Daniel Nicholas Keller

Employer firm

Luma Capital CRD 119576

$136M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• PROVIDE SERVICES TO OTHER INVESTMENT ADVISORS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2004 → Present
  Luma Capital Llc
  Naples, FL

Previous Registrations

• 2005-04-21 → 2014-12-31
  Luma Capital
  Naples, FL
• 2005-04-21 → 2006-12-31
  Luma Capital
  Naples, FL

Other Businesses

Mr. Keller acts as an accountant and advisory capacity for Aqualane Advisory, an international accounting and tax consulting firm. Aqualane is not an investment related business. The address is 1167 Third Street South, Naples, FL 34102. I am the director of it and spend maybe 24 hours per month on it during trading hours. My role is as a consultant to individuals and families on tax structuring and compliance Mr. Keller acts as the manager of LUMA Alternative Investments, the managing member of several private equity investment vehicles. The address is 1167 Third Street South, Naples FL. I am the managing member of it and spend maybe 8 hours per month on it during trading hours. For non-investment related activities, I act as the director for various family entities and holding companies. Most of this time is spent outside of normal trading hours. My role is to oversee the administration and management of the various companies. The addresses for most of these companies are 1167 Third Street South, Naples, FL 34102. The companies are Roundlaw LLC, Armatt Engineers, Mango Atlantic, Apricot Atlantic, Olive Atlantic, Grape Atlantic, Village Investments LLC, Cereal Investments Company, and FD Music.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-03-23
• S63 Uniform Securities Agent State Law Examination
  2002-05-16