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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PRIVATE CLIENT ADVISORS

PRIVATE CLIENT ADVISORS, LLC, CRD 158777

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:284def15-4584-d376-186f-2d61d01458df

Data as of Jan 2, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Jan 4, 2012 to Jan 2, 2014
9 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: $4.0MItem 5.F on the latest filing (2014-01-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $4.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 6
Accounts: 56
SEC number: 801-72667
CRD: 158777
Filings on the tape: 9
First filed: Jan 4, 2012
Latest filed: Jan 2, 2014
Organised: Limited Liability Company, 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	07/2011	Jan 4, 2012	Jan 2, 2014
LUNA FAMILY TRUST	Trust	D	yes	02/2006	Jan 4, 2012	Jan 2, 2014
LUNA, ELIZABETH, NMN	SECRETARY / BOARD DIRECTOR / TRUSTEE	C	yes	03/2006	Jan 4, 2012	Jan 2, 2014
LUNA, ELIZABETH, NMN	EXECUTIVE VICE PRESIDENT, CO-CEO, CFO	Na	yes	07/2011	Jan 4, 2012	Jan 2, 2014
LUNA, FELIPE, AMOR	CEO / BOARD DIRECTOR / TRUSTEE	C	yes	03/2006	Jan 4, 2012	Jan 2, 2014
LUNA, FELIPE, AMOR	PRESIDENT, CO-CEO	Na	yes	07/2011	Jan 4, 2012	Jan 2, 2014
THORN, JAMES	CHIEF COMPLIANCE OFFICER	Na	yes	07/2011	Jan 4, 2012	Jan 2, 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
CONCERT ADVISOR SOLUTIONS, INC	n/a	Former SEC adviser	$0	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 2, 2014	$4.0M	$4.0M	7	6	n/a	n/a	n/a
2012	Jan 2, 2013	$5.0M	$5.0M	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	$4.0M	$5.0M	-19.7%	n/a	n/a	7	7	n/a	n/a

Relationships

Affiliated with (5)

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

Controls (5)

← THORN, JAMESOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 4, 2012 to presentfactForm ADV
← LUNA, FELIPE, AMOROwnerCEO / BOARD DIRECTOR / TRUSTEE, ownership code C, individual
Jan 4, 2012 to presentfactForm ADV
← LUNA, ELIZABETH, NMNOwnerSECRETARY / BOARD DIRECTOR / TRUSTEE, ownership code C, individual
Jan 4, 2012 to presentfactForm ADV
← CONCERT GLOBAL GROUP LTDOwnerPARENT COMPANY, ownership code E, domestic entity
Jan 4, 2012 to presentfactForm ADV
← LUNA FAMILY TRUSTOwnerTRUST, ownership code D, domestic entity
Jan 4, 2012 to presentfactForm ADV

Registered with (3)

← ERIK ALLEN SCHEIAdvisorregistration: previous registration
Oct 10, 2011 to Jun 16, 2014factForm ADV
← ELIZABETH NMN LUNAAdvisorregistration: previous registration
Oct 10, 2011 to Jun 16, 2014factForm ADV
← Alena PovarovaAdvisorregistration: previous registration
Oct 10, 2011 to Mar 24, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:284def15-4584-d376-186f-2d61d01458df
First observed: Jan 4, 2012
Last observed: Jan 2, 2014 154 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.

PRIVATE CLIENT ADVISORS

PRIVATE CLIENT ADVISORS, LLC, CRD 158777

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:284def15-4584-d376-186f-2d61d01458df

Data as of Jan 2, 2014 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:45 AM 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

07/2011

Jan 4, 2012

Jan 2, 2014

LUNA FAMILY TRUST

Trust

yes

02/2006

Jan 4, 2012

Jan 2, 2014

LUNA, ELIZABETH, NMN

SECRETARY / BOARD DIRECTOR / TRUSTEE

yes

03/2006

Jan 4, 2012

Jan 2, 2014

LUNA, ELIZABETH, NMN

EXECUTIVE VICE PRESIDENT, CO-CEO, CFO

yes

07/2011

Jan 4, 2012

Jan 2, 2014

LUNA, FELIPE, AMOR

CEO / BOARD DIRECTOR / TRUSTEE

yes

03/2006

Jan 4, 2012

Jan 2, 2014

LUNA, FELIPE, AMOR

PRESIDENT, CO-CEO

yes

07/2011

Jan 4, 2012

Jan 2, 2014

THORN, JAMES

CHIEF COMPLIANCE OFFICER

yes

07/2011

Jan 4, 2012

Jan 2, 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

CONCERT ADVISOR SOLUTIONS, INC

n/a

Former SEC adviser

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Jan 2, 2014

$4.0M

n/a

2012

Jan 2, 2013

$5.0M

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

$4.0M

$5.0M

-19.7%

n/a