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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
L••••••••• W••••• S••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Nov 2, 2018 · 29 filings
SEC status approved since Dec 3, 2018
RAUM
$844M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$844M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$70.4M
derived; firm RAUM over IAPD count
Employees
13
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$844M as of Mar 12, 2026
Mar 29, 2019$128M then
HNW client RAUM$440M as of Mar 12, 2026
Mar 29, 2019$106M then
State-registered IARs (5.B.3)13 as of Mar 12, 2026
Mar 29, 20198 then
Employees (5.A)13 as of Mar 12, 2026
Mar 29, 20198 then
Private funds: no history
RAUM +18% over the last fiscal year+23% a year over threeIARs 11 to 13
Practice profile
derived from the filing of Mar 12, 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
- $70.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $410,707derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -57%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $223,000reportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$440M52%
- Individuals$405M48%
- Individual clients
- 646reported
- HNW clients
- 220reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,056reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $223,000 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• J•••• B••••• | Gig Harbor, Wa | Feb 21, 2019 | 34 y | 5 |
| M•••• A••• H•••• | Gig Harbor, Wa | Sep 14, 2022 | 22 y | 2 |
| K•••••• J•• C••••••• | Gig Harbor, Wa | Sep 14, 2022 | 26 y | 4 |
| K•••• R•• C••••••• | Gig Harbor, Wa | Sep 14, 2022 | 27 y | 4 |
| G•••••• S•••• M•••••• | Gig Harbor, Wa | Dec 18, 2023 | 13 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- B••••• R• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 4, 2026 · Wirehouse to independent RIA
- M•••• A••• H•••• from W•••• F•••• A•••••••Sep 14, 2022 · Wirehouse to independent RIA
- K•••••• J•• C••••••• from W•••• F•••• A•••••••Sep 14, 2022 · Wirehouse to independent RIA
- K•••• R•• C••••••• from W•••• F•••• A•••••••Sep 14, 2022 · Wirehouse to independent RIA
- R••••• J•••• B••••• from S••••• M•••••••••Feb 21, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Sep 21, 2022 · Sumner, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• R•••••• J•••• · Membercontrolsince 01/2020 · owns 10% to 25%
- B•••••• G•••••• W•••••• · Membercontrolsince 08/2016 · owns 10% to 25%
- B••••••• B••••• B•••• · Membercontrolsince 08/2016 · owns 10% to 25%
- B••••••• B••••• W•••• · Membercontrolsince 08/2016 · owns 10% to 25%
- N••••• K•••••••• M•••• · Managing Member/Chief Compliance Officercontrolsince 08/2016 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list L••••••••• W••••• S••••••••• L•• as a related person
- 127145 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Gig Harbor, Wa · principal | 12 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 12, 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 $713,502,018 to $844,414,614, advisors 11 to 13, private clients 2034 to 866, offices 0 to 0 (2025-04-22 to 2026-03-12)peers: independent wealth managers, $500M to $1B (1,482)
- client count collapseChange between filings · filing Mar 12, 2026individual and HNW clients (Item 5.D) moved from 2,034.0 to 866.0 (-57.0%) between the annual amendments of 2025-04-22 and 2026-03-12; the peer median change was +5.0% (1216 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 1.1% percentile
What changed
consecutive filings, newest first
- Accounts · 2,034 to 2,056Feb 4, 2026 to Mar 12, 2026
- Advisory employees · 12 to 13Feb 4, 2026 to Mar 12, 2026
- HNW clients · 456 to 220Feb 4, 2026 to Mar 12, 2026
- Individual clients · 1,578 to 646Feb 4, 2026 to Mar 12, 2026
- Employees · 12 to 13Feb 4, 2026 to Mar 12, 2026
- State-registered IARs · 12 to 13Feb 4, 2026 to Mar 12, 2026
- Discretionary RAUM · $714M to $844MFeb 4, 2026 to Mar 12, 2026
- HNW RAUM · $374M to $440MFeb 4, 2026 to Mar 12, 2026
- Individual RAUM · $339M to $405MFeb 4, 2026 to Mar 12, 2026
- RAUM · $714M to $844MFeb 4, 2026 to Mar 12, 2026
- Advisory employees · 11 to 12Oct 14, 2025 to Feb 4, 2026
- Employees · 11 to 12Oct 14, 2025 to Feb 4, 2026
- Insurance-licensed employees · 7 to 8Oct 14, 2025 to Feb 4, 2026
- State-registered IARs · 11 to 12Oct 14, 2025 to Feb 4, 2026
- Financial planning clients · 101-250 to 101-250Jun 23, 2025 to Jul 21, 2025
- Wrap assets (manager) · unset to 0.0Jun 23, 2025 to Jul 21, 2025
- Wrap assets (sponsor) · unset to 223000.0Jun 23, 2025 to Jul 21, 2025
- Accounts · 1,825 to 2,034Oct 8, 2024 to Apr 22, 2025
- Individual clients · 1,369 to 1,578Oct 8, 2024 to Apr 22, 2025
- Discretionary RAUM · $637M to $714MOct 8, 2024 to Apr 22, 2025
- Individual RAUM · $263M to $339MOct 8, 2024 to Apr 22, 2025
- RAUM · $637M to $714MOct 8, 2024 to Apr 22, 2025
- Accounts · 1,567 to 1,825Mar 12, 2024 to Mar 27, 2024
- Advisory employees · 8 to 11Mar 12, 2024 to Mar 27, 2024
- BD registered reps · 3 to 1Mar 12, 2024 to Mar 27, 2024
- HNW clients · 391 to 456Mar 12, 2024 to Mar 27, 2024
- Individual clients · 1,176 to 1,369Mar 12, 2024 to Mar 27, 2024
- Commission compensation · true to falseMar 12, 2024 to Mar 27, 2024
- Employees · 8 to 11Mar 12, 2024 to Mar 27, 2024
- Insurance-licensed employees · 8 to 7Mar 12, 2024 to Mar 27, 2024
- Financial planning clients · 0 to 101-250Mar 12, 2024 to Mar 27, 2024
- State-registered IARs · 8 to 11Mar 12, 2024 to Mar 27, 2024
- Discretionary RAUM · $455M to $637MMar 12, 2024 to Mar 27, 2024
- HNW RAUM · $410M to $374MMar 12, 2024 to Mar 27, 2024
- Individual RAUM · $45.5M to $263MMar 12, 2024 to Mar 27, 2024
- RAUM · $455M to $637MMar 12, 2024 to Mar 27, 2024
- Accounts · 300 to 1,567Oct 3, 2022 to Mar 8, 2023
- HNW clients · 75 to 391Oct 3, 2022 to Mar 8, 2023
- Individual clients · 225 to 1,176Oct 3, 2022 to Mar 8, 2023
- Discretionary RAUM · $320M to $455MOct 3, 2022 to Mar 8, 2023
Signals
5 dated events
- L••••••••• W••••• S••••••••• L•• reported RAUM $636.6M, up 40% from $455.4M (2024-03-12 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- L••••••••• W••••• S••••••••• L•• reported RAUM $455.4M, up 42% from $320.3M (2022-10-03 to 2023-03-08)Mar 8, 2023 · RAUM change · derived
- 3 advisors left W•••• F•••• A••••••• (Sumner, WA) for L••••••••• W••••• S••••••••• L•• on the same daySep 21, 2022 · Team lift-out · derived
- James Ronald Barton (Member) appeared on Schedule A of L••••••••• W••••• S••••••••• L••Mar 25, 2020 · Control person joined · fact
- L••••••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Nov 2, 2018 · 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 phone
- 253-313-5828reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 253-948-3725reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 866-991-4269reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- lighthousegigharbor.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 253-948-3725reportedpublic record, Form ADV, Mar 12, 2026
- Contact form
- lighthousegigharbor.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- lighthousegigharbor.com/our-teamreportedpublished 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
- $70.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026