LI
Lument Investment Management, Llc
SEC-registered
Private Fund Manager · Mid-sized ($1B–$10B)
CRD 306487
· SEC file 801-117782
· New York, NY
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ADV data as of Jun 29, 2026
- Regulatory AUM
- $1.9B
- Discretionary
- $1.2B
- Clients
- 1
- Avg AUM / client
- $1.9B
- Accounts
- 2
- Employees
- 447
AUM over time
$707M
$2.7B
Mar 2020
Mar 2026
Annual snapshots from Form ADV filings · as of Jun 29, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 1 | $1.2B | 62.2% |
| Other | Fewer than 5 clients | $731M | 37.8% |
People (3)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Briggs, James, Anthony | Chief Accounting Officer | Jan 2020 (7y) | Less than 5% | |
| Flynn, James, Peter | Chief Executive Officer | Jan 2020 (7y) | Less than 5% | |
| Halickman, Michele, Elissa | Chief Compliance Officer | Oct 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Lument Real Estate Capital Holdings, Llc | Sole Member | Oct 2019 | A | 75% or more |
| Orec Holdings Llc | Majority Shareholder | Dec 2018 | B | ≈ 56.25% – 100% via Lument Real Estate Capital Holdings, Llc |
| Ocu Commercial Mortgage Servicing, Llc | Majority Shareholder | Dec 2018 | B | ≈ 42.19% – 100% via Orec Holdings Llc |
| Orix Corporation Usa | Majority Shareholder | Jul 1999 | B | ≈ 13.35% – 100% via Orix Capital Markets, Llc |
| Orix Corporation | Majority Shareholder | Aug 1981 | B | ≈ 10.01% – 100% via Orix Corporation Usa |
| Ocu Equity Holdings, Llc | Majority Shareholder | May 2010 | B | ≈ 31.64% – 100% via Ocu Commercial Mortgage Servicing, Llc |
| Ocu Opco Holdings, Llc | Majority Shareholder | Sep 2014 | B | ≈ 23.73% – 100% via Ocu Equity Holdings, Llc |
| Orix Capital Markets, Llc | Majority Shareholder | Sep 2015 | B | ≈ 17.8% – 100% via Ocu Opco Holdings, Llc |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Orec Holdings Llc: 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Ocu Commercial Mortgage Servicing, Llc: 75% – 100% of Orec Holdings Llc × 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Orix Corporation Usa: 75% – 100% of Orix Capital Markets, Llc × 75% – 100% of Ocu Opco Holdings, Llc × 75% – 100% of Ocu Equity Holdings, Llc × 75% – 100% of Ocu Commercial Mortgage Servicing, Llc × 75% – 100% of Orec Holdings Llc × 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 13.35% – 100% of the firm
- Orix Corporation: 75% – 100% of Orix Corporation Usa × 75% – 100% of Orix Capital Markets, Llc × 75% – 100% of Ocu Opco Holdings, Llc × 75% – 100% of Ocu Equity Holdings, Llc × 75% – 100% of Ocu Commercial Mortgage Servicing, Llc × 75% – 100% of Orec Holdings Llc × 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 10.01% – 100% of the firm
- Ocu Equity Holdings, Llc: 75% – 100% of Ocu Commercial Mortgage Servicing, Llc × 75% – 100% of Orec Holdings Llc × 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Ocu Opco Holdings, Llc: 75% – 100% of Ocu Equity Holdings, Llc × 75% – 100% of Ocu Commercial Mortgage Servicing, Llc × 75% – 100% of Orec Holdings Llc × 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 23.73% – 100% of the firm
- Orix Capital Markets, Llc: 75% – 100% of Ocu Opco Holdings, Llc × 75% – 100% of Ocu Equity Holdings, Llc × 75% – 100% of Ocu Commercial Mortgage Servicing, Llc × 75% – 100% of Orec Holdings Llc × 75% – 100% of Lument Real Estate Capital Holdings, Llc × 75% – 100% direct ≈ 17.8% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/29/2026 | 1.17 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for pooled investment vehicles
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 29, 2026.
View current Form ADV (SEC/IAPD) ↗