Last updated: April 2026
Regulatory status
Lumen Capital is not a registered investment adviser under the U.S. Investment Advisers Act of 1940 or under equivalent foreign legislation. The firm does not hold itself out as a fiduciary investment adviser to any counterparty and does not provide investment advice subject to the Advisers Act, the Brazilian Securities and Exchange Commission (CVM), or analogous regulatory regimes.
Lumen Capital provides commercial structuring, documentation, capital advisory, and execution support services in a non-regulated capacity. The firm is not a broker-dealer registered under the U.S. Securities Exchange Act of 1934, and does not engage in the public solicitation of securities. Engagement with Lumen Capital is bilateral and conducted with qualified counterparties only.
Where any specific engagement implicates regulated activity, Lumen Capital coordinates with qualified counsel in the relevant jurisdictions. Counterparties are responsible for confirming the regulatory treatment of any transaction in their own jurisdiction prior to execution.
Professional investor disclaimer
The information contained on this website is intended exclusively for use by qualified investors, family offices, institutional partners, and asset owners as defined under applicable jurisdictional frameworks. The content is not directed at, and is not intended for use by, retail investors or members of the general public.
By accessing this Site, you confirm that you are accessing it in a professional capacity and that you meet the qualified investor standards applicable in your jurisdiction.
No offer or solicitation
Nothing on this Site constitutes an offer to sell, a solicitation of an offer to buy, or a recommendation regarding any security, financial instrument, or investment product. Any offering by Lumen Capital is made exclusively through formal documentation provided directly to qualified counterparties on a confidential basis, and such offerings are subject to the terms and restrictions set forth in the relevant documentation.
Risk statement
All investments involve risk, including the possible loss of principal. The following considerations apply, without limitation:
- Market risk: Investment values may decline due to changes in market conditions, interest rates, credit spreads, or macroeconomic factors.
- Liquidity risk: Private market and structured credit investments may be illiquid and not readily transferable.
- Credit risk: Counterparty default or deterioration in creditworthiness may result in loss.
- Concentration risk: Strategies focused on specific sectors, geographies, or asset classes may be subject to higher volatility.
- Regulatory risk: Changes in applicable law or regulation may adversely affect investment outcomes.
- Currency risk: Cross-border investments may be exposed to fluctuations in exchange rates.
Past performance is not a reliable indicator of future results. Targeted or estimated returns referenced in any documentation are illustrative and not guaranteed.
Forward-looking statements
This Site may contain forward-looking statements relating to anticipated market conditions, strategy implementation, or expected outcomes. Such statements are based on current expectations and assumptions, and are subject to risks and uncertainties that may cause actual results to differ materially. Lumen Capital undertakes no obligation to update forward-looking statements.
Jurisdictional considerations
The information on this Site is not directed at any person located in any jurisdiction where its publication, availability, or use would be contrary to local law or regulation. Persons accessing the Site are responsible for complying with applicable laws in their jurisdiction. Without limitation:
- The information is not intended for distribution to the general public in the United States, the European Economic Area, the United Kingdom, or any other jurisdiction in which public solicitation requires registration that Lumen Capital has not obtained.
- Specific products and services may not be available to investors in all jurisdictions.
- Tax treatment of investment outcomes depends on individual circumstances and applicable law and may change.
Anti-money laundering and counterparty verification
Lumen Capital adheres to applicable anti-money laundering, counter-terrorism financing, and know-your-customer requirements. Counterparty onboarding includes professional verification, qualified investor confirmation, source-of-funds review, and ongoing monitoring as required by applicable regulation.
Conflicts of interest
Lumen Capital maintains policies designed to identify, manage, and disclose actual or potential conflicts of interest. Specific disclosures applicable to any engagement are provided in the relevant transaction documentation.
Confidentiality
Information shared by Lumen Capital with counterparties, whether through this Site or in direct correspondence, is confidential. Recipients are expected to treat such information with appropriate professional standards and not to disclose it without prior authorization.
No fiduciary duty through the Site
Use of this Site does not create a fiduciary, advisory, or contractual relationship between Lumen Capital and any visitor. Engagement with Lumen Capital occurs only through bilateral correspondence and execution of definitive documentation.
Updates
These disclosures may be updated from time to time. The current version is the one published on this Site as of the "Last updated" date above.
Contact
For inquiries concerning these disclosures or the regulatory framework applicable to a specific engagement, contact legal@lumencapitaladvisory.com.