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RIA / WealthAdvisor27 years in industry

RICHARD MICHAEL LIGOTTI

Advisor at LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC

LAGUNA NIGUEL, CA

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Search this name across graphsid dfx:ria:f8ff7aa8-d454-fddc-97d6-e031568944f5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:22 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 26, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 23, 1998earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Oct 23, 1998
First registration: Sep 26, 2003
Dual registered: no
IAPD individual key: 3116658

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC	State registered	Jul 29, 2016	n/a	yes	LAGUNA NIGUEL, CA	Current employment
INDEPENDENT FINANCIAL GROUP, LLC	Bd affiliated wealth	Apr 27, 2010	Jul 18, 2016	no	SAN DIEGO, CA\|SAN DIEGO, CA\|LAGUNA NIGUEL, CA	Previous registration
AFA ADVISOR SERVICES LLC	n/a	Mar 1, 2006	Apr 27, 2010	no	LAGUNA NIGUEL, CA\|CALABASAS, CA	Previous registration
WILLIAM JORDAN INVESTMENTS, INC.	n/a	Sep 26, 2003	Sep 10, 2004	no	LAGURA HILLS, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INDEPENDENT FINANCIAL GROUP, LLC	LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLC	Jul 18, 2016	Jul 29, 2016	11	Firm change	Other
AFA ADVISOR SERVICES LLC	INDEPENDENT FINANCIAL GROUP, LLC	Apr 27, 2010	Apr 27, 2010	0	Firm change	Other
WILLIAM JORDAN INVESTMENTS, INC.	AFA ADVISOR SERVICES LLC	Sep 10, 2004	Mar 1, 2006	537	Firm change after gap	Other

Relationships

Registered with (4)

→ LAGUNA NIGUEL SUMMIT WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Jul 29, 2016 to presentfactForm ADV
→ INDEPENDENT FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Apr 27, 2010 to Jul 18, 2016factForm ADV
→ AFA ADVISOR SERVICES LLCRegistered adviserregistration: previous registration
Mar 1, 2006 to Apr 27, 2010factForm ADV
→ WILLIAM JORDAN INVESTMENTS, INC.Registered adviserregistration: previous registration
Sep 26, 2003 to Sep 10, 2004factForm ADV

Dated events

No dated event names this entity yet.