DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
P•••• F•••••••• A••••••• I••
Latest filing Mar 2, 2026
First filing on the tape Mar 30, 2012 · 35 filings
SEC status approved since Jun 27, 1991
RAUM
$447M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$441M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$63.9M
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$447M as of Mar 2, 2026
Mar 30, 2012$97.4M then
HNW client RAUM$347M as of Mar 2, 2026
Jan 18, 2018$97.4M then
State-registered IARs (5.B.3)7 as of Mar 2, 2026
Mar 30, 20120 then
Employees (5.A)15 as of Mar 2, 2026
Apr 1, 20136 then
Private funds1 as of Mar 12, 2021
Mar 30, 20123 then
RAUM +15% over the last fiscal year+14% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $63.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $381,928derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.1derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $242M, 411 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$347M78%
- Individuals$93.4M21%
- Pension and profit-sharing plans$6.3M1.4%
- Charitable organizations$450,2060.1%
- Individual clients
- 255reported
- HNW clients
- 123reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,171reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $242M for 411 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••• P••••••••Certified Financial Planner | Tempe, Az | Jun 24, 2003 | 36 y | 2 |
| J••••••• S•••••• F•••••Certified Financial Planner | Colorado Springs, Co | Apr 13, 2017 | 13 y | 0 |
| J••••••• K•• A•• H••••••••Certified Financial Planner | Colorado Springs, Co | Sep 23, 2020 | 10 y | 0 |
| L••• A••• M•••••Certified Financial Planner | Colorado Springs, Co | Sep 23, 2022 | 14 y | 2 |
| S•••••• J••••••• R••• | Colorado Springs, Co | Sep 23, 2022 | 14 y | 3 |
| K••• W•••••• H••••••••• | Colorado Springs, Co | Aug 17, 2023 | 13 y | 1 |
| C•••••• F•••• K••••••• | Colorado Springs, Co | Jan 2, 2026 | 22 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K••• W•••••• H••••••••• from A••••••••• W••••• A••••••• L••Aug 17, 2023 · RIA to RIA
- J••• P•••• P•••••••• from F•••• A••••• A••••••• S•••••••• I•••Apr 18, 2023 · Other
- L••• A••• M••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- S•••••• J••••••• R••• from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 23, 2022 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C•••••••• I••••••••• R••••••• A•••••••• I•••Sep 20, 2022 · Broomfield, Co
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S••••••••• M•••••• F•••••• F•••• L••no longer reported | Hedge Fund | $8.9M | 7 | Apr 1, 2013 |
| P•••• ••• F•••• I••••• F•••• L•••no longer reported | Other Private Fund | $4.5M | 40 | Mar 30, 2012 |
| G•••••• L••• F•••• L••no longer reported | Real Estate Fund | $4.3M | 15 | Mar 30, 2012 |
| P•••• •• F•••• I••••• F•••• L••no longer reported | Other Private Fund | $2.2M | 43 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••• J•••••••• S•••••• · President/Chairmancontrolsince 07/2019 · owns 50% to 75%
- K•••••••• C••••••• F•••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- R•••• J•••••• N••••••• · Partnercontrolsince 10/2024 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Colorado Springs, Co · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Broomfield, CO2 employees
- Tempe, AZ1 employees
What changed
consecutive filings, newest first
- Accounts · 1,183 to 1,171Nov 5, 2025 to Mar 2, 2026
- HNW clients · 104 to 123Nov 5, 2025 to Mar 2, 2026
- Assets in custody · $101M to $242MNov 5, 2025 to Mar 2, 2026
- Discretionary RAUM · $388M to $447MNov 5, 2025 to Mar 2, 2026
- HNW RAUM · $285M to $347MNov 5, 2025 to Mar 2, 2026
- Individual RAUM · $96.7M to $93.4MNov 5, 2025 to Mar 2, 2026
- Pension RAUM · $5.4M to $6.3MNov 5, 2025 to Mar 2, 2026
- RAUM · $388M to $447MNov 5, 2025 to Mar 2, 2026
- Employees · 14 to 15Mar 10, 2025 to Nov 5, 2025
- Accounts · 1,185 to 1,183Nov 4, 2024 to Mar 10, 2025
- Charity clients · 5.0 to unsetNov 4, 2024 to Mar 10, 2025
- HNW clients · 100 to 104Nov 4, 2024 to Mar 10, 2025
- Individual clients · 276 to 255Nov 4, 2024 to Mar 10, 2025
- Assets in custody · $174M to $101MNov 4, 2024 to Mar 10, 2025
- Employees · 13 to 14Nov 4, 2024 to Mar 10, 2025
- Insurance-licensed employees · 1 to 2Nov 4, 2024 to Mar 10, 2025
- Financial planning clients · 51-100 to 51-100Nov 4, 2024 to Mar 10, 2025
- Discretionary RAUM · $357M to $388MNov 4, 2024 to Mar 10, 2025
- HNW RAUM · $257M to $285MNov 4, 2024 to Mar 10, 2025
- Individual RAUM · $92.7M to $96.7MNov 4, 2024 to Mar 10, 2025
- Pension RAUM · $4.7M to $5.4MNov 4, 2024 to Mar 10, 2025
- RAUM · $357M to $388MNov 4, 2024 to Mar 10, 2025
- Advisory employees · 8 to 7Mar 22, 2024 to Jul 19, 2024
- Employees · 14 to 13Mar 22, 2024 to Jul 19, 2024
- State-registered IARs · 8 to 7Mar 22, 2024 to Jul 19, 2024
- State-registered IARs · 6 to 8Apr 13, 2023 to Mar 22, 2024
- Accounts · 1,041 to 1,185Apr 13, 2023 to Mar 22, 2024
- Advisory employees · 6 to 8Apr 13, 2023 to Mar 22, 2024
- Charity clients · unset to 5.0Apr 13, 2023 to Mar 22, 2024
- HNW clients · 84 to 100Apr 13, 2023 to Mar 22, 2024
- Individual clients · 217 to 276Apr 13, 2023 to Mar 22, 2024
- Assets in custody · $84.5M to $174MApr 13, 2023 to Mar 22, 2024
- Employees · 11 to 14Apr 13, 2023 to Mar 22, 2024
- Insurance-licensed employees · 0 to 1Apr 13, 2023 to Mar 22, 2024
- Other offices · 1 to 2Apr 13, 2023 to Mar 22, 2024
- Discretionary RAUM · $302M to $357MApr 13, 2023 to Mar 22, 2024
- HNW RAUM · $220M to $257MApr 13, 2023 to Mar 22, 2024
- Individual RAUM · $82.1M to $92.7MApr 13, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $3.7M to $0Apr 13, 2023 to Mar 22, 2024
- Pension RAUM · $3.7M to $4.7MApr 13, 2023 to Mar 22, 2024
Signals
6 dated events
- Jack Bill Walton (Trustee) no longer on Schedule A of P•••• F•••••••• A••••••• I•• (listed 2024-09-23, absent 2024-11-04)Nov 4, 2024 · Control person left · inference
- N••••••• J••••• R••• (Partner) appeared on Schedule A of P•••• F•••••••• A••••••• I••Nov 4, 2024 · Control person joined · fact
- Stephen David Forbes (Chairman) no longer on Schedule A of P•••• F•••••••• A••••••• I•• (listed 2024-03-22, absent 2024-07-19)Jul 19, 2024 · Control person left · inference
- F•••• C•••••• K••••••• (Chief Compliance Officer) appeared on Schedule A of P•••• F•••••••• A••••••• I••Mar 14, 2023 · Control person joined · fact
- 2 advisors left C•••••••• I••••••••• R••••••• A•••••••• I••• (Broomfield, CO) for P•••• F•••••••• A••••••• I•• on the same daySep 20, 2022 · Team lift-out · derived
- Jack Bill Walton (Indirect Owner) appeared on Schedule A of P•••• F•••••••• A••••••• I••Aug 1, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 303-444-1818reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- lighthousefinancialllc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 719-636-9000reportedpublic record, Form ADV, Mar 2, 2026
- Contact form
- lighthousefinancialllc.com/contact-usreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $63.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
P•••• F•••••••• A••••••• I•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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