Li Lu

INCEPTIONR LLC

Lafayette, CA

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CRD#: 6466577

Professional summary

Li Lu, who also goes by Li Nmn Lu, is a registered financial advisor currently at INCEPTIONR LLC located in Lafayette, California.

Li is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. Li has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Li Nmn Lu

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 Li Lu's 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®

None

Experience

Current

August 16, 2021 - Present

INCEPTIONR LLC

RIA

CRD#: 310565

Lafayette, CA

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".

INCEPTIONR LLC

CRD#: 310565 / SEC#: 801-122052

RIA

Registered Investment Advisory firm - (8/10/2021 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

California
(8/16/2021)

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

IAR

Series 65

Date: 11/13/2020

Uniform Investment Adviser Law Examination

Current Firm

INCEPTIONR LLC

CRD#: 310565 / SEC#: 801-122052

RIA

Registered Investment Advisory firm - (8/10/2021 Approved)

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Contact information

Main Address

Lafayette, CA

Mailing Address

Phone number

(650) 799-2945

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A- INCEPTIONR LLC (3/22/2025)

Regulatory assets under management

Total Number of Accounts	2
AUM (Assets Under Management)	$ 951,216,984

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
California	ERA - Withdrawn	7/10/2021

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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Li Lu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Li Lu's CRS (Customer Relationship Summary).

Certified licenses

Experience

INCEPTIONR LLC

Primary Firm SEC Registration

INCEPTIONR LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/13/2020

Current Firm

INCEPTIONR LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

INCEPTIONR LLC

TRUST BUT VERIFY

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