# Lumen Capital Management, L.L.C.

> Lumen Capital Management, L.L.C. is a state-registered investment advisory firm, registered since 2001, reporting $25 million to $100 million in regulatory assets under management in its Form ADV filing dated September 30, 2022.

- CRD: 123705
- Filed as: LUMEN CAPITAL MANAGEMENT, L.L.C.
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Location: Registered in Illinois
- Filing period: October 2026
- Form ADV filing dated: September 30, 2022
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/123705
- AdvisorCensus page: https://advisorcensus.com/firm/lumen-capital-management-l-l-c-123705

## Quick answers

**How is Lumen Capital Management, L.L.C. compensated?**
On its Form ADV (Item 5.E, October 2026), Lumen Capital Management, L.L.C. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is Lumen Capital Management, L.L.C. registered with the SEC or a state?**
Lumen Capital Management, L.L.C. is a state-registered investment advisory firm, registered since 2001. Status as filed: APPROVED. CRD 123705.

**How much does Lumen Capital Management, L.L.C. manage?**
Lumen Capital Management, L.L.C. reports $33,000,000 in regulatory assets under management in its Form ADV filing dated September 30, 2022 (100% discretionary).

**What types of clients does Lumen Capital Management, L.L.C. serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (28); high net worth individuals (23).

**Does Lumen Capital Management, L.L.C. report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/123705

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Regulatory assets under management (Item 5.F)
- Total: $33,000,000
- Discretionary: $33,000,000
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 28 | $10,000,000 |
| High net worth individuals | 23 | $23,000,000 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles (other than investment companies and business development companies) | 0 | $0 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal government entities (including government pension plans) | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses not listed above | 0 | $0 |
| Other | 0 | $0 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2001 (25 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: IL
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- lumencapital.blogspot.com
- lumencapitalmgmt.com
- Facebook @LUMENCAPITALMANAGEMENT
- X @LUMENCAPITAL

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Lumen Capital Management, L.L.C. (CRD 123705): Form ADV filing data as of October 2026.