Thomas E. Knowlton

LUMINVEST WEALTH MANAGEMENT

Scottsdale, AZ

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CRD#: 1801597

Professional summary

Thomas Edward Knowlton, CFP®, who also goes by Tom E Knowlton, Tom Knowlton, is a registered financial advisor currently at LUMINVEST WEALTH MANAGEMENT LLC located in Scottsdale, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Thomas has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom E Knowlton | Tom Knowlton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Knowlton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2009

Experience

Current

March 29, 2024 - Present

LUMINVEST WEALTH MANAGEMENT LLC

RIA

CRD#: 326261

Scottsdale, AZ

Past

October 19, 2015 - April 3, 2024

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

May 26, 2006 - April 3, 2024

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

February 23, 1988 - March 7, 1989

NYLIFE SECURITIES LLC

CRD#: 5167

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LUMINVEST WEALTH MANAGEMENT LLC

LUMINVEST WEALTH MANAGEMENT LLC | OMNIA WEALTH MANAGEMENT LLC

CRD#: 326261 / SEC#: 801-128242

RIA

Registered Investment Advisory firm - (6/27/2023 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/8/2024)

IAR

Texas
(3/29/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 7/11/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/25/2006

General Securities Representative Examination

Current Firm

LUMINVEST WEALTH MANAGEMENT LLC

LUMINVEST WEALTH MANAGEMENT LLC | OMNIA WEALTH MANAGEMENT LLC

CRD#: 326261 / SEC#: 801-128242

RIA

Registered Investment Advisory firm - (6/27/2023 Approved)

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Contact information

Main Address

Scottsdale, AZ

Mailing Address

Phone number

(480) 300-0062

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (1/29/2025)

Regulatory assets under management

Total Number of Accounts	259
AUM (Assets Under Management)	$ 281,699,429

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas E. Knowlton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Edward Knowlton's CRS (Customer Relationship Summary).

Certified licenses

Experience

LUMINVEST WEALTH MANAGEMENT LLC

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

LUMINVEST WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/11/2006

SIE

Date: 10/1/2018

Series 7

Date: 5/25/2006

Current Firm

LUMINVEST WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LUMINVEST WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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