Lighthorse Asset Management, LLC

CRD#145815
Investment Advisor Firm

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Overview

Lighthorse Asset Management, LLC operates as an advisory company based in Irvine, California. The firm controls $250.0 thousand in total assets across one client account. Lighthorse Asset Management, LLC has a small group of two employees, all of whom are financial advisors. Lighthorse Asset Management, LLC is not a registered broker-dealer, meaning the firm cannot buy and sell securities for its accounts and those of its customers and instead must go through a broker-dealer company to do so. Securities are tradable fiscal assets such as stocks, bonds and options.

Lighthorse Asset Management, LLC administers all of the firm's accounts in a discretionary manner. Discretionary management is a structure in which a portfolio manager makes transaction choices without needing the customer's authorization. The firm administers an average of $250,000 in assets for each client account. Under $100,000 of their investments for financial planning services were in securities, with under $100,000 placed in non-securities. The typical financial advisor at Lighthorse Asset Management, LLC manages fewer than one client account, making it one of the most individualized firms in the country.

The firm's central office is at 530 Technology Dr #100, Irvine, California 92618. The company is legally allowed to provide services to investors in the state of California.

Assets Under Management

$250.0 thousand

Number of Advisors

2

Disclosures

No

Office Location

530 Technology Dr #100
Irvine, CA 92618

Lighthorse Asset Management, LLC by the Numbers

Total Assets Under Management

$250.0 thousand

National Average: $3.7 billion
Total Number of Employees

2

National Average: 29
Total Number of Accounts

1

National Average: 2,073
Average Account Size

$250.0 thousand

National Average: $1.8 million

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Fee Structure

A financial advisor's fees are based on which services are offered. However, fee types billed by the company may include the following fee structures: asset-based or fixed. Wrap fee programs, or the practice of bundling services for a single fee, are not provided by the company.

Available

  • Offered by 74% of firms

    Percentage of Assets

    Show Explanation

    This fee, which is the most common fee type charged by advisors for portfolio management, is based on the amount of assets you have under management. Also referred to as an asset-based fee, this fee typically ranges from 0.50%-2.00% of AUM annually. You'll typically pay a lower rate the more assets you have under management.

  • Offered by 40% of firms

    Fixed

    Show Explanation

    Fixed fees are a one-time, lump sum charged for a specific service, like the creation of a financial plan without subsequent implementation. This can be useful if you only need advice for one specific purpose, rather than a long-term advisor. Fixed fees usually range from $1,000 to $3,000.

Unavailable

  • Find one of the 35% of firms that offer this fee type

    Hourly

    Show Explanation

    Like a lawyer, a financial advisor may charge you by the hour. This can be helpful if you are only looking for short-term or one-time advice. Rates typically range from $100-$300 per hour, depending on the complexity and level of services needed.

  • Find one of the 2% of firms that offer this fee type

    Commissions

    Show Explanation

    Occasionally, advisors earn commissions from selling financial products, such as securities or insurance policies, or making certain referrals or transactions. Advisors who earn commissions may be incentivized to make certain recommendations to clients in order to make a commission. Fee-only advisors do not earn commissions, while fee-based advisors may.

  • Find one of the 17% of firms that offer this fee type

    Performance-based

    Show Explanation

    Advisors only earn performance-based fees if a portfolio outperforms a defined benchmark. This fee may be calculated in a number of ways but most commonly is charged as a percentage of investment profits. Performance-based fees may incentivize advisors to make riskier decisions in order to generate higher returns.

  • Find one of the 1% of firms that offer this fee type

    Subscription

    Show Explanation

    Firms generally charge this fee for educational materials provided, such as a monthly magazine. This can be useful if you want to learn about investing or financial management on your own.

  • Find one of the 12% of firms that offer this fee type

    Other

    Show Explanation

    Firms can sometimes charge customers using non-traditional fee structures. See this firm's Form ADV for more details.

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Types of Clients

The firm caters to high net worth investors. Lighthorse Asset Management, LLC's biggest client is high net worth investors, though it also manages money for one high-net-worth individuals. The SEC defines a high-net-worth individual as someone who has at least $750,000 under management or a net worth of at least $1.50 million or who counts as a "qualified purchaser" (a standard met by having at least $5 million in investments). None of its clients are from outside of the U.S.

  • High-Net-Worth Individuals* - 100%
  • Other Individuals - 0%
  • Corporations - 0%
  • Charitable Organizations - 0%

* The U.S. Securities and Exchange Commission (SEC) defines a high-net-worth individual as someone who has at least $750,000 under management.

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Disclosures

Lighthorse Asset Management, LLC does not have any disclosures.

Please visit its Form ADV for more details.

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Financial Advisors at Lighthorse Asset Management, LLC

Michael Liu
Irvine, CA

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This content was compiled from the SEC and FINRA