
| HICKS, VICTOR, HAYES | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2019 | > 75% |