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
L••••••••• F•••••••• A•••••••• I•••
Latest filing Mar 9, 2026
First filing on the tape Jun 27, 2013 · 26 filings
SEC status approved since Jul 5, 2013
RAUM
$1.1B
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
93%
$1.0B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$278M
derived; firm RAUM over IAPD count
Employees
9
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.1B as of Mar 9, 2026
Mar 1, 2014$298M then
HNW client RAUM$858M as of Mar 9, 2026
Feb 24, 2018$196M then
State-registered IARs (5.B.3)4 as of Mar 9, 2026
Mar 1, 20145 then
Employees (5.A)9 as of Mar 9, 2026
Mar 1, 20149 then
Private funds: no history
RAUM +28% over the last fiscal year+25% a year over threeIARs 4 to 4offices 0 to 1
Practice profile
derived from the filing of Mar 9, 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
- $278MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 107derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $450,075derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.6%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$858M77%
- Individuals$182M16%
- Charitable organizations$74.2M6.7%
- Individual clients
- 221reported
- HNW clients
- 208reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,475reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 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 |
|---|---|---|---|---|
| B•••••• G••• | Red Bank, Nj | Jan 22, 2021 | 17 y | 2 |
| S••••• T••••Certified Financial Planner | Red Bank, Nj | Jun 6, 2022 | 13 y | 0 |
| R••••• B•••• W••••Certified Financial Planner | Red Bank, Nj | Nov 7, 2022 | 27 y | 1 |
| L•••• J••••• R•••••• | Red Bank, Nj | Jul 10, 2026 | 23 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 25% of current headcount1 left over 36 months
Left, latest
- O•••••••• V••••••• to V••••••• W••••• M•••••••••Jul 31, 2026 · RIA to a state-registered adviser
- L•••• R••• C•••• to S•••• F•••••••• P•••••••Dec 31, 2020 · RIA to a state-registered adviser
- D••••• D•••••• M••••••• to W•••••• A•••••••May 10, 2019 · RIA to a state-registered adviser
- K•••• R•••••• T•••• to B••• B•••• F•••••••• A•••••••• L••Jun 4, 2018 · RIA to RIA
- F•••• T••••• C•••••• to B••• B•••• F•••••••• A•••••••• L••Jul 1, 2014 · Other
Joined, latest
- K•••• R•••••• T•••• from G•••••• S•••• W••••• S•••••••• L•••Aug 22, 2017 · Other
- D••••• D•••••• M••••••• from G•••••• S•••• W••••• S•••••••• L•••Apr 4, 2017 · Other
- B•••••• G••• from G•••••• S•••• W••••• S•••••••• L•••Jun 24, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••• B•••••• · Chief Compliance Officer/Chief Operating Officercontrolsince 01/2014 · owns 25% to 50%
- W••••• R•••••• B•••• · Presidentcontrolsince 05/1999 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Red Bank, Nj · principal | 4 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2,016 to 2,475Mar 29, 2025 to Mar 9, 2026
- Advisory employees · 6 to 7Mar 29, 2025 to Mar 9, 2026
- HNW clients · 182 to 208Mar 29, 2025 to Mar 9, 2026
- Individual clients · 213 to 221Mar 29, 2025 to Mar 9, 2026
- Other offices · 0 to 1Mar 29, 2025 to Mar 9, 2026
- Discretionary RAUM · $320M to $305MMar 29, 2025 to Mar 9, 2026
- HNW RAUM · $641M to $858MMar 29, 2025 to Mar 9, 2026
- Individual RAUM · $169M to $182MMar 29, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $550M to $809MMar 29, 2025 to Mar 9, 2026
- RAUM · $869M to $1.1BMar 29, 2025 to Mar 9, 2026
- Accounts · 2,043 to 2,016Oct 15, 2024 to Mar 29, 2025
- Advisory employees · 5 to 6Oct 15, 2024 to Mar 29, 2025
- Advisory activities · 5 to 4Oct 15, 2024 to Mar 29, 2025
- HNW clients · 154 to 182Oct 15, 2024 to Mar 29, 2025
- Individual clients · 227 to 213Oct 15, 2024 to Mar 29, 2025
- Financial planning clients · 251-500 to 251-500Oct 15, 2024 to Mar 29, 2025
- Discretionary RAUM · $203M to $320MOct 15, 2024 to Mar 29, 2025
- HNW RAUM · $527M to $641MOct 15, 2024 to Mar 29, 2025
- Individual RAUM · $146M to $169MOct 15, 2024 to Mar 29, 2025
- Non-discretionary RAUM · $510M to $550MOct 15, 2024 to Mar 29, 2025
- RAUM · $714M to $869MOct 15, 2024 to Mar 29, 2025
- Accounts · 1,898 to 2,043Feb 3, 2023 to Mar 18, 2024
- Charity clients · 1.0 to unsetFeb 3, 2023 to Mar 18, 2024
- HNW clients · 137 to 154Feb 3, 2023 to Mar 18, 2024
- Individual clients · 204 to 227Feb 3, 2023 to Mar 18, 2024
- Employees · 8 to 9Feb 3, 2023 to Mar 18, 2024
- State-registered IARs · 3 to 4Feb 3, 2023 to Mar 18, 2024
- Discretionary RAUM · $119M to $203MFeb 3, 2023 to Mar 18, 2024
- HNW RAUM · $422M to $527MFeb 3, 2023 to Mar 18, 2024
- Individual RAUM · $119M to $146MFeb 3, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $448M to $510MFeb 3, 2023 to Mar 18, 2024
- RAUM · $567M to $714MFeb 3, 2023 to Mar 18, 2024
- Accounts · 1,793 to 1,898Nov 8, 2022 to Feb 1, 2023
- Charity clients · unset to 1.0Nov 8, 2022 to Feb 1, 2023
- HNW clients · 122 to 137Nov 8, 2022 to Feb 1, 2023
- Individual clients · 198 to 204Nov 8, 2022 to Feb 1, 2023
- Discretionary RAUM · $91.3M to $119MNov 8, 2022 to Feb 1, 2023
- HNW RAUM · $452M to $422MNov 8, 2022 to Feb 1, 2023
- Individual RAUM · $135M to $119MNov 8, 2022 to Feb 1, 2023
- Non-discretionary RAUM · $523M to $448MNov 8, 2022 to Feb 1, 2023
Signals
5 dated events
- O•••••••• V••••••• left L••••••••• F•••••••• A•••••••• I••• for V••••••• W••••• M••••••••• (registered 2026-08-11)Jul 31, 2026 · Advisor changed firm · fact
- L••••••••• F•••••••• A•••••••• I••• reported RAUM $1.1B, up 28% from $869.2M (2025-03-29 to 2026-03-09)Mar 9, 2026 · RAUM change · derived
- L••••••••• F•••••••• A•••••••• I••• reported RAUM $713.8M, up 26% from $567.4M (2023-02-03 to 2024-03-18)Mar 18, 2024 · RAUM change · derived
- L••••••••• F•••••••• A•••••••• I••• reported RAUM $509.8M, up 28% from $399.2M (2021-01-22 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- L••••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Jun 27, 2013 · First SEC registration · 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 email
- info@lfadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 732-747-6697reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-886-0302reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/lighthouse-financial-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (732) 747-6680reportedpublic record, Form ADV, Mar 9, 2026
- Contact form
- lfadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- lfadvisors.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $278Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026