Lucerna Capital Management LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
Lucerna Capital Management LLC is a newly formed, state-registered California investment adviser that focuses on individuals and high-net-worth households, including technology professionals and clients with equity compensation. The firm offers ongoing portfolio management for individual accounts, stand-alone financial planning, and an integrated wealth-management engagement that combines continuous planning with discretionary investment management.
The firm’s investment approach centers on a diversified, low‑cost core of index mutual funds and ETFs, with the option to implement tactical or active allocations and targeted strategies (including hedging or option strategies) to address concentrated employer stock and equity‑compensation issues. Lucerna conducts formal account reviews at least quarterly and makes financial planning available either as part of an ongoing managed relationship or as a separate engagement billed on fixed‑fee or hourly terms, with referrals to attorneys and tax professionals as needed.
Noteworthy features disclosed in the brochure include an outside business activity in residential real‑estate brokerage by a managing partner, with the firm describing that affiliation, the potential conflict of interest, and that clients are under no obligation to use those services. The firm also states it does not advise private funds or charge performance‑based fees, recommends an independent custodian for custody and trade execution, and, as a newly registered adviser, currently reports no assets under management.
Client services
Expertise
Occupation focus
Fee options
Fixed stand-alone financial planning fee typically ranging from $3,000 to $15,000
$0 - $1,000,000: 1.00% $1,000,000.01 - $3,000,000: 0.75% $3,000,000.01 - $5,000,000: 0.50% $5,000,000.01+: 0.35%
Hourly financial planning fee of $300 per hour
Account minimum: $5,000 minimum annual fee Minimum fee: Minimum annual fee of $5,000, assessed quarterly in arrears Fee-only: Stand-alone financial planning fees: fixed fee typically ranging from $3,000 to $15,000; hourly fee $300/hour
Main office
Dublin CA
Advisors at this office
2
Most active in
California
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Real estate agent
They facilitate real estate transactions and may earn commissions.
Is not active or affiliated with:
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Insurance agent
They sell insurance products and may earn commissions on those sales.
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Forms ADV
Advisors at this firm
Sudeep G
Series 65
Dublin, CA
Lucerna Capital Management LLC
Sudeep Goel is a financial advisor with Lucerna Capital Management LLC, holding a Series 65 registration and beginning his advisory career in 2026. He has been involved in residential real estate brokerage through Greenfield Realty since 2015. Lucerna Capital Management LLC serves individuals and high-net-worth households, including technology professionals with equity compensation. The firm offers portfolio management, financial planning, and integrated wealth management with a focus on diversified, low-cost index funds and ETFs, alongside tactical strategies to address concentrated stock positions.
Deepesh S
CFA®, Series 65
Dublin, CA
Lucerna Capital Management LLC
Deepesh Srivastava is a CFA® charterholder and holds a Series 65 license, currently serving as an advisor at Lucerna Capital Management LLC. He joined the firm in 2026 after a 12-year tenure at Nuveen, a TIAA company, and a brief career transition. Deepesh is based in Dublin, California. Lucerna Capital Management LLC is a California-registered investment adviser that serves individuals and high-net-worth households, including technology professionals with equity compensation. The firm employs a diversified, low-cost core investment approach supplemented by tactical strategies to address concentrated stock and equity compensation issues, offering both portfolio management and financial planning services.
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