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.
SEC-registered adviser
Lighthouse Financial Services Inc
Latest filing Jan 22, 2026
First filing on the tape Apr 4, 2012 · 44 filings
SEC status approved since Sep 2, 1988
RAUM
$473M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$465M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$473M as of Jan 22, 2026
Apr 4, 2012$90.3M then
HNW client RAUM$350M as of Jan 22, 2026
Mar 29, 2018$124M then
State-registered IARs (5.B.3)5 as of Jan 22, 2026
Apr 1, 20130 then
Employees (5.A)6 as of Jan 22, 2026
Apr 1, 20134 then
Private funds: no history
RAUM +9.9% over the last fiscal year+10% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jan 22, 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
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 115derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.8derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $473M, 461 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$350M74%
- Individuals$115M24%
- Corporations and businesses$5.2M1.1%
- Pension and profit-sharing plans$2.1M0.4%
- Charitable organizations$760,8660.2%
- Individual clients
- 299reported
- HNW clients
- 159reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 461reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $473M for 461 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert George Mcdaniel | Brea, Ca | Nov 4, 1998 | 28 y | 0 |
| Michael Robert VerityChartered Financial Analyst | Brea, Ca | Nov 8, 2010 | 16 y | 0 |
| Jayce Alan Lowe | Brea, Ca | Jan 5, 2021 | 12 y | 2 |
| Christopher Brian Soukup | Brea, Ca | Jan 26, 2021 | 18 y | 6 |
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
- Kyle Ray to Argosy Wealth ManagementFeb 17, 2018 · Other
- Natalie Young to Reilly Financial AdvisorsDec 21, 2016 · Other
- Ryan Lewis Hook to Creative PlanningDec 23, 2015 · Other
- Eric Edward Swanson to Reilly Financial AdvisorsSep 17, 2015 · Other
Joined, latest
- Christopher Brian Soukup from Td Ameritrade, Inc.Jan 26, 2021 · Other
- Jayce Alan Lowe from Next Financial Group, Inc.Jan 5, 2021 · Other
- Kyle Ray from J.P. Morgan Securities LLCFeb 13, 2017 · Other
- Natalie Young from Mercer Global Advisors Inc.Jun 2, 2016 · Other
- Ryan Lewis Hook from Check Capital Management IncSep 22, 2015 · Other
- Eric Edward Swanson from Mercer Global Advisors Inc.Jul 8, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Robert Mcdaniel · President, Coo, & Ccocontrolsince 02/2000 · owns 75% or more
- Robert Michael Verity · Vice President & Chief Investment Officercontrolsince 07/2013 · 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 |
|---|---|---|---|---|---|
| Brea, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 454 to 461Jul 7, 2025 to Jan 22, 2026
- HNW clients · 152 to 159Jul 7, 2025 to Jan 22, 2026
- Individual clients · 300 to 299Jul 7, 2025 to Jan 22, 2026
- Pension plan clients · 0 to 1Jul 7, 2025 to Jan 22, 2026
- Assets in custody · $430M to $473MJul 7, 2025 to Jan 22, 2026
- Employees · 7 to 6Jul 7, 2025 to Jan 22, 2026
- Discretionary RAUM · $430M to $473MJul 7, 2025 to Jan 22, 2026
- HNW RAUM · $310M to $350MJul 7, 2025 to Jan 22, 2026
- Individual RAUM · $114M to $115MJul 7, 2025 to Jan 22, 2026
- Pension RAUM · $0 to $2.1MJul 7, 2025 to Jan 22, 2026
- RAUM · $430M to $473MJul 7, 2025 to Jan 22, 2026
- Financial planning clients · 26-50 to 26-50Jan 21, 2025 to Jul 7, 2025
- Accounts · 1,072 to 454Jan 31, 2024 to Jan 21, 2025
- HNW clients · 124 to 152Jan 31, 2024 to Jan 21, 2025
- Individual clients · 329 to 300Jan 31, 2024 to Jan 21, 2025
- Assets in custody · $387M to $430MJan 31, 2024 to Jan 21, 2025
- Financial planning clients · 51-100 to 26-50Jan 31, 2024 to Jan 21, 2025
- Discretionary RAUM · $387M to $430MJan 31, 2024 to Jan 21, 2025
- HNW RAUM · $253M to $310MJan 31, 2024 to Jan 21, 2025
- Individual RAUM · $131M to $114MJan 31, 2024 to Jan 21, 2025
- RAUM · $387M to $430MJan 31, 2024 to Jan 21, 2025
- Accounts · 1,064 to 1,072Jan 2, 2024 to Jan 31, 2024
- Individual clients · 335 to 329Jan 2, 2024 to Jan 31, 2024
- Assets in custody · $353M to $387MJan 2, 2024 to Jan 31, 2024
- Financial planning clients · 1-10 to 51-100Jan 2, 2024 to Jan 31, 2024
- Discretionary RAUM · $353M to $387MJan 2, 2024 to Jan 31, 2024
- HNW RAUM · $234M to $253MJan 2, 2024 to Jan 31, 2024
- Individual RAUM · $116M to $131MJan 2, 2024 to Jan 31, 2024
- Non-discretionary RAUM · $176,980 to $0Jan 2, 2024 to Jan 31, 2024
- RAUM · $353M to $387MJan 2, 2024 to Jan 31, 2024
- Employees · 8 to 7Feb 9, 2023 to Jan 2, 2024
- Other offices · 5 to 4Feb 9, 2023 to Jan 2, 2024
- Accounts · 1,050 to 1,064Feb 28, 2022 to Feb 9, 2023
- HNW clients · 120 to 124Feb 28, 2022 to Feb 9, 2023
- Individual clients · 331 to 335Feb 28, 2022 to Feb 9, 2023
- Assets in custody · $0 to $353MFeb 28, 2022 to Feb 9, 2023
- Employees · 9 to 8Feb 28, 2022 to Feb 9, 2023
- Other offices · 0 to 5Feb 28, 2022 to Feb 9, 2023
- Discretionary RAUM · $424M to $353MFeb 28, 2022 to Feb 9, 2023
- HNW RAUM · $272M to $234MFeb 28, 2022 to Feb 9, 2023
Signals
2 dated events
- Lighthouse Financial Services Inc reported 5 offices beyond its principal office, up from 0 (2022-02-28 to 2023-02-09)Feb 9, 2023 · Office count change · derived
- Dale George Mcdaniel (Chief Executive Officer And Cco) no longer on Schedule A of Lighthouse Financial Services Inc (listed 2020-08-26, absent 2020-09-17)Sep 17, 2020 · Control person left · inference
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
- 714-572-8900reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/LIGHTHOUSE-FINANCIAL-SERVICES-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- LIGHTHOUSELINK.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-572-8900reportedpublic record, Form ADV, Jan 22, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026