Luxon Asset Management, LLC (Richmond)


Luxon Asset Management, LLC is a large advisory firm based in Richmond. It manages $395.58 million of regulatory assets for 1,468 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Alabama, Arizona, California, and 32 other states.

Luxon Asset Management provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Luxon Asset Management: assets under management

The assets under management (AUM) of Luxon Asset Management, LLC is $395.58 million. The firm's AUM has grown by 15% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $303.41 million in discretionary accounts and $92.17 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $207.53 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $15.36 million.

Investments

The firm invests in investment and business development companies the most. They account for 66% of the total AUM. The second-largest asset type is exchange traded securities, which make up 30% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Luxon Asset Management, LLC for their services and products based on a percentage of assets under management and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Luxon Asset Management serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Luxon Asset Management is individuals with 542 clients and $216.39 million of assets under management. Among the 6 most similar advisory firms, Luxon Asset Management has the 3rd highest percentage of individuals out of all clients.

The amount of regulatory assets under management is $274.81 million for 579 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Luxon Asset Management doesn't advise any private funds.

Careers at Luxon Asset Management, LLC

The company employs 5 people that are either part- or full-time employees. 80 percent of the employees work as investment advisers or researchers. 4 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Luxon Financial Llc Owner 1 May 2017 75% - 100% 20-0544286
Cary Street Partners Holdings Llc Owner 1 May 2017 75% - 100% 20-0544286
Kevin Lee Mitchell Chief financial officer 1 Jul 2017 Other 3085157
Polly White Cordle Chief compliance officer 1 Jul 2017 Other 2875017
Kevin Spence Chief compliance officer 1 Jan 2018 Other 3172600

Indirect Owners

The SEC currently registers 7 indirect owners.

Name Entity Date acquired Ownership Employer ID
Thomas Hogshead Tullidge Manager 1 Jul 2017 Other 2858022
Walter Donald Bayne Manager 1 Jul 2017 Other 4427332
Joseph Redmond Schmuckler Manager 1 Jul 2017 Other 1156472
Mark Mintford Gambill Owner 1 Jul 2017 Other 217179
Joseph Martin Brower Manager 1 Jul 2017 Other 2017346
Douglas Guy Stewart Manager 1 Jul 2017 25% - 50% 1478381
Anson Hill Beard Member 1 Sep 2017 Other 2481405

Based in Richmond

The principal office where Luxon Asset Management, LLC performs its advisory services is located at 901 East Byrd Street, Richmond, VA 23219, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 804-340-8100 or by fax 804-381-6055. The normal business hours are 8:30 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at luxonglobal.co.