{"url":"https://nivawealth.com/firms/mount-lucas-index-advisers-310820","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/310820","regulatoryAum":170299594,"crd":"310820","history":[{"filedOn":"2021-01-07","regulatoryAum":26373474,"clients":1,"employees":0,"offices":1},{"filedOn":"2022-03-30","regulatoryAum":31783221,"clients":1,"employees":0,"offices":1},{"filedOn":"2023-05-16","regulatoryAum":261425874,"clients":1,"employees":0,"offices":1},{"filedOn":"2024-03-18","regulatoryAum":260148605,"clients":1,"employees":0,"offices":1},{"filedOn":"2025-03-21","regulatoryAum":334271917,"clients":1,"employees":0,"offices":1},{"filedOn":"2026-03-30","regulatoryAum":170299594,"clients":1,"employees":0,"offices":1}],"secFileNumber":"801-119730","legalName":"Mount Lucas Index Advisers LLC","displayName":"Mount Lucas Index Advisers","slug":"mount-lucas-index-advisers-310820","website":null,"classification":{"segment":"registered_funds","segmentLabel":"Fund management","type":"fund_manager","typeLabel":"Mutual funds & ETFs","feeDisclosure":"payment_only"},"founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"405 South State Street","city":"Newtown","state":"PA","stateName":"Pennsylvania","country":"United States","postalCode":"18940"},"tradeNames":[],"registration":{"secApproved":"28 October 2020","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":0,"advisory":0,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"regulatory":170299594,"discretionary":170299594,"discretionaryAccounts":1,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":1},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":170299594}],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Mount Lucas Index Advisers does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Gregory Cox","title":"Chief Financial Officer and Chief Compliance Officer","crd":"6314524"},{"name":"David Aspell","title":"CIO Global Macro of the Managing Member","crd":"6473594"},{"name":"James Mehling","title":"Controller of Managing Member","crd":"830051"},{"name":"Gerald Prior III","title":"CIO Managed Futures, COO of Managing Member","crd":"5892835"},{"name":"Timothy Rudderow","title":"Chairman of Managing Member","crd":"4339951"}],"ownership":[{"label":"Mount Lucas Management LP","detail":"Member in the 75% or more ownership band and a control person, since August 2020."},{"label":"Oklahoma State University Foundation","detail":"Member in the 10% to 25% ownership band, since August 2020."},{"label":"MLM LLC","detail":"Indirect owner: general partner of Mount Lucas Management LP and a control person, since January 2011.","parent":"Mount Lucas Management LP"},{"label":"Roger Alcaly","detail":"Indirect owner: a member of mlm llc of MLM LLC in the 25% to 50% band and a control person, since January 2011.","parent":"MLM LLC"},{"label":"Timothy Rudderow","detail":"Indirect owner: a member of mlm llc of MLM LLC in the 25% to 50% band and a control person, since January 2011.","parent":"MLM LLC"},{"label":"Raymond IX","detail":"Indirect owner: a member of mlm llc of MLM LLC in the 25% to 50% band and a control person, since January 2011.","parent":"MLM LLC"},{"label":"Gerald Prior III","detail":"Indirect owner: a member of mlm llc of MLM LLC in the 25% to 50% band and a control person, since January 2022.","parent":"MLM LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"Pennsylvania","offices":1,"addresses":[{"street":"405 South State Street","city":"Newtown","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"267-759-3500","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies"],"financialPlanningClients":null,"assetMix":[],"privateFunds":0},"sources":{"adv1FilingDate":"30 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/310820/PDF/310820.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Mount Lucas Index Advisers have?","answer":"Mount Lucas Index Advisers has 1 client and manages $170 million for them, as of March 2026. They include 1 investment company.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Mount Lucas Index Advisers offer?","answer":"Mount Lucas Index Advisers provides portfolio management for investment companies.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Mount Lucas Index Advisers?","answer":"Mount Lucas Index Advisers is owned through a chain of holding companies by Roger Alcaly, Timothy Rudderow, Raymond IX and Gerald Prior III. Its direct owners are Mount Lucas Management LP (75% or more) and Oklahoma State University Foundation (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Mount Lucas Index Advisers get paid?","answer":"Mount Lucas Index Advisers is paid through a percentage of assets under management. 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 Mount Lucas Index Advisers?","answer":"Mount Lucas Index Advisers’ main office is at 405 South State Street, Newtown, PA 18940. Its phone number is 267-759-3500.","source":"Form ADV Part 1A, Item 1.F, filed 30 March 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."}