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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

LIGHTHOUSE FINANCIAL MANAGEMENT, LLC

CRD 127748

WESTERLY, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c6c76085-8ac2-a71c-52df-a43c3d3ec8f7

Data as of Feb 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 7
On other graphs: 0
Observed: Mar 27, 2012 to Feb 26, 2025
26 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $184MItem 5.F on the latest filing (2025-02-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $184M
Private client RAUM: $183MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 448
Individual clients: 51
High net worth clients: 68
Custody, client assets: $11.9M
SEC number: 801-110214
CRD: 127748
Filings on the tape: 26
First filed: Mar 27, 2012
Latest filed: Feb 26, 2025
Organised: Limited Liability Company, RI
Website: lighthousefm.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
POPLASKI, STEPHEN, CHARLES	MANAGING MEMBER	E	yes	01/2004	Mar 27, 2012	Nov 27, 2024
POPLASKI, MAUREEN, JOY	CHIEF COMPLIANCE OFFICER	Na	no	06/2009	Mar 27, 2012	Nov 27, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
STEPHEN C. POPLASKI, CPA, CFP?	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Feb 26, 2025	$184M	$184M	8	4	0	n/a	n/a
2023	Feb 22, 2024	$171M	$171M	3	3	0	n/a	n/a
2022	Mar 13, 2023	$158M	$158M	3	3	0	n/a	n/a
2021	Feb 23, 2022	$177M	$177M	3	3	0	n/a	n/a
2020	Feb 24, 2021	$149M	$149M	3	3	0	n/a	n/a
2019	Jan 30, 2020	$136M	$136M	6	3	0	n/a	n/a
2018	Feb 15, 2019	$119M	$118M	5	3	1	n/a	n/a
2017	Mar 5, 2018	$125M	$125M	6	4	1	n/a	n/a
2011	Mar 27, 2012	$61.3M	$61.3M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$184M	$171M	7.6%	$177M	1.3%	8	3	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
WASHINGTON TRUST ADVISORS	3	Jul 31, 2025	Aug 19, 2025	WESTERLY, RI	Firm absorbed	RIA to RIA	100.0%

Relationships

Moved with (1)

→ WASHINGTON TRUST ADVISORSRegistered adviser3 advisors, firm absorbed, same day
Jul 31, 2025 to Aug 19, 2025factForm ADV

Registered with (4)

← STEPHEN CHARLES POPLASKIAdvisorregistration: previous registration
May 24, 2007 to Jul 31, 2025factForm ADV
← AARON PLEAU WADEAdvisorregistration: previous registration
Sep 11, 2014 to Jul 31, 2025factForm ADV
← Larry Matthew HendersonAdvisorregistration: previous registration
Oct 18, 2024 to Jul 31, 2025factForm ADV
← Jeffrey Kohl LudkaAdvisorregistration: previous registration
Jun 2, 2023 to Jan 2, 2024factForm ADV

Controls (1)

← POPLASKI, STEPHEN, CHARLESOwnerMANAGING MEMBER, ownership code E, individual
Mar 27, 2012 to Nov 27, 2024factForm ADV

Owns (1)

← POPLASKI, MAUREEN, JOYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 27, 2012 to Nov 27, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 31, 2025
Firm absorbed
Lighthouse Financial Management, LLC's advisors moved to Washington Trust Advisors (Westerly, RI): 3 of 3 registered, on the same day
Form ADVobserved 4 days ago
3 advisors
Occurred
Jul 31, 2025
Advisor changed firm
Aaron Pleau Wade left Lighthouse Financial Management, Llc for Washington Trust Advisors (registered 2025-08-15)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2025
Advisor changed firm
Larry Matthew Henderson left Lighthouse Financial Management, Llc for Washington Trust Advisors (registered 2025-08-15)
Form ADVobserved 5 days ago
Occurred
Jul 31, 2025
Advisor changed firm
Stephen Charles Poplaski left Lighthouse Financial Management, Llc for Washington Trust Advisors (registered 2025-08-19)
Form ADVobserved 5 days ago
Occurred
Jan 2, 2024
Advisor changed firm
Jeffrey Kohl Ludka left Lighthouse Financial Management, Llc for Essex Financial Services, Inc. (registered 2024-01-09)
Form ADVobserved 5 days ago
Occurred
Mar 17, 2017
First Form ADV filing
Lighthouse Financial Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Show 1 bookkeeping events

Occurred
Sep 2, 2025
Lighthouse Financial Management, Llc no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $184.1M)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c6c76085-8ac2-a71c-52df-a43c3d3ec8f7
First observed: Mar 27, 2012
Last observed: Feb 26, 2025 19 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

LIGHTHOUSE FINANCIAL MANAGEMENT, LLC

CRD 127748

WESTERLY, RI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c6c76085-8ac2-a71c-52df-a43c3d3ec8f7

Data as of Feb 26, 2025 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

POPLASKI, STEPHEN, CHARLES

MANAGING MEMBER

yes

01/2004

Mar 27, 2012

Nov 27, 2024

POPLASKI, MAUREEN, JOY

CHIEF COMPLIANCE OFFICER

06/2009

Mar 27, 2012

Nov 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

STEPHEN C. POPLASKI, CPA, CFP?

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Feb 26, 2025

$184M

n/a

2023

Feb 22, 2024

$171M

n/a

2022

Mar 13, 2023

$158M

n/a

2021

Feb 23, 2022

$177M

n/a

2020

Feb 24, 2021

$149M

n/a

2019

Jan 30, 2020

$136M

n/a

2018

Feb 15, 2019

$119M

$118M

n/a

2017

Mar 5, 2018

$125M

n/a

2011

Mar 27, 2012

$61.3M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

$184M

$171M

7.6%

$177M

1.3%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

WASHINGTON TRUST ADVISORS

Jul 31, 2025

Aug 19, 2025

WESTERLY, RI

Firm absorbed

RIA to RIA

100.0%