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

F•••• L•••• W••••• A•••••••• L••

Independent wealth managerLittle Falls, New JerseyCRD 291214SEC 801-135978websiteIAPD
Latest filing Sep 15, 2026
First filing on the tape Apr 13, 2026 · 2 filings
SEC status approved since May 20, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$110M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.1M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$116M as of Sep 15, 2026
Apr 13, 2026$116M then
HNW client RAUM$90.0M as of Sep 15, 2026
Apr 13, 2026$90.0M then
State-registered IARs (5.B.3)2 as of Sep 15, 2026
Apr 13, 20262 then
Employees (5.A)4 as of Sep 15, 2026
Apr 13, 20264 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 15, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$58.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
47derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$503,306derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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$90.0M77%
  • Individuals$20.0M17%
  • Corporations and businesses$6.3M5.4%
Individual clients
66reported
HNW clients
27reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
231reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• N••••••• K•••••Little Falls, NjApr 6, 201829 y3
J•••• M• K•••••Little Falls, NjMay 21, 201819 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • K•••••• J••••• M• · Chief Compliance Officer And Membercontrol
      since 05/2018 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Little Falls, Nj · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Financial planning clients · to unset
      Apr 13, 2026 to Sep 15, 2026
    • Related adviser · false to unset
      Apr 13, 2026 to Sep 15, 2026
    • Related bank · false to unset
      Apr 13, 2026 to Sep 15, 2026
    • Related broker-dealer · false to unset
      Apr 13, 2026 to Sep 15, 2026
    • Related insurance company · false to unset
      Apr 13, 2026 to Sep 15, 2026
    • Succession · false to unset
      Apr 13, 2026 to Sep 15, 2026
    Signals
    No event on the tape.
    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
    i•••@f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    973-435-4520reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/first-light-wealth-advisors-llcreportedpublic record, Form ADV, Sep 19, 2026
    Website
    f•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
    Principal office phone
    973-435-4520reportedpublic record, Form ADV, Sep 15, 2026
    Contact form
    f•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    f•••••••••.comreportedpublished 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
    $58.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026