Albert Lu is a registered investment advisor at Luma Financial, based in Carlsbad, CA, with 14 years of industry experience. Albert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 8 clients with $5.2M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 1.00% |
| $500K - $1.0M | 0.70% |
| $1M+ | 0.40% |
Fees are negotiable based on the size of the client’s portfolio, complexity of investment strategy, and types of holdings.
Fee Estimator
Location
Carlsbad, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Albert is the CEO, President, and Director of Sprott U.S. Media, Inc., spending nearly full-time preparing for and conducting interviews for a media company focused on natural resource investing. He also dedicates a few hours per week to marketing for Sprott Global Resource Investments Ltd, a broker-dealer.
Employment History
Current Registrations
Luma Financial
Previous Registrations
Sprott Asset Management USA INC.
Wb Wealth Management
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.