Lumos Capital Group LLC
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Overview
Lumos Capital Group LLC is a financial advisory firm located in New York, New York. The firm controls $194.1 million in assets throughout four client accounts, making it a mid-tier financial advisory firm in the United States by assets under management (AUM). The company has a small group, including 5 financial advisors. Lumos Capital Group LLC is not a registered broker-dealer, meaning it is not able to buy and sell securities for its own accounts as well as its customers' and instead is required to go through a broker-dealer firm to do so. Securities are exchangable financial assets such as bonds, options and equities.
Lumos Capital Group LLC manages all of the company's client assets in a discretionary manner. Discretionary management means that buy and sell judgments for the client's account are made by a portfolio manager without needing the customer's permission. The firm oversees roughly $48.5 million for each customer account. An average financial advisor at Lumos Capital Group LLC manages fewer than one client account, making it one of the most personalized firms in the country.
The company's headquarters is at 1460 Broadway, New York, New York 10036.
Assets Under Management
Number of Advisors
Disclosures
Office Location
Lumos Capital Group LLC by the Numbers
$194.1 million
5
4
$48.5 million
Fee Structure
Fees for financial advisory services largely depend on which services the firm provides the client. Fee types charged by Lumos Capital Group LLC likely include the following fee types: asset-based or performance-based. The company does not participate in a wrap fee program, in which the firm offers a bundle of services for a comprehensive fee.
Available
-
Offered by 69% of firms
Percentage of Assets
-
Offered by 26% of firms
Performance-based
Unavailable
-
Find one of the 21% of firms that offer this fee type
Hourly
-
Find one of the 1% of firms that offer this fee type
Commissions
-
Find one of the 0% of firms that offer this fee type
Subscription
-
Find one of the 32% of firms that offer this fee type
Fixed
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Find one of the 10% of firms that offer this fee type
Other
Types of Clients
The company works with pooled investment vehicles. Out of its four accounts, Lumos Capital Group LLC's biggest client is pooled investment vehicles. None of its customers are represented by non-U.S. persons.
- High-Net-Worth Individuals* - 0%
- Other Individuals - 0%
- Corporations - 100%
- Charitable Organizations - 0%
* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.
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Disclosures
Lumos Capital Group LLC does not have any disclosures.
Please visit its Form ADV for more details.
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