DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

LUMIN FINANCIAL, LLC

CRD 124138

SOUTHFIELD, MI

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:c7e145a2-3d40-7644-88de-4dd9c8495d57

Data as of Mar 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 1
Observed: Feb 9, 2012 to Mar 28, 2023
32 observations

Across DFX

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

Allocatorsidentity

Lumin Financial, LLC

Investment consultant · 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
Regulatory AUM: $175MItem 5.F on the latest filing (2023-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $146M
Private client RAUM: $107MderivedItem 5.D individuals plus high net worth individuals
Private client share: 61%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 385
Individual clients: 85
High net worth clients: 24
Custody, client assets: $31.1M
SEC number: 801-72205
CRD: 124138
Filings on the tape: 32
First filed: Feb 9, 2012
Latest filed: Mar 28, 2023
Organised: Limited Liability Company, Michigan

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
HICKS, VICTOR, HAYES	CHIEF EXECUTIVE OFFICER	E	yes	01/2000	Feb 9, 2012	Mar 28, 2023

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
2022	Mar 28, 2023	$175M	$146M	7	3	0	n/a	n/a
2021	Mar 30, 2022	$214M	$185M	8	2	0	n/a	n/a
2020	Mar 31, 2021	$184M	$144M	8	3	0	n/a	n/a
2019	Mar 23, 2020	$171M	$138M	8	2	0	n/a	n/a
2018	Mar 25, 2019	$153M	$133M	6	2	0	n/a	n/a
2017	Mar 20, 2018	$143M	$123M	7	2	0	n/a	n/a
2016	Mar 18, 2017	$101M	$100M	7	2	n/a	n/a	n/a
2015	Mar 17, 2016	$163M	$162M	6	2	n/a	n/a	n/a
2014	Mar 27, 2015	$150M	$149M	6	2	n/a	n/a	n/a
2013	Mar 19, 2014	$141M	$115M	5	2	n/a	n/a	n/a
2012	Mar 8, 2013	$129M	$104M	5	2	n/a	n/a	n/a
2011	Feb 9, 2012	$103M	$82.4M	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
2022	$175M	$214M	-18.1%	$171M	0.9%	7	8	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
PERIGON WEALTH MANAGEMENT, LLC	3	Mar 21, 2024	Mar 4, 2024	SOUTHFIELD, MI	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← HICKS, VICTOR, HAYESOwnerCHIEF EXECUTIVE OFFICER, ownership code E, individual
Feb 9, 2012 to presentfactForm ADV

Registered with (5)

← SANDRA MARIE KERRAdvisorregistration: previous registration
Jan 14, 2020 to Mar 21, 2024factForm ADV
← VICTOR HAYES HICKSAdvisorregistration: previous registration
Sep 20, 2010 to Mar 21, 2024factForm ADV
← RHODA VASHTI WOODSAdvisorregistration: previous registration
Mar 6, 2023 to Mar 21, 2024factForm ADV
← Jalen GarrettAdvisorregistration: previous registration
Feb 3, 2021 to Dec 22, 2021factForm ADV
← NAOKO MCKELVEYAdvisorregistration: previous registration
Sep 20, 2010 to Oct 10, 2019factForm ADV

Moved with (1)

→ PERIGON WEALTH MANAGEMENT, LLCRegistered adviser3 advisors, firm absorbed, same day
Mar 21, 2024 to Mar 4, 2024factForm ADV

Dated events

Occurred
Mar 21, 2024
Firm absorbed
Lumin Financial, LLC's advisors moved to Perigon Wealth Management, LLC (Southfield, MI): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Mar 21, 2024
Advisor changed firm
Sandra Marie Kerr left Lumin Financial, Llc for Perigon Wealth Management, Llc (registered 2023-12-14)
Form ADVobserved 4 days ago
Occurred
Mar 21, 2024
Advisor changed firm
Victor Hayes Hicks left Lumin Financial, Llc for Perigon Wealth Management, Llc (registered 2023-12-14)
Form ADVobserved 4 days ago
Occurred
Mar 21, 2024
Advisor changed firm
Rhoda Vashti Woods left Lumin Financial, Llc for Perigon Wealth Management, Llc (registered 2024-03-04)
Form ADVobserved 4 days ago
Occurred
Mar 23, 2020
Control person left
Naoko Mckelvey (Chief Compliance Officer) no longer on Schedule A of Lumin Financial, Llc (listed 2019-11-25, absent 2020-03-23)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7e145a2-3d40-7644-88de-4dd9c8495d57
First observed: Feb 9, 2012
Last observed: Mar 28, 2023 42 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.

LUMIN FINANCIAL, LLC

CRD 124138

SOUTHFIELD, MI

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:c7e145a2-3d40-7644-88de-4dd9c8495d57

Data as of Mar 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:20 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

HICKS, VICTOR, HAYES

CHIEF EXECUTIVE OFFICER

yes

01/2000

Feb 9, 2012

Mar 28, 2023

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 28, 2023

$175M

$146M

n/a

2021

Mar 30, 2022

$214M

$185M

n/a

2020

Mar 31, 2021

$184M

$144M

n/a

2019

Mar 23, 2020

$171M

$138M

n/a

2018

Mar 25, 2019

$153M

$133M

n/a

2017

Mar 20, 2018

$143M

$123M

n/a

2016

Mar 18, 2017

$101M

$100M

n/a

2015

Mar 17, 2016

$163M

$162M

n/a

2014

Mar 27, 2015

$150M

$149M

n/a

2013

Mar 19, 2014

$141M

$115M

n/a

2012

Mar 8, 2013

$129M

$104M

n/a

2011

Feb 9, 2012

$103M

$82.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$175M

$214M

-18.1%

$171M

0.9%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

PERIGON WEALTH MANAGEMENT, LLC

Mar 21, 2024

Mar 4, 2024

SOUTHFIELD, MI

Firm absorbed

RIA to RIA

100.0%