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••••••••
Legal name L••••••••• F•••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Jun 30, 2023 · 7 filings
SEC status approved since Jul 31, 2023
RAUM
$756M
reported, Item 5.F
Discretionary
27%
of RAUM
Private clients
98%
$740M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$756M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$756M as of Jun 2, 2026
Mar 12, 2024$490M then
HNW client RAUM$712M as of Jun 2, 2026
Mar 12, 2024$463M then
State-registered IARs (5.B.3)1 as of Jun 2, 2026
Mar 12, 20241 then
Employees (5.A)1 as of Jun 2, 2026
Mar 12, 20241 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $756MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 132derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.8MderivedHNW RAUM over HNW clients
- Average account
- $2.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 27%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $99.2M, 102 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$712M94%
- Individuals$27.8M3.7%
- Charitable organizations$15.9M2.1%
- Individual clients
- 84reported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 337reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $99.2M for 102 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• A•••••• W•••••••Certified Financial Planner, Chartered Financial Analyst | Saint Petersburg, Fl | Nov 12, 2003 | 30 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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••••• S•••••• A•••••• · President And Ccocontrolsince 11/2003 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Sep 14, 2026HNW RAUM per HNW client of $14,831,617 against a peer median of $3,134,900 (1404 comparable advisers, 99.0th percentile, 7.7 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 99% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 2, 2026 to Sep 14, 2026
- Related adviser · false to unsetJun 2, 2026 to Sep 14, 2026
- Related bank · false to unsetJun 2, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetJun 2, 2026 to Sep 14, 2026
- Related insurance company · false to unsetJun 2, 2026 to Sep 14, 2026
- Succession · false to unsetJun 2, 2026 to Sep 14, 2026
- HQ city · LARGO to SAINT PETERSBURGFeb 26, 2026 to Jun 2, 2026
- Accounts · 300 to 337Mar 24, 2025 to Feb 26, 2026
- HNW clients · 44 to 48Mar 24, 2025 to Feb 26, 2026
- Individual clients · 72 to 84Mar 24, 2025 to Feb 26, 2026
- Assets in custody · $86.2M to $99.2MMar 24, 2025 to Feb 26, 2026
- Discretionary RAUM · $173M to $205MMar 24, 2025 to Feb 26, 2026
- HNW RAUM · $567M to $712MMar 24, 2025 to Feb 26, 2026
- Individual RAUM · $22.8M to $27.8MMar 24, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $431M to $550MMar 24, 2025 to Feb 26, 2026
- RAUM · $605M to $756MMar 24, 2025 to Feb 26, 2026
- Accounts · 276 to 300Mar 12, 2024 to Mar 24, 2025
- Charity clients · 1 to 2Mar 12, 2024 to Mar 24, 2025
- HNW clients · 38 to 44Mar 12, 2024 to Mar 24, 2025
- Individual clients · 56 to 72Mar 12, 2024 to Mar 24, 2025
- Assets in custody · unset to 86182963.0Mar 12, 2024 to Mar 24, 2025
- Custody of client assets · false to trueMar 12, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 1-10Mar 12, 2024 to Mar 24, 2025
- Discretionary RAUM · $135M to $173MMar 12, 2024 to Mar 24, 2025
- HNW RAUM · $463M to $567MMar 12, 2024 to Mar 24, 2025
- Individual RAUM · $17.5M to $22.8MMar 12, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $356M to $431MMar 12, 2024 to Mar 24, 2025
- RAUM · $490M to $605MMar 12, 2024 to Mar 24, 2025
- Accounts · 245 to 276Jul 11, 2023 to Mar 12, 2024
- Charity clients · unset to 1.0Jul 11, 2023 to Mar 12, 2024
- HNW clients · 31 to 38Jul 11, 2023 to Mar 12, 2024
- Individual clients · 40 to 56Jul 11, 2023 to Mar 12, 2024
- Assets in custody · 452963384.0 to unsetJul 11, 2023 to Mar 12, 2024
- Custody of client assets · true to falseJul 11, 2023 to Mar 12, 2024
- Financial planning clients · 1-10 to 11-25Jul 11, 2023 to Mar 12, 2024
- Discretionary RAUM · $116M to $135MJul 11, 2023 to Mar 12, 2024
- HNW RAUM · $428M to $463MJul 11, 2023 to Mar 12, 2024
- Individual RAUM · $24.8M to $17.5MJul 11, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $337M to $356MJul 11, 2023 to Mar 12, 2024
- RAUM · $453M to $490MJul 11, 2023 to Mar 12, 2024
Signals
1 dated events
- L••••••••• F•••••••• filed its initial SEC registration (Form ADV)Jun 30, 2023 · 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
- Website
- lighthousefinancial.inforeportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 727-490-5797reportedpublic record, Form ADV, Sep 14, 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
- $756Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026