LUMEN ADVISORS, LLC
CRD #120200 SEC #801-62695 SAN FRANSCISCO, CA 415-677-5931
SEC Registered
Total AUM
$13.1M
Discretionary
$13.1M
Employees
5
Clients
--
Accounts
3
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 31, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CLARK, GRAY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| FOSTER, ALLAN, WILLIAM | I | CFO AND CHIEF COMPLIANCE OFFICER | NA | Control |
| FOSTER, ALLAN, WILLIAM | I | CFO AND CHIEF COMPLIANCE OFFICER | NA | Control |
| NOCERA, SIMON, E. | I | PRESIDENT | E | Control |
| NOCERA, SIMON, E. | I | PRESIDENT | E | Control |
| NOCERA, SIMON, EUGENIO | I | PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| NOCERA, SIMON, EUGENIO | I | PRESIDENT | E | Control |
| NOCERA, SIMON, EUGENIO | I | PRESIDENT | E | Control |
| NOCERA, SIMON, EUGENIO | I | PRESIDENT & CHIEF INVESTMENT OFFICER | E | Control |
| NOCERA, SIMON, EUGENIO | I | PRESIDENT & CHIEF INVESTMENT OFFICER | D | Control |
| THE CHALICE FUND L.P. | DE | OWNER | C |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GRAIL PARTNERS LLC | DE | THE CHALICE FUND L.P. | F | Control |
| PUTNAM, DONALD, HARDING | I | GRAIL PARTNERS LLC | E | Control |
| PUTNAM, DONALD, HARDING | I | LUMEN ADVISORS, LLC | C |
Registrations
Federal
IA
Mar 31, 2009 REGISTERED
Notice Filings (1)
CA
Address
ONE FERRY BUILDINGSUITE 255
SAN FRANSCISCO, CA 94111
United States
Phone: 415-677-5931