9AT: LUMOS CAPITAL GROUP LLC

other names

LUMOS CAPITAL GROUP LLC
LUMOS CAPITAL GROUP, LLC

Adviser Profile

As of Date	05/08/2025
ADV Location	NEW YORK, NY, United States
Adviser Type - Large advisory firm
Number of Employees	7 17%
of those in investment advisory functions	6 20%
Registration	SEC, Approved, 07/22/2022
Other registrations (1)	SEC, ERA - Withdrawn, 06/23/2022
Former registrations	LUMOS CAPITAL GROUP LLC

AUM^*	286,304,052 17%
of that, discretionary	286,304,052 17%
Private Fund GAV^*	286,304,051
Avg Account Size	40,900,579 0%
SMA’s	No
Private Funds	7 1
Contact Info	917 xxxxxxx
Websites

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypePrivate Equity Fund	Count7	GAV$286,304,051

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser OUTFITTER ENERGY MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund197.3m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV197.3m	AUM197.3m	#Funds2
Adviser PIPER HEARTLAND HEALTHCARE CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund221.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV221.4m	AUM221.4m	#Funds1
Adviser MSP SPORTS CAPITAL	Hedge Fund-	Liquidity Fund-	Private Equity Fund513.5m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV513.5m	AUM565.6m	#Funds2
Adviser BROADLIGHT CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund168.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund49.3m	Total Private Fund GAV217.8m	AUM217.8m	#Funds6
Adviser ANCOR CAPITAL PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund328.0m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV328.0m	AUM328.0m	#Funds11
Adviser ALTMORE CAPITAL INVESTMENT MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund189.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV189.6m	AUM189.6m	#Funds10
Adviser NINTH ETERNITY ASSET MANAGEMENT LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund210.4m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV210.4m	AUM219.3m	#Funds2
Adviser LIONTREE PARTNERS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund134.1m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV134.1m	AUM134.1m	#Funds11
Adviser GREAT RANGE CAPITAL, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund126.2m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV126.2m	AUM476.2m	#Funds2
Adviser INNOVAHEALTH PARTNERS	Hedge Fund-	Liquidity Fund-	Private Equity Fund236.6m	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV236.6m	AUM269.0m	#Funds17

Brochure Summary

Overview

For purposes of this Brochure, the “Adviser”, “Lumos” or the “Management Company” means Lumos Capital Group LLC, a Delaware limited liability company formed in November of 2019. Lumos is an investment advisory firm with its headquarters in New York, NY. The Adviser is principally owned, led, and managed by Victor Hu and James Tieng (the “Principals”), as well as various investment professionals of Lumos dedicated to the Fund (collectively with the Principals, the “Investment Team”). The Adviser provides investment advisory, management and other services on a discretionary basis to private investment funds (each a “Fund”, “Client” or “Partnership”, and collectively, the “Funds”, “Clients” or “Partnerships”), for sophisticated, qualified investors (“Investors” or “Limited Partners”). The general partner or equivalent of each Fund is, or will be, an affiliate of the Adviser (each a “General Partner”). Each General Partner is, or will be, subject to the Investment Advisers Act of 1940, as amended (the “Advisers Act”) pursuant to the Adviser’s registration in accordance with SEC guidance. Lumos has access to a broad investment team with a cumulative 40-plus years

of experience working in the Human Capital Development (“HCD”) and technology sectors at leading firms in the private equity, venture capital, investment banking and management consulting industries. Lumos leverages an advisory board consisting of various senior executives, academic leaders and investment professionals; these individuals represent respected leaders in the HCD sector globally as well as senior investment professionals with areas of geographic focus and investment expertise that are complementary to the investment team and additive to the Fund’s investment strategy. Pursuant to each of the Fund’s offering memorandum (“Governing Documents”), the Firm will focus on identifying, capitalizing, and growing what it believes are the most promising companies in the HCD market. Advisory services are tailored to achieve the Clients’ investment objectives. The Firm has the authority to select which investments are suitable, without consultation with the Fund or its investors. The Firm does not participate in wrap fee programs. As of December 31, 2023, the Adviser manages approximately $244,269,311 in Client assets on a discretionary basis through the Funds.

LUMOS CAPITAL GROUP LLC

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Brochure Summary

Overview