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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CONCERT ADVISORS

CONCERT ADVISOR SOLUTIONS, INC, CRD 159993

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1be78918-0d58-817c-fb63-77ee92d7b287

Data as of Jan 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Dec 8, 2011 to Jan 28, 2014
13 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0Item 5.F on the latest filing (2014-01-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Accounts: 0
SEC number: 801-72959
CRD: 159993
Filings on the tape: 13
First filed: Dec 8, 2011
Latest filed: Jan 28, 2014
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CONCERT GLOBAL GROUP LTD	PARENT COMPANY	E	yes	12/2011	Dec 8, 2011	Jan 28, 2014
LUNA, ELIZABETH, NMN	EXECUTIVE VICE PRESIDENT, CO-CEO, CFO	Na	yes	12/2011	Dec 8, 2011	Jan 28, 2014
LUNA, ELIZABETH, NMN	EXECUTIVE VP / CO-CEO / BOARD DIRECTOR / TRUSTEE	C	yes	03/2006	Dec 8, 2011	Jan 28, 2014
LUNA, FELIPE, AMOR	CO-CEO / BOARD DIRECTOR / TRUSTEE	C	yes	03/2006	Dec 8, 2011	Jan 28, 2014
LUNA, FELIPE, AMOR	CO-CEO	Na	yes	12/2011	Dec 8, 2011	Jan 28, 2014
THE LUNA TRUST	Trust	D	yes	03/2006	Dec 8, 2011	Jan 28, 2014
THORN, JAMES, MARTIN	CHIEF COMPLIANCE OFFICER	Na	yes	12/2011	Dec 8, 2011	Jan 28, 2014
TABOR, DOUGLAS, WILLIAM	President	Na	no	12/2011	Mar 14, 2012	Jan 28, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CONCERT WEALTH MANAGEMENT, INC.	n/a	Former SEC adviser	$201M	N	yes	n/a
CONCERT CAPITAL MANAGEMENT, INC	n/a	Former SEC adviser	$25.0M	N	yes	n/a
PRIVATE CLIENT ADVISORS, LLC	n/a	Former SEC adviser	$4.0M	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Jan 28, 2014	$0	$0	7	6	n/a	n/a	n/a
2012	Jan 2, 2013	n/a	n/a	7	6	n/a	n/a	n/a
2011	Jan 4, 2012	$0	$0	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$0	n/a	n/a	n/a	n/a	7	7	n/a	n/a

Relationships

Affiliated with (5)

→ CONCERT WEALTH MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ CONCERT CAPITAL MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
→ PRIVATE CLIENT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
← CONCERT CAPITAL MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← PRIVATE CLIENT ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← THORN, JAMES, MARTINOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 8, 2011 to presentfactForm ADV
← LUNA, FELIPE, AMOROwnerCO-CEO / BOARD DIRECTOR / TRUSTEE, ownership code C, individual
Dec 8, 2011 to presentfactForm ADV
← LUNA, ELIZABETH, NMNOwnerEXECUTIVE VP / CO-CEO / BOARD DIRECTOR / TRUSTEE, ownership code C, individual
Dec 8, 2011 to presentfactForm ADV
← CONCERT GLOBAL GROUP LTDOwnerPARENT COMPANY, ownership code E, domestic entity
Dec 8, 2011 to presentfactForm ADV
← THE LUNA TRUSTOwnerTRUST, ownership code D, domestic entity
Dec 8, 2011 to presentfactForm ADV

Owns (1)

← TABOR, DOUGLAS, WILLIAMOwnerPRESIDENT, ownership code NA, individual
Mar 14, 2012 to presentfactForm ADV

Registered with (3)

← DOUGLAS WILLIAM TABORAdvisorregistration: previous registration
Jan 19, 2012 to Mar 25, 2014factForm ADV
← ROBERT D. CANOAdvisorregistration: previous registration
Sep 18, 2012 to Jul 18, 2013factForm ADV
← ELIEZER B LOPEZAdvisorregistration: previous registration
Apr 3, 2012 to May 3, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1be78918-0d58-817c-fb63-77ee92d7b287
First observed: Dec 8, 2011
Last observed: Jan 28, 2014 153 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CONCERT ADVISORS

CONCERT ADVISOR SOLUTIONS, INC, CRD 159993

SAN JOSE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1be78918-0d58-817c-fb63-77ee92d7b287

Data as of Jan 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:48 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONCERT GLOBAL GROUP LTD

PARENT COMPANY

yes

12/2011

Dec 8, 2011

Jan 28, 2014

LUNA, ELIZABETH, NMN

EXECUTIVE VICE PRESIDENT, CO-CEO, CFO

yes

12/2011

Dec 8, 2011

Jan 28, 2014

LUNA, ELIZABETH, NMN

EXECUTIVE VP / CO-CEO / BOARD DIRECTOR / TRUSTEE

yes

03/2006

Dec 8, 2011

Jan 28, 2014

LUNA, FELIPE, AMOR

CO-CEO / BOARD DIRECTOR / TRUSTEE

yes

03/2006

Dec 8, 2011

Jan 28, 2014

LUNA, FELIPE, AMOR

CO-CEO

yes

12/2011

Dec 8, 2011

Jan 28, 2014

THE LUNA TRUST

Trust

yes

03/2006

Dec 8, 2011

Jan 28, 2014

THORN, JAMES, MARTIN

CHIEF COMPLIANCE OFFICER

yes

12/2011

Dec 8, 2011

Jan 28, 2014

TABOR, DOUGLAS, WILLIAM

President

12/2011

Mar 14, 2012

Jan 28, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CONCERT WEALTH MANAGEMENT, INC.

n/a

Former SEC adviser

$201M

yes

n/a

CONCERT CAPITAL MANAGEMENT, INC

n/a

Former SEC adviser

$25.0M

yes

n/a

PRIVATE CLIENT ADVISORS, LLC

n/a

Former SEC adviser

$4.0M

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Jan 28, 2014

n/a

2012

Jan 2, 2013

n/a

2011

Jan 4, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

n/a