DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Luma Capital
Legal name Luma Capital LLC
Latest filing Mar 31, 2026
First filing on the tape Apr 20, 2012 · 18 filings
SEC status approved since May 21, 2002
RAUM
$136M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
79%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
24
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$136M as of Mar 31, 2026
Apr 20, 2012$111M then
HNW client RAUM$104M as of Mar 31, 2026
Jun 11, 2018$102M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Apr 20, 20120 then
Employees (5.A)2 as of Mar 31, 2026
Jan 31, 20132 then
Private funds24 as of Mar 31, 2026
Apr 20, 201214 then
RAUM +2.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with heavy alternatives · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
- Custody
- $6.6M, 3 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$104M76%
- Pooled investment vehicles$27.4M20%
- Individuals$3.6M2.6%
- Corporations and businesses$1.2M0.8%
- Individual clients
- 9reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 72reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.6M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.79 fund_share=0.2 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Daniel Nicholas Keller | Naples, Fl | Oct 31, 2025 | 24 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
30 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Luma Pep Xix | Private Equity Fund | $3.7M | 10 | Mar 31, 2017 |
| Luma Pep Xxiii | Private Equity Fund | $3.3M | 12 | Jun 11, 2018 |
| Luma Pep 24 | Private Equity Fund | $2.3M | 9 | Apr 1, 2022 |
| Luma Pep 25 | Private Equity Fund | $2.0M | 6 | Feb 21, 2021 |
| Luma Pep 28 LLC | Private Equity Fund | $2.0M | 10 | Mar 31, 2024 |
| Luma Pep 24no longer reported | Private Equity Fund | $2.0M | 6 | Feb 21, 2021 |
| Luma Pep 26 | Private Equity Fund | $1.6M | 8 | Feb 21, 2021 |
| Luma Pep 27 LLC | Private Equity Fund | $1.5M | 7 | Mar 31, 2024 |
| Luma Pep Xviii | Private Equity Fund | $1.1M | 7 | Apr 24, 2014 |
| Luma Pep Xvii | Private Equity Fund | $986,820 | 13 | Apr 24, 2014 |
| Luma Pep Xv | Private Equity Fund | $806,005 | 11 | Apr 24, 2014 |
| Luma Pep Xxi | Private Equity Fund | $618,159 | 12 | Mar 31, 2017 |
| Luma Marina | Private Equity Fund | $500,000 | 6 | Feb 21, 2021 |
| Luma Pep Xvi | Private Equity Fund | $405,285 | 7 | Apr 24, 2014 |
| Luma Pep III | Private Equity Fund | $260,833 | 10 | Apr 20, 2012 |
| Luma Pep Xx | Private Equity Fund | $196,636 | 5 | Mar 31, 2017 |
| Luma Pep Xii | Private Equity Fund | $88,192 | 4 | Apr 20, 2012 |
| Luma Pep Xno longer reported | Private Equity Fund | $79,501 | 3 | Apr 20, 2012 |
| Luma Pep V | Private Equity Fund | $75,206 | 7 | Apr 20, 2012 |
| Luma Pep Xxiino longer reported | Private Equity Fund | $50,000 | 5 | Mar 31, 2017 |
| Luma Pep II | Private Equity Fund | $50,000 | 3 | Apr 20, 2012 |
| Luma Pep I | Private Equity Fund | $47,677 | 3 | Apr 20, 2012 |
| Luma Pep Viii | Private Equity Fund | $46,270 | 7 | Apr 20, 2012 |
| Luma Pep Ix | Private Equity Fund | $32,706 | 11 | Apr 20, 2012 |
| Luma Pep Xiii | Private Equity Fund | $30,968 | 10 | Apr 20, 2012 |
| Luma Pep Vii | Private Equity Fund | $30,362 | 7 | Apr 20, 2012 |
| Luma Pep Xiv | Private Equity Fund | $29,390 | 10 | Apr 20, 2012 |
| Luma Pep Vi | Private Equity Fund | $12,626 | 5 | Apr 20, 2012 |
| Luma Pep IV | Private Equity Fund | $10,000 | 4 | Apr 20, 2012 |
| Luma Pep Xino longer reported | Private Equity Fund | $9,201 | 5 | Apr 20, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Nicholas Daniel Keller · Chief Compliance Officercontrolsince 03/2001 · owns 75% or more
Related persons
Schedule D 7.A
- Aqualane Advisory Services, LLCinsurancey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- many private funds relative to firm sizeStatic outlier · filing Mar 31, 2026private funds per $1B of RAUM of 176.7 against a peer median of 19.6 (92 comparable advisers, 99.0th percentile, 11.7 robust deviations)peers: independent wealth managers, $100M to $500M (92) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 59 to 72Apr 1, 2025 to Mar 31, 2026
- Corporate clients · unset to 5.0Apr 1, 2025 to Mar 31, 2026
- HNW clients · 29 to 34Apr 1, 2025 to Mar 31, 2026
- Individual clients · 8 to 9Apr 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · 21 to 24Apr 1, 2025 to Mar 31, 2026
- Assets in custody · $6.2M to $6.6MApr 1, 2025 to Mar 31, 2026
- Private funds · 21 to 24Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $63.7M to $84.8MApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $102M to $104MApr 1, 2025 to Mar 31, 2026
- Individual RAUM · $2.3M to $3.6MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $68.4M to $51.0MApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $22.5M to $27.4MApr 1, 2025 to Mar 31, 2026
- RAUM · $132M to $136MApr 1, 2025 to Mar 31, 2026
- Accounts · 61 to 59Mar 31, 2024 to Apr 1, 2025
- Assets in custody · $6.3M to $6.2MMar 31, 2024 to Apr 1, 2025
- Financial planning clients · 1-10 to 1-10Mar 31, 2024 to Apr 1, 2025
- Discretionary RAUM · $57.8M to $63.7MMar 31, 2024 to Apr 1, 2025
- HNW RAUM · $111M to $102MMar 31, 2024 to Apr 1, 2025
- Individual RAUM · $4.3M to $2.3MMar 31, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $86.3M to $68.4MMar 31, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $20.9M to $22.5MMar 31, 2024 to Apr 1, 2025
- RAUM · $144M to $132MMar 31, 2024 to Apr 1, 2025
- Accounts · 63 to 61Mar 10, 2023 to Mar 31, 2024
- HNW clients · 34 to 29Mar 10, 2023 to Mar 31, 2024
- Individual clients · 7 to 8Mar 10, 2023 to Mar 31, 2024
- Pooled vehicle clients · 23 to 21Mar 10, 2023 to Mar 31, 2024
- Assets in custody · $7.1M to $6.3MMar 10, 2023 to Mar 31, 2024
- Private funds · 24 to 21Mar 10, 2023 to Mar 31, 2024
- Discretionary RAUM · $51.5M to $57.8MMar 10, 2023 to Mar 31, 2024
- HNW RAUM · $93.5M to $111MMar 10, 2023 to Mar 31, 2024
- Individual RAUM · $1.7M to $4.3MMar 10, 2023 to Mar 31, 2024
- Non-discretionary RAUM · $70.4M to $86.3MMar 10, 2023 to Mar 31, 2024
- Pooled vehicle RAUM · $23.9M to $20.9MMar 10, 2023 to Mar 31, 2024
- RAUM · $122M to $144MMar 10, 2023 to Mar 31, 2024
- Private funds · 25 to 24Apr 1, 2022 to Mar 10, 2023
- Accounts · 60 to 63Feb 21, 2021 to Apr 1, 2022
- HNW clients · 29 to 34Feb 21, 2021 to Apr 1, 2022
- Pooled vehicle clients · 22 to 23Feb 21, 2021 to Apr 1, 2022
- Assets in custody · $3.5M to $7.1MFeb 21, 2021 to Apr 1, 2022
- Discretionary RAUM · $44.6M to $51.5MFeb 21, 2021 to Apr 1, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Luma Capital · Independent Sponsorsshared crd · capital_provider
- Luma Capital · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 239-659-2888reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- LUMACAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 239-659-2888reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026