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LIGHTCAP FINANCIAL GROUP, LLC

SAN DIEGO, CA · CRD 334873 · IAPD ↗ · lightcapfinancial.com · 858-752-4443

$11.3MRegulatory AUM
1Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
120-Day ApprovalSEC status

Filing changes

60
December 2025 — LIGHTCAP FINANCIAL GROUP, LLC (SAN DIEGO, CA) left the SEC roster (was $11.3M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
65
July 2025 — LIGHTCAP FINANCIAL GROUP, LLC now reports custody of client assets ($229,325).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
95
March 2025 — LIGHTCAP FINANCIAL GROUP, LLC (SAN DIEGO, CA) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.