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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

LUMINOUS CAPITAL, LLC

CRD 145566

LOS ANGELES, 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:3a5b1684-65b9-7750-e1d0-e293f04eb268

Data as of Apr 2, 2013 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 0
On other graphs: 3
Observed: Dec 20, 2011 to Apr 2, 2013
9 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Luminous Capital, LLC

Private equity manager · shared crd

Private Creditidentity

LUMINOUS CAPITAL, LLC

Private credit manager · shared crd

Real Estate Fundsidentity

Luminous Capital, LLC

Real estate fund manager · shared crd

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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 1
Advisory employees: 0
Custody, client assets: $0
SEC number: 801-68850
CRD: 145566
Filings on the tape: 9
First filed: Dec 20, 2011
Latest filed: Apr 2, 2013
Organised: Limited Liability Company, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
LUMINOUS CAPITAL SENIOR CREDIT FUND - A, L.P.	Private Equity Fund	$95.2M	Jan 9, 2013	113	Mar 26, 2012	reported	021-154830
LUMINOUS CAPITAL SENIOR CREDIT FUND, L.P.	Private Equity Fund	$95.2M	Jan 9, 2013	99	Mar 26, 2012	reported	021-129492

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
HARRISON, ERIC, SCOTT	Partner	Na	yes	01/2009	Dec 20, 2011	Apr 2, 2013
HOU, DAVID, CHIH	Member	C	yes	05/2011	Dec 20, 2011	Apr 2, 2013
HOU, DAVID, CHIH	Partner	Na	yes	05/2008	Dec 20, 2011	Apr 2, 2013
IP, KIM, PFEIFER	PARTNER & CHIEF COMPLIANCE OFFICER	Na	yes	05/2008	Dec 20, 2011	Apr 2, 2013
LUMINOUS CAPITAL HOLDINGS, LLC	Owner	E	yes	05/2008	Dec 20, 2011	Apr 2, 2013
SEAR, MARK, ELLIOTT	Partner	Na	yes	05/2008	Dec 20, 2011	Apr 2, 2013
SKINNER, ROBERT, JOHN	Partner	Na	yes	05/2008	Dec 20, 2011	Apr 2, 2013
ZAFRAN, ALAN	Partner	Na	yes	05/2008	Dec 20, 2011	Apr 2, 2013

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
LUMINOUS CAPITAL INSURANCE SERVICES LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
PORTOLA VALLEY	CA	United States	n/a	no

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
2012	Apr 2, 2013	n/a	n/a	1	0	n/a	n/a	n/a
2011	Mar 26, 2012	$5.0B	$4.5B	n/a	n/a	n/a	18	$761M

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
2012	n/a	$5.0B	n/a	n/a	n/a	1	n/a	n/a	n/a

Relationships

Controls (7)

← IP, KIM, PFEIFEROwnerPARTNER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← HOU, DAVID, CHIHOwnerMEMBER, ownership code C, individual
Dec 20, 2011 to presentfactForm ADV
← ZAFRAN, ALANOwnerPARTNER, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← SEAR, MARK, ELLIOTTOwnerPARTNER, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← SKINNER, ROBERT, JOHNOwnerPARTNER, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← HARRISON, ERIC, SCOTTOwnerPARTNER, ownership code NA, individual
Dec 20, 2011 to presentfactForm ADV
← LUMINOUS CAPITAL HOLDINGS, LLCOwnerOWNER, ownership code E, domestic entity
Dec 20, 2011 to presentfactForm ADV

Advises (2)

→ LUMINOUS CAPITAL SENIOR CREDIT FUND, L.P.Private fundPrivate Equity Fund, IA
Mar 26, 2012 to presentfactForm ADV
→ LUMINOUS CAPITAL SENIOR CREDIT FUND - A, L.P.Private fundPrivate Equity Fund, IA
Mar 26, 2012 to presentfactForm ADV

Registered with (19)

← KIM PFEIFER IPAdvisorregistration: previous registration
Sep 3, 2008 to Feb 1, 2013factForm ADV
← DAVID CHIH HOUAdvisorregistration: previous registration
May 9, 2008 to Feb 1, 2013factForm ADV
← ALAN ZAFRANAdvisorregistration: previous registration
May 12, 2008 to Feb 1, 2013factForm ADV
← MARK ELLIOTT SEARAdvisorregistration: previous registration
May 9, 2008 to Feb 1, 2013factForm ADV
← FRANK JOSEPH MCFARLANDAdvisorregistration: previous registration
Jun 6, 2008 to Feb 1, 2013factForm ADV
← ROBERT JOHN SKINNERAdvisorregistration: previous registration
May 9, 2008 to Feb 1, 2013factForm ADV
← JASON ERIC LEFTONAdvisorregistration: previous registration
Jul 27, 2010 to Feb 1, 2013factForm ADV
← JEFFREY SCOTT DOREAdvisorregistration: previous registration
Jun 6, 2008 to Feb 1, 2013factForm ADV
← MONIKA HANSSEN MUGGAdvisorregistration: previous registration
Jun 6, 2008 to Feb 1, 2013factForm ADV
← JEFFREY S WESTSMITHAdvisorregistration: previous registration
Jun 12, 2008 to Feb 1, 2013factForm ADV
← RICK S WITHERSAdvisorregistration: previous registration
Aug 4, 2009 to Feb 1, 2013factForm ADV
← PETER CHERNG TSU CHANGAdvisorregistration: previous registration
Sep 3, 2009 to Feb 1, 2013factForm ADV
← ERIC SCOTT HARRISONAdvisorregistration: previous registration
Mar 15, 2011 to Feb 1, 2013factForm ADV
← DEAN ISAAC HORWITZAdvisorregistration: previous registration
Jun 22, 2009 to Feb 1, 2013factForm ADV
← IAN DAVID LINFORDAdvisorregistration: previous registration
Aug 26, 2011 to Feb 1, 2013factForm ADV
← SAMUEL PATRICK SHEPHARDAdvisorregistration: previous registration
Dec 13, 2011 to Feb 1, 2013factForm ADV
← Noah E FoxAdvisorregistration: previous registration
Aug 28, 2012 to Feb 1, 2013factForm ADV
← SCOTT HENRIK FELLMETHAdvisorregistration: previous registration
Aug 4, 2009 to Feb 1, 2012factForm ADV
← VICTOR SHIHCHONG LIAOAdvisorregistration: previous registration
Jun 6, 2008 to Oct 20, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3a5b1684-65b9-7750-e1d0-e293f04eb268
First observed: Dec 20, 2011
Last observed: Apr 2, 2013 163 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.

LUMINOUS CAPITAL, LLC

CRD 145566

LOS ANGELES, 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:3a5b1684-65b9-7750-e1d0-e293f04eb268

Data as of Apr 2, 2013 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 9:59 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

LUMINOUS CAPITAL SENIOR CREDIT FUND - A, L.P.

Private Equity Fund

$95.2M

Jan 9, 2013

113

Mar 26, 2012

reported

021-154830

LUMINOUS CAPITAL SENIOR CREDIT FUND, L.P.

Private Equity Fund

$95.2M

Jan 9, 2013

Mar 26, 2012

reported

021-129492

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HARRISON, ERIC, SCOTT

Partner

yes

01/2009

Dec 20, 2011

Apr 2, 2013

HOU, DAVID, CHIH

Member

yes

05/2011

Dec 20, 2011

Apr 2, 2013

HOU, DAVID, CHIH

Partner

yes

05/2008

Dec 20, 2011

Apr 2, 2013

IP, KIM, PFEIFER

PARTNER & CHIEF COMPLIANCE OFFICER

yes

05/2008

Dec 20, 2011

Apr 2, 2013

LUMINOUS CAPITAL HOLDINGS, LLC

Owner

yes

05/2008

Dec 20, 2011

Apr 2, 2013

SEAR, MARK, ELLIOTT

Partner

yes

05/2008

Dec 20, 2011

Apr 2, 2013

SKINNER, ROBERT, JOHN

Partner

yes

05/2008

Dec 20, 2011

Apr 2, 2013

ZAFRAN, ALAN

Partner

yes

05/2008

Dec 20, 2011

Apr 2, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

LUMINOUS CAPITAL INSURANCE SERVICES LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

PORTOLA VALLEY

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Apr 2, 2013

n/a

2011

Mar 26, 2012

$5.0B

$4.5B

n/a

$761M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

n/a

$5.0B

n/a