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.
Former SEC-registered adviser
Lighthouse Financial Management, LLC
Latest filing Feb 26, 2025
First filing on the tape Mar 27, 2012 · 26 filings
SEC status approved since Mar 28, 2017
RAUM
$184M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$184M as of Feb 26, 2025
Mar 27, 2012$61.3M then
HNW client RAUM$156M as of Feb 26, 2025
Mar 5, 2018$92.4M then
State-registered IARs (5.B.3)4 as of Feb 26, 2025
Mar 27, 20120 then
Employees (5.A)8 as of Feb 26, 2025
Mar 5, 20186 then
Private funds: no history
RAUM +7.6% over the last fiscal year+1.3% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 26, 2025; every figure names its basis
- RAUM per advisor
- $46.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 30derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $410,977derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.5%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $11.9M, 13 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$156M84%
- Individuals$27.5M15%
- Pension and profit-sharing plans$1.1M0.6%
- Individual clients
- 51reported
- HNW clients
- 68reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 448reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.9M for 13 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
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
- Stephen Charles Poplaski to Washington Trust AdvisorsJul 31, 2025 · RIA to RIA
- Aaron Pleau Wade to Washington Trust AdvisorsJul 31, 2025 · RIA to RIA
- Larry Matthew Henderson to Washington Trust AdvisorsJul 31, 2025 · RIA to RIA
- Jeffrey Kohl Ludka to Essex Financial Services, Inc.Jan 2, 2024 · RIA to RIA
Joined, latest
- Jeffrey Kohl Ludka from Johnson BrunettiJun 2, 2023 · RIA to RIA
- Aaron Pleau Wade from Ameriprise Financial Services, LLCSep 11, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Washington Trust AdvisorsJul 31, 2025 · Westerly, Ri · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Charles Stephen Poplaski · Managing Membercontrolsince 01/2004 · owns 75% or more
- Joy Maureen Poplaski · Chief Compliance Officersince 06/2009 · owns less than 5%
Related persons
Schedule D 7.A
- Stephen C. Poplaski, Cpa, CFP?insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westerly, Ri · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 457 to 448Nov 27, 2024 to Feb 26, 2025
- Advisory employees · 3 to 4Nov 27, 2024 to Feb 26, 2025
- Charity clients · 0.0 to unsetNov 27, 2024 to Feb 26, 2025
- Corporate clients · 0.0 to unsetNov 27, 2024 to Feb 26, 2025
- HNW clients · 63 to 68Nov 27, 2024 to Feb 26, 2025
- Individual clients · 52 to 51Nov 27, 2024 to Feb 26, 2025
- Pension plan clients · 0.0 to unsetNov 27, 2024 to Feb 26, 2025
- Pooled vehicle clients · 1.0 to unsetNov 27, 2024 to Feb 26, 2025
- Assets in custody · unset to 11930838.0Nov 27, 2024 to Feb 26, 2025
- Custody of client assets · false to trueNov 27, 2024 to Feb 26, 2025
- Employees · 3 to 8Nov 27, 2024 to Feb 26, 2025
- Financial planning clients · 101-250 to 101-250Nov 27, 2024 to Feb 26, 2025
- State-registered IARs · 3 to 4Nov 27, 2024 to Feb 26, 2025
- Discretionary RAUM · $171M to $184MNov 27, 2024 to Feb 26, 2025
- HNW RAUM · $141M to $156MNov 27, 2024 to Feb 26, 2025
- Individual RAUM · $28.7M to $27.5MNov 27, 2024 to Feb 26, 2025
- Non-discretionary RAUM · $398,477 to $0Nov 27, 2024 to Feb 26, 2025
- Pension RAUM · $0 to $1.1MNov 27, 2024 to Feb 26, 2025
- Pooled vehicle RAUM · 1063445.0 to unsetNov 27, 2024 to Feb 26, 2025
- RAUM · $171M to $184MNov 27, 2024 to Feb 26, 2025
- Advisory activities · 3 to 4Feb 22, 2024 to Nov 27, 2024
- Accounts · 462 to 457Jan 2, 2024 to Feb 22, 2024
- HNW clients · 50 to 63Jan 2, 2024 to Feb 22, 2024
- Individual clients · 68 to 52Jan 2, 2024 to Feb 22, 2024
- Discretionary RAUM · $158M to $171MJan 2, 2024 to Feb 22, 2024
- HNW RAUM · $118M to $141MJan 2, 2024 to Feb 22, 2024
- Individual RAUM · $39.4M to $28.7MJan 2, 2024 to Feb 22, 2024
- Non-discretionary RAUM · $406,596 to $398,477Jan 2, 2024 to Feb 22, 2024
- Pooled vehicle RAUM · $930,566 to $1.1MJan 2, 2024 to Feb 22, 2024
- RAUM · $158M to $171MJan 2, 2024 to Feb 22, 2024
- Advisory employees · 4 to 3Nov 21, 2023 to Jan 2, 2024
- Employees · 4 to 3Nov 21, 2023 to Jan 2, 2024
- State-registered IARs · 4 to 3Nov 21, 2023 to Jan 2, 2024
- Advisory employees · 3 to 4Mar 13, 2023 to Jun 22, 2023
- Employees · 3 to 4Mar 13, 2023 to Jun 22, 2023
- State-registered IARs · 3 to 4Mar 13, 2023 to Jun 22, 2023
- Accounts · 466 to 462Feb 23, 2022 to Mar 13, 2023
- HNW clients · 62 to 50Feb 23, 2022 to Mar 13, 2023
- Individual clients · 59 to 68Feb 23, 2022 to Mar 13, 2023
- Pooled vehicle clients · 2 to 1Feb 23, 2022 to Mar 13, 2023
Signals
7 dated events
- Lighthouse Financial Management, Llc no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $184.1M)Sep 2, 2025 · Left the SEC roster · derived
- Aaron Pleau Wade left Lighthouse Financial Management, Llc for Washington Trust Advisors (registered 2025-08-15)Jul 31, 2025 · Advisor changed firm · fact
- Larry Matthew Henderson left Lighthouse Financial Management, Llc for Washington Trust Advisors (registered 2025-08-15)Jul 31, 2025 · Advisor changed firm · fact
- Stephen Charles Poplaski left Lighthouse Financial Management, Llc for Washington Trust Advisors (registered 2025-08-19)Jul 31, 2025 · Advisor changed firm · fact
- Lighthouse Financial Management, LLC's advisors moved to Washington Trust Advisors (Westerly, RI): 3 of 3 registered, on the same dayJul 31, 2025 · Firm absorbed (people side) · derived
- Jeffrey Kohl Ludka left Lighthouse Financial Management, Llc for Essex Financial Services, Inc. (registered 2024-01-09)Jan 2, 2024 · Advisor changed firm · fact
- Lighthouse Financial Management, Llc filed its initial SEC registration (Form ADV)Mar 17, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
- Former SEC-registered adviserderiveda 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