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
B••••• W••••• C••••••••• I•••
Latest filing Aug 18, 2026
First filing on the tape Jan 25, 2012 · 61 filings
SEC status approved since Jun 26, 2020
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$242M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$23.2M
derived; firm RAUM over IAPD count
Employees
19
15 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$278M as of Aug 18, 2026
Mar 21, 2012$50.0M then
HNW client RAUM$74.9M as of Aug 18, 2026
Mar 17, 2021$46.9M then
State-registered IARs (5.B.3)0 as of Aug 18, 2026
Mar 21, 20120 then
Employees (5.A)19 as of Aug 18, 2026
Feb 5, 20135 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 0 to 0offices 2 to 4
Practice profile
derived from the filing of Aug 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $23.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $244,518derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 2.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -52%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, otherreportedItem 5.G
- Wrap fee program
- $2.3MreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$168M60%
- High-net-worth individuals$74.9M27%
- Pension and profit-sharing plans$33.6M12%
- Charitable organizations$2.3M0.8%
- Individual clients
- 497reported
- HNW clients
- 25reported
- Pension plan clients
- 13reported
- Charitable clients
- 2reported
- Accounts
- 1,138reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $2.3M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• S•••••• L•••••Certified Financial Planner | Roanoke, Va | Jan 1, 2011 | 27 y | 2 |
| C•••••••• C• L•••••Certified Financial Planner | Roanoke, Va | May 31, 2012 | 19 y | 2 |
| K••••••• D••• J•••••• | Roanoke, Va | Sep 18, 2012 | 31 y | 0 |
| J•••• L•• M••••••• | Roanoke, Va | Apr 27, 2017 | 26 y | 1 |
| H•••••• A•• S•••••••••Chartered Financial Analyst | Lemont, Pa | Sep 1, 2017 | 19 y | 2 |
| M•••••• R••• S••••••••• | Roanoke, Va | Nov 10, 2017 | 10 y | 0 |
| D•••• W••••• B•••• | Roanoke, Va | Feb 18, 2022 | 10 y | 0 |
| K••• C•••••• H••••• | Hickory, Nc | Jul 21, 2022 | 17 y | 1 |
| C•••• P••••• C•••• | Beaver Falls, Pa | Aug 12, 2022 | 14 y | 0 |
| C•••••• M•••••• S•••• | State College, Pa | Jan 2, 2025 | 12 y | 0 |
| C••••• G•••••• C•••••• | Roanoke, Va | Jan 29, 2025 | 11 y | 0 |
| C•••• C•••••••• | Roanoke, Va | Nov 17, 2025 | 14 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount2 left over 36 months
Left, latest
- H••••• R•••• N•••• to W•••• R•••• P••••• W••••• M••••••••• L••Jul 9, 2026 · RIA to RIA
- J•• A••••• M•••••• to A••••••• F•••••••• P•••••••• I•••Sep 11, 2024 · RIA to a state-registered adviser
- S•••• W••••• L•••• to C••••••• F•••••••• D••••••• I•••Dec 31, 2022 · RIA to affiliated broker-dealer or bank
- T•••• L• H••••• to O•••••••• F•••••••• S••••••• L••Nov 29, 2017 · Other
- S••••• A•• Z••••••••• to O•••••••• F•••••••• S••••••• L••Nov 29, 2017 · Other
- L•••• S•••••• M••• to O•••••••• F•••••••• S••••••• L••Aug 29, 2017 · Other
- C••••• L•••• to F•••• I••••••••• C••••••••• S•••••••May 15, 2014 · Other
- T•••• L•••• G•••• to L•• F•••••••• L••Sep 14, 2012 · Other
Joined, latest
- C•••• C•••••••• from C•••••• G•••• • C• I••Nov 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- J•• A••••• M•••••• from A••••••• F•••••••• P•••••••• I•••Jan 4, 2024 · Other
- K••• C•••••• H••••• from H••••• G••••• F••••••••• L••Jul 21, 2022 · Other
- S•••• W••••• L•••• from T••••••••• C••••••• I•••Jan 10, 2022 · RIA to RIA
- H•••••• A•• S••••••••• from V•••• C••••••• I•••Sep 1, 2017 · Other
- L•••• S•••••• M••• from R••••• W• B•••• • C•• I•••••••••Aug 4, 2017 · Other
- J•••• L•• M••••••• from B••• I••••••••• S•••••••• I•••Apr 27, 2017 · Other
- T•••• L• H••••• from S••••••••• A••••••• G••••• L••Nov 3, 2014 · Other
- S••••• A•• Z••••••••• from W•••• F•••• A•••••••Jul 9, 2013 · Other
- C••••• L•••• from U•• F•••••••• S••••••• I•••Apr 22, 2013 · Other
- C•••••••• C• L••••• from N••• F•••••••• G••••• I•••May 31, 2012 · Other
- T•••• L•••• G•••• from N••• F•••••••• G••••• I•••May 26, 2011 · Other
- R•••••• S•••••• L••••• from Q•• F•••••••• L••Jan 1, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for O•••••••• F•••••••• S••••••• L••Nov 29, 2017 · Roanoke, Va
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• R••••••• S•••••• · Chief Executive Officercontrolsince 08/2010 · owns 75% or more
- P••••••• J••••• D•••• · Director Of Advisory Servicescontrolsince 10/2022 · owns less than 5%
- S••••••••• H••••••• A•• · Chief Investment Officercontrolsince 09/2017 · owns less than 5%
- Z•••••• K••••• R•••••• · Chief Compliance Officercontrolsince 05/2022 · owns less than 5%
- L•••••• C••••••••• C• · Owner/Presidentsince 08/2012 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Roanoke, Va · principal | 11 | 1 | 1 | ||
| Lemont, Pa | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- State College, PA2 employees
- Winter Garden, FL2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 20, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $236,888,006 to $278,261,194, advisors 0 to 0, private clients 1080 to 522, offices 2 to 4 (2025-03-26 to 2026-03-20)peers: independent wealth managers, $100M to $500M (5,676)
- client count collapseChange between filings · filing Mar 20, 2026individual and HNW clients (Item 5.D) moved from 1,080.0 to 522.0 (-52.0%) between the annual amendments of 2025-03-26 and 2026-03-20; the peer median change was +3.0% (3309 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.5% percentile
What changed
consecutive filings, newest first
- Accounts · 1,097 to 1,138Nov 17, 2025 to Mar 20, 2026
- Corporate clients · 2 to 0Nov 17, 2025 to Mar 20, 2026
- HNW clients · 80 to 25Nov 17, 2025 to Mar 20, 2026
- Individual clients · 1,000 to 497Nov 17, 2025 to Mar 20, 2026
- Other offices · 2 to 4Nov 17, 2025 to Mar 20, 2026
- Discretionary RAUM · $237M to $278MNov 17, 2025 to Mar 20, 2026
- HNW RAUM · $69.1M to $74.9MNov 17, 2025 to Mar 20, 2026
- Individual RAUM · $137M to $168MNov 17, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $166,058 to $0Nov 17, 2025 to Mar 20, 2026
- Pension RAUM · $27.9M to $33.6MNov 17, 2025 to Mar 20, 2026
- RAUM · $237M to $278MNov 17, 2025 to Mar 20, 2026
- Wrap assets (manager) · unset to 0.0Nov 17, 2025 to Mar 20, 2026
- Wrap assets (sponsor) · unset to 2340160.0Nov 17, 2025 to Mar 20, 2026
- Accounts · 1,039 to 1,097Sep 13, 2024 to Mar 26, 2025
- Advisory employees · 12 to 15Sep 13, 2024 to Mar 26, 2025
- Charity clients · 3 to 2Sep 13, 2024 to Mar 26, 2025
- HNW clients · 24 to 80Sep 13, 2024 to Mar 26, 2025
- Individual clients · 449 to 1,000Sep 13, 2024 to Mar 26, 2025
- Employees · 15 to 19Sep 13, 2024 to Mar 26, 2025
- Financial planning clients · 251-500 to 251-500Sep 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $204M to $237MSep 13, 2024 to Mar 26, 2025
- HNW RAUM · $63.2M to $69.1MSep 13, 2024 to Mar 26, 2025
- Individual RAUM · $113M to $137MSep 13, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $39,151 to $166,058Sep 13, 2024 to Mar 26, 2025
- Pension RAUM · $19.5M to $27.9MSep 13, 2024 to Mar 26, 2025
- RAUM · $204M to $237MSep 13, 2024 to Mar 26, 2025
- Accounts · 977 to 1,039Aug 26, 2023 to Feb 28, 2024
- Advisory employees · 10 to 12Aug 26, 2023 to Feb 28, 2024
- Charity clients · 0 to 3Aug 26, 2023 to Feb 28, 2024
- Corporate clients · 11 to 2Aug 26, 2023 to Feb 28, 2024
- HNW clients · 22 to 24Aug 26, 2023 to Feb 28, 2024
- Individual clients · 436 to 449Aug 26, 2023 to Feb 28, 2024
- Pension plan clients · 0 to 13Aug 26, 2023 to Feb 28, 2024
- Financial planning clients · 101-250 to 251-500Aug 26, 2023 to Feb 28, 2024
- Discretionary RAUM · $184M to $204MAug 26, 2023 to Feb 28, 2024
- HNW RAUM · $55.4M to $63.2MAug 26, 2023 to Feb 28, 2024
- Individual RAUM · $97.6M to $113MAug 26, 2023 to Feb 28, 2024
- Non-discretionary RAUM · $0 to $39,151Aug 26, 2023 to Feb 28, 2024
- Pension RAUM · $0 to $19.5MAug 26, 2023 to Feb 28, 2024
- RAUM · $184M to $204MAug 26, 2023 to Feb 28, 2024
Signals
7 dated events
- H••••• R•••• N•••• left B••••• W••••• C••••••••• I••• for W•••• R•••• P••••• W••••• M••••••••• L•• (registered 2026-08-07)Jul 9, 2026 · Advisor changed firm · fact
- J•• A••••• M•••••• left B••••• W••••• C••••••••• I••• for A••••••• F•••••••• P•••••••• I••• (registered 2024-09-27)Sep 11, 2024 · Advisor changed firm · fact
- Ann Hillary S••••••••• (Chief Investment Officer) appeared on Schedule A of B••••• W••••• C••••••••• I•••Feb 16, 2023 · Control person joined · fact
- David Jacob Preston (Director Of Advisory Services) appeared on Schedule A of B••••• W••••• C••••••••• I•••Feb 16, 2023 · Control person joined · fact
- S•••• W••••• L•••• left B••••• W••••• C••••••••• I••• for C••••••• F•••••••• D••••••• I••• (registered 2022-12-05)Dec 31, 2022 · Advisor changed firm · fact
- Richard Kevin Zemann (Chief Compliance Officer) appeared on Schedule A of B••••• W••••• C••••••••• I•••May 5, 2022 · Control person joined · fact
- B••••• W••••• C••••••••• I••• filed its initial SEC registration (Form ADV)May 26, 2020 · 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@beaconwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 540-345-3891reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-971-3687reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/lightpoint-portfolio-solutionsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/beacon-wealth-consultants-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.B•••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 540-345-3891reportedpublic record, Form ADV, Aug 18, 2026
- Contact form
- beaconwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $23.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026