Guidelight Financial

What Guidelight Financial does

Guidelight Financial is an independent, privately held financial advisory firm headquartered at 50 Washington Street, 4th Floor, in the SONO district of Norwalk, Connecticut, with a regional office in Tampa, Florida. Co-founded by Felix Serrano (CEO, JD, CFP, AIF) and Steven Ortega (COO, AIF), and joined in 2021 by Senior Vice President Gustavo Bustamante, the firm operates with a 4-person named team consisting of three wealth advisors and one client associate. It serves affluent individuals and families, corporate executives, business owners, and 401(k) plan participants in Connecticut, Florida, and adjacent states via registrations in CT, FL, MI, NY, PA, TX, and VA.

The firm's core offerings are Personal Wealth Management (holistic, plan-driven financial planning across asset allocation, retirement, estate, tax, insurance, and elder care), Corporate Retirement Solutions (business 401(k) plan design, administration, and fiduciary oversight), and 401(k) Participant Advisory. These services are delivered through a four-step process — data collection and goal establishment, plan design and implementation, ongoing monitoring, and periodic revision — supported by a client-facing portal stack branded 'My Guidelight' that integrates eMoney Advisor (consolidated financial view), Right Capital (interactive planning), and account access via NETXInvestor (Pershing custody) and SEI Connect (SEI custody). The firm does not develop proprietary technology; the technology stack comprises industry-standard third-party advisory, planning, and custodial platforms.

Guidelight generates revenue primarily through fee-based advisory arrangements, with securities offered through Cambridge Investment Research, Inc. (Broker/Dealer, FINRA/SIPC member) and advisory services offered through Cambridge Investment Research Advisors, Inc. — the firm is not affiliated with Cambridge. Pricing is not publicly disclosed and is set per-client through advisory agreements, consistent with a percentage-of-AUM or flat-fee model. Customer acquisition is relationship-driven, combining an extensive content marketing engine (50+ educational videos, 40+ financial calculators, topical articles) with referrals, community involvement via the Norwalk Redevelopment Agency and Greater Norwalk Chamber of Commerce, and the credibility signal of FINRA BrokerCheck verification on the firm website.

Name

Guidelight Financial

Legal name

Guidelight Financial

Website

https://guidelightfinancial.com

Company type

Private

Founded year

2011

Operating status

Operating

Headcount range

1–10 employees

Short description

Guidelight Financial is an independent RIA in Norwalk, CT with a Tampa, FL office, providing holistic personal wealth management and corporate 401(k) plan services to affluent individuals, families, executives, and small business owners across seven U.S. states.

Ownership category

akta.pro rank

Product category

Wealth Management & Financial Advisory

NAICS

Portfolio Management and Investment Advice (523940)

SIC

Investment Advice (6282)

akta.pro primary industry

Financial Planning–Led RIAs (FSAAACAB)

akta.pro secondary industries

Comprehensive Financial Planning (FSAEAAAA), Financial Planning & Goals-Based Advice (Mass Affluent) (FSAAAAAF), Estate & Legacy Planning Advisory (FSAEAAAG)

Keywords

• Wealth management services
• Retirement plan administration
• Financial planning advisory
• 401(k) advisory services
• Fiduciary investment advice

Headquarters

HQ city

Norwalk

HQ country

United States

HQ region

North America

Offices2 records

Markets served

GTM type

B2B and B2C

Offering type

Services

Cost components

Personnel, Technology or R&D, Operations, Marketing or Sales, Infrastructure

Revenue model

1. Investment Advisory Services: The firm provides investment advisory services and financial planning to individuals, families, and business owners. Revenue is generated through fee-based advisory arrangements, with securities products offered through Cambridge Investment Research, Inc. (a Broker/Dealer, Member FINRA and SIPC) and advisory services through Cambridge Investment Research Advisors, Inc. (a Registered Investment Advisor).

Pricing tiers

Go-to-market motion1 record

Distribution channels2 records

Marketing channels7 records

Core offering

Guidelight Financial is a boutique registered investment advisory firm that delivers holistic Personal Wealth Management for individuals and families, Corporate Retirement Solutions (401(k) plan design, implementation, and fiduciary oversight) for business owners, and 401(k) Participant Advisory services. Securities are offered through Cambridge Investment Research, Inc. (Broker/Dealer, FINRA/SIPC) and advisory services through Cambridge Investment Research Advisors, Inc. (RIA). The firm is licensed in CT, FL, MI, NY, PA, TX, and VA.

Product overview

Guidelight Financial is a financial advisory firm offering a unified wealth management and retirement planning platform. The core offerings include Personal Wealth Management (holistic financial planning), Corporate Retirement Solutions (business 401(k) plan management), and 401(k) Participant Advisory services. The firm integrates client-facing portals including My Guidelight (powered by eMoney Advisor), Right Capital, NETXInvestor, and SEI Connect to provide consolidated financial views, account access, and interactive planning tools. The service methodology follows a four-step process: Data Collection & Goal Establishment, Financial Plan Design & Implementation, Monitor Progress & Efficacy, and Revisit & Revise.

Differentiator

Problem solved

Functional benefit

Products and services

• Personal Wealth Management

Segments3 records

Ideal customer profiles3 records

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Integration4 records

Partnerships

Three partnerships are on record, tiered core.

• Cambridge Investment Research, Inc.coreTechnology or IntegrationSecurities services provided through Cambridge Investment Research, Inc., a Broker/Dealer, Member FINRA and SIPC. Advisory services are offered through Cambridge Investment Research Advisors, Inc., a Registered Investment Advisor. Guidelight Financial and Cambridge are not affiliated entities.
• eMoney AdvisorcoreTechnology or IntegrationThe firm offers 'My Guidelight,' a custom personal web portal powered by eMoney Advisor that provides clients with a consolidated view of their entire financial picture.
• Right CapitalcoreTechnology or IntegrationThe firm's financial planning portal is powered by Right Capital, enabling clients to collaborate with advisors on interactive retirement planning, tax-efficient strategies, Social Security optimization, cash flow management, budgeting, insurance needs, and estate planning.

Scale indicators2 records

Recent moves5 records

Expansion highlights6 records

Broad incumbents

• Creative Planning: Large independent RIA offering comprehensive wealth management, financial planning, and 401(k) plan administration to individuals and businesses nationwide. Comparable to Guidelight in service breadth (personal wealth + business retirement), but at much greater scale with a national footprint.
• Wealth Enhancement Group: Large national RIA platform actively acquiring independent planning-led RIAs. Directly comparable as a consolidator target/peer for boutique advisory practices like Guidelight, with similar financial planning-led service model but vastly greater scale.
• Carson Group: RIA and coaching platform serving independent financial advisors with business retirement plan services, financial planning tools, and consulting. Comparable to Guidelight as a planning-led RIA serving business owners, with a more national footprint and deeper corporate retirement practice.
• Edelman Financial Engines: Large national RIA combining financial planning with workplace retirement plan advisory. Directly comparable to Guidelight's combined personal wealth and 401(k) participant advisory offering, with substantial scale advantage in employer-sponsored plans.
• Savant Wealth Management: Independent, fee-only RIA offering comprehensive financial planning, investment management, and retirement plan services to individuals and businesses. Comparable as a planning-led RIA with both personal and corporate retirement services, though with broader geographic reach than Guidelight.
• Mariner Wealth Advisors: National wealth advisory firm serving individuals, families, and business owners with comprehensive financial planning and retirement plan services. Comparable to Guidelight as a planning-led RIA with both personal wealth and corporate retirement solutions, but at much larger scale.
• Cetera Advisor Networks: Independent broker-dealer and RIA network that supports independent advisory firms with technology, compliance, and practice management. Directly comparable as Guidelight's institutional counterpart for the independent advisor channel, especially around 401(k) plan services.

Others

• Cambridge Investment Research: Broker-dealer and RIA platform that provides custody, compliance, and back-office infrastructure to Guidelight. Comparable as the institutional layer that enables Guidelight's independent advisory model and could be a strategic acquirer or partner in scaling.

Direct peers

• Beacon Pointe Advisors: Multi-family office and RIA providing comprehensive financial planning, investment advisory, and retirement plan consulting to affluent individuals, families, and business owners. Closely comparable to Guidelight's boutique planning-led model with similar client segments and service mix.
• Sanctuary Wealth: Independent advisor network supporting boutique RIA firms with compliance, technology, and acquisition support. Comparable to Guidelight as a similar-sized independent wealth practice and a potential partner/peer channel for boutique RIA growth.

Market position

Strengths5 records

Weaknesses5 records

Competitive moat4 records

Key risks6 records

Key highlights6 records

Customer concentration

Compliance2 records

Revenue estimate

Valuation estimate

Number of profiles

Profiles4 records

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about Guidelight Financial