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••••••••• A••••••• S•••••••• I•••
Latest filing Feb 3, 2026
First filing on the tape Jan 27, 2021 · 14 filings
SEC status approved since Feb 26, 2021
RAUM
$115M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$112M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$115M
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
14 filings and snapshots on the tape
RAUM$115M as of Feb 3, 2026
Jan 31, 2022$76.0M then
HNW client RAUM$83.3M as of Feb 3, 2026
Jan 31, 2022$26.0M then
State-registered IARs (5.B.3)1 as of Feb 3, 2026
Jan 31, 20221 then
Employees (5.A)1 as of Feb 3, 2026
Jan 31, 20221 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 3, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 267derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $416,250derivedHNW RAUM over HNW clients
- Average account
- $427,509derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
- 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$83.3M72%
- Individuals$28.8M25%
- Corporations and businesses$3.0M2.6%
- Individual clients
- 67reported
- HNW clients
- 200reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 269reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••••• M•••••• R•••• | Harrison, Ny | Mar 16, 2021 | 25 y | 3 |
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
- J••••••• M•••••• R•••• from I••••••••• F•••••••• P•••••••Mar 16, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••• J•••••••• M• · Managing Member & Chief Compliance Officercontrolsince 01/2021 · 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
- HNW share shiftChange between filings · filing Feb 3, 2026HNW share of RAUM moved from 26.0% to 72.0% between the annual amendments of 2025-04-22 and 2026-02-03peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 230 to 269Apr 22, 2025 to Feb 3, 2026
- Charity clients · 2 to 0Apr 22, 2025 to Feb 3, 2026
- Corporate clients · 0 to 2Apr 22, 2025 to Feb 3, 2026
- HNW clients · 10 to 200Apr 22, 2025 to Feb 3, 2026
- Individual clients · 240 to 67Apr 22, 2025 to Feb 3, 2026
- Discretionary RAUM · $95.0M to $115MApr 22, 2025 to Feb 3, 2026
- HNW RAUM · $25.0M to $83.3MApr 22, 2025 to Feb 3, 2026
- Individual RAUM · $69.2M to $28.8MApr 22, 2025 to Feb 3, 2026
- RAUM · $95.0M to $115MApr 22, 2025 to Feb 3, 2026
- Financial planning clients · unset to Mar 3, 2025 to Apr 22, 2025
- Accounts · 218 to 230Jan 31, 2024 to Mar 3, 2025
- Charity clients · 0 to 2Jan 31, 2024 to Mar 3, 2025
- HNW clients · 49 to 10Jan 31, 2024 to Mar 3, 2025
- Individual clients · 69 to 240Jan 31, 2024 to Mar 3, 2025
- Discretionary RAUM · $77.0M to $95.0MJan 31, 2024 to Mar 3, 2025
- HNW RAUM · $37.0M to $25.0MJan 31, 2024 to Mar 3, 2025
- Individual RAUM · $40.0M to $69.2MJan 31, 2024 to Mar 3, 2025
- RAUM · $77.0M to $95.0MJan 31, 2024 to Mar 3, 2025
- Accounts · 216 to 218Aug 16, 2023 to Jan 31, 2024
- HNW clients · 60 to 49Aug 16, 2023 to Jan 31, 2024
- Individual clients · 40 to 69Aug 16, 2023 to Jan 31, 2024
- Discretionary RAUM · $70.0M to $77.0MAug 16, 2023 to Jan 31, 2024
- HNW RAUM · $35.0M to $37.0MAug 16, 2023 to Jan 31, 2024
- Individual RAUM · $35.0M to $40.0MAug 16, 2023 to Jan 31, 2024
- RAUM · $70.0M to $77.0MAug 16, 2023 to Jan 31, 2024
- Accounts · 202 to 216Jan 31, 2022 to Feb 3, 2023
- HNW clients · 10 to 60Jan 31, 2022 to Feb 3, 2023
- Individual clients · 150 to 40Jan 31, 2022 to Feb 3, 2023
- Discretionary RAUM · $76.0M to $70.0MJan 31, 2022 to Feb 3, 2023
- HNW RAUM · $26.0M to $35.0MJan 31, 2022 to Feb 3, 2023
- Individual RAUM · $50.0M to $35.0MJan 31, 2022 to Feb 3, 2023
- RAUM · $76.0M to $70.0MJan 31, 2022 to Feb 3, 2023
- Accounts · 184 to 202Jan 5, 2022 to Jan 31, 2022
- HNW clients · 15 to 10Jan 5, 2022 to Jan 31, 2022
- Individual clients · 100 to 150Jan 5, 2022 to Jan 31, 2022
- Discretionary RAUM · $72.0M to $76.0MJan 5, 2022 to Jan 31, 2022
- HNW RAUM · $20.0M to $26.0MJan 5, 2022 to Jan 31, 2022
- Individual RAUM · $52.0M to $50.0MJan 5, 2022 to Jan 31, 2022
- RAUM · $72.0M to $76.0MJan 5, 2022 to Jan 31, 2022
- Accounts · 0 to 184Apr 29, 2021 to May 17, 2021
Signals
1 dated events
- L••••••••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)Jan 27, 2021 · 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
- 914-747-4717reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- lightedwayadvisory.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-747-4717reportedpublic record, Form ADV, Feb 3, 2026
- Contact form
- lightedwayadvisory.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- lightedwayadvisory.com/our-teamreportedpublished 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026