Wealth manager, independent · Naples, FL
Luma Capital
Luma Capital LLC · SEC-registered investment adviser · CRD 119576 · SEC 801-61140
At a glance
Luma Capital is an SEC-registered investment adviser based in Naples, Florida, with $136 million in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 43 individual clients. By Form ADV it is a wealth manager, ranked 7,257th of 8,915 wealth managers and 14,165th of 17,210 SEC-registered advisers by assets.
Main office 239-659-2888lumacapital.comAs filed on Form ADV
- Regulatory AUM
- $136M
- Rank among wealth managers
- #7,257 of 8,915
- Rank among all SEC RIAs
- #14,165 of 17,210
- Rank in Florida
- #885 of 1,090
- Individual clients
- 43
- High-net-worth clients
- 34
- Accounts
- 72
- Discretionary
- 62% of AUM
- Employees
- 2
- Advisory staff
- 2
- Offices
- 1
Owners and executives on its Form ADV
- Daniel N. KellerChief Compliance Officer
Custody and brokerage
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 34 | $104M | 76% |
| Pooled investment vehicles | 24 | $27M | 20% |
| Individuals | 9 | $4M | 3% |
| Corporations or other businesses | 5 | $1M | <1% |
Private funds
Luma Capital reports 24 private funds with $24M in gross assets: private equity funds (Form ADV Item 7.B).
Disciplinary disclosures
Luma Capital reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
- Selecting other advisers
- Other services
How it’s paid
- A percentage of assets under management
- Hourly charges
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗lumacapital.com ↗
AtlasMembers
The full record on Luma Capital
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, ten years of filings
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- Growth over one, three and five years
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- Rank against 5,140 peers of its type and size
- Locked
- Owners and executives, with titles and stakes
- 1 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Luma Capital manage?
Luma Capital reports $136 million in regulatory assets under management across 72 accounts, 62% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Luma Capital?
Luma Capital is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Luma Capital’s clients?
By assets, its largest client types are high-net-worth individuals ($104 million, 34 clients); pooled investment vehicles ($27 million, 24 clients); individuals ($4 million, 9 clients).
Does Luma Capital manage private funds?
Yes. It reports 24 private funds with $24 million in gross assets, including private equity funds.
Does Luma Capital have any disciplinary history?
Luma Capital reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Luma Capital’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-03-31), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →