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•• C•••••• M••••••••• L••
Latest filing Jun 2, 2026
First filing on the tape Feb 12, 2026 · 4 filings
SEC status approved since Feb 13, 2026
RAUM
$324M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$324M as of Jun 2, 2026
Feb 12, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 2, 2026
Feb 12, 20260 then
Employees (5.A)6 as of Jun 2, 2026
Feb 12, 20264 then
Private funds1 as of Jun 2, 2026
May 28, 20261 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $81.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $199M, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$324M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $199M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
- C•••• Y••••• · Deputy Chief Investment Officercontrolsince 09/2025 · owns 25% to 50%
- M•••••••• R••• · Chief Executive Officer And Chief Investment Officercontrolsince 09/2025 · 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.
What changed
consecutive filings, newest first
- Accounts · 0 to 4Mar 9, 2026 to May 28, 2026
- Advisory employees · 2 to 4Mar 9, 2026 to May 28, 2026
- Business name · O•• R•••• V••••••••• A•••••••• L•• to L•••• A•• C•••••• M••••••••• L••Mar 9, 2026 to May 28, 2026
- Pooled vehicle clients · unset to 4.0Mar 9, 2026 to May 28, 2026
- Assets in custody · unset to 199382090.0Mar 9, 2026 to May 28, 2026
- Custody of client assets · false to trueMar 9, 2026 to May 28, 2026
- Employees · 3 to 6Mar 9, 2026 to May 28, 2026
- HQ city · to GREENWICHMar 9, 2026 to May 28, 2026
- HQ state · to CTMar 9, 2026 to May 28, 2026
- Legal name · O•• R•••• V••••••••• A•••••••• L•• to L•••• A•• C•••••• M••••••••• L••Mar 9, 2026 to May 28, 2026
- Private funds · unset to 1Mar 9, 2026 to May 28, 2026
- Discretionary RAUM · $0 to $324MMar 9, 2026 to May 28, 2026
- Pooled vehicle RAUM · unset to 324051110.0Mar 9, 2026 to May 28, 2026
- RAUM · $0 to $324MMar 9, 2026 to May 28, 2026
- Related bank · false to trueMar 9, 2026 to May 28, 2026
- Employees · 4 to 3Feb 12, 2026 to Mar 9, 2026
- Related adviser · true to falseFeb 12, 2026 to Mar 9, 2026
- Related bank · true to falseFeb 12, 2026 to Mar 9, 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
- Firm profile
- linkedin.com/company/light-arc-capital-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- l•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 475-385-2289reportedpublic record, Form ADV, Jun 2, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026