Lumen Advisors, LLC (San Franscisco)

Lumen Advisors, LLC is an adviser based in San Franscisco. It manages $13.1 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdiction of California.

Lumen Advisors provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Lumen Advisors: assets under management

The assets under management (AUM) of Lumen Advisors, LLC is $13.1 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -77% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $13.1 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $4.37 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Lumen Advisors, LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Lumen Advisors, LLC

Simon E. Nocera has been acting as President since 1 Jun 2002. Gray Michael Clark joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Simon E. Nocera	President	1 Jun 2002	75% - 100%	4565697
Simon Eugenio Nocera	President	1 Jun 2002	75% - 100%	4565697
Allan William Foster	Cfo and chief compliance officer	1 Apr 2003	Other	1739275
The Chalice Fund L.P.	Owner	1 Jan 2008	25% - 50%	43-2113011
Gray Michael Clark	Chief compliance officer	1 Oct 2008	Other	4687385

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Donald Harding Putnam	Managing member	1 Oct 2006	75% - 100%	1065385
Grail Partners Llc	Gp	1 Oct 2006	Other	59-3797643
Donald Harding Putnam	Indirect owner	1 Jan 2007	25% - 50%	1065385

Based in San Franscisco

The principal office where Lumen Advisors, LLC performs its advisory services is located at One Ferry Building, San Franscisco, CA 94111, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 415-677-5931 or by fax 415-391-4510. The normal business hours are 7:30 am to 5:00 pm pacific time on Monday - Friday.