{"url":"https://nivawealth.com/firms/luna-capital-management-307687","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/307687","regulatoryAum":116430229,"crd":"307687","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2494459","suffix":null,"lastName":"GAUDARIO","firstName":"RONAN","middleName":"CALCETA"},{"crd":"870666","suffix":null,"lastName":"NISSIM","firstName":"DAVID","middleName":"NOORIEL"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136576","legalName":"Luna Capital Management, LLC","displayName":"Luna Capital Management","slug":"luna-capital-management-307687","website":"https://lunacapm.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/307687/93f30a40447af04d-r1.webp","tone":"light","width":740,"height":200,"sourceUrl":"http://www.lunacapm.com","sourceLabel":"Luna Capital Management, LLC, website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"California limited liability company","fiscalYearEnd":"December","headquarters":{"street":"1799 Bayshore Highway, Suite 128a","city":"Burlingame","state":"CA","stateName":"California","country":"United States","postalCode":"94010"},"tradeNames":[],"registration":{"secApproved":"25 June 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":537174.4056603773,"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":1,"promoters":0},"aum":{"regulatory":116430229,"discretionary":113880973,"discretionaryAccounts":260,"nonDiscretionary":2549256,"nonDiscretionaryAccounts":6,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":170,"regulatoryAum":36773124},{"label":"High-net-worth individuals","clients":42,"regulatoryAum":77107850},{"label":"Pension and profit-sharing plans","clients":6,"regulatoryAum":2549255}],"feePrograms":[{"role":"other","program":"Financial Planning (Fixed Fee)","summary":"Fixed fees for longer-term financial planning or consulting projects range from $750 to $2,500 per project.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047467","versionId":1047467,"submittedOn":"2026-06-06","documentName":"LCM ADV PART 2A"},{"role":"other","program":"Financial Planning (Hourly)","summary":"Hourly financial planning fees range from $500 to $1,000 per hour, depending on the services provided and negotiated with the client.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047467","versionId":1047467,"submittedOn":"2026-06-06","documentName":"LCM ADV PART 2A"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T16:34:15.529803+00:00","documents":[{"name":"LCM ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047467","versionId":1047467,"submittedOn":"2026-06-06"}]},"custodians":[{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":113911978}],"custodyNote":"Luna Capital Management has custody of $9.03M in client assets for 36 clients.","otherCustodians":[],"leadership":[{"name":"Ronan Gaudario","title":"Managing Member / CCO","crd":"2494459"},{"name":"John Woo","title":"Member","crd":"6975118"},{"name":"Christine Woo","title":"Member","crd":"4789065"}],"ownership":[{"label":"Ronan Gaudario","detail":"Managing member / cco in the 50% to 75% ownership band and a control person, since March 2020."},{"label":"Christine Woo","detail":"Member in the 10% to 25% ownership band, since March 2020."},{"label":"John Woo","detail":"Member in the 10% to 25% ownership band, since March 2020."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1799 Bayshore Highway, Suite 128a","city":"Burlingame","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"415-513-5257","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":12},{"label":"Non-exchange-traded equity securities","percent":75},{"label":"Investment grade corporate bonds","percent":5},{"label":"Derivatives","percent":3},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"6 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/307687/PDF/307687.pdf","brochureDate":"6 June 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1047467","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Luna Capital Management have?","answer":"Luna Capital Management has 218 clients and manages $116 million for them, as of June 2026. They include 170 individual clients, 42 high-net-worth individuals, and 6 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 6 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Luna Capital Management offer?","answer":"Luna Capital Management provides financial planning, portfolio management for individuals and small businesses, and pension consulting.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Luna Capital Management use?","answer":"Luna Capital Management’s separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $114M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 6 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Luna Capital Management have?","answer":"Luna Capital Management has 2 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Luna Capital Management invest in?","answer":"At the end of its last fiscal year, Luna Capital Management’s separately managed accounts held 75% non-exchange-traded equities, 12% exchange-traded equities, 5% investment grade corporate bonds, 5% cash and equivalents and 3% derivatives.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Luna Capital Management?","answer":"Luna Capital Management’s direct owners are Ronan Gaudario (50% to 75%), Christine Woo (10% to 25%) and John Woo (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 6 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Luna Capital Management get paid?","answer":"Luna Capital Management is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Luna Capital Management?","answer":"Luna Capital Management’s main office is at 1799 Bayshore Highway, Suite 128a, Burlingame, CA 94010. Its phone number is 415-513-5257. Its website is lunacapm.com.","source":"Form ADV Part 1A, Item 1.F, filed 6 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}