LIGHTHOUSE FINANCIAL MANAGEMENT, LLC
Adviser information for LIGHTHOUSE FINANCIAL MANAGEMENT, LLC last updated from Form ADV on February 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Rhode Island, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 455 | $170.7M |
| Non-Discretionary | 2 | $398,477 |
| Total | 457 | $171.1M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 52 | $28.7M |
| HNW Individuals | 63 | $141.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $1.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFixed fees |
Identifiers
| SEC RIA File Number | 801-110214 |
|---|---|
| SEC ERA File Number | 801-110214 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127748 |
| Legal Entity Identifier | None |
Principal Office
85 BEACH STREETBUILDING D
WESTERLY
RI
United States
Monday - Friday, 9AM - 5PM EST
Tel: 401-596-3392, Fax: 401-596-3332
Websites
Chief Compliance Officer
MAUREEN J POPLASKI
FINANCIAL PLANNER
85 BEACH STREET
BUILDING D
WESTERLY
RI
United States
Tel:
401-596-3392
Fax:
401-596-3332
M**@***************M
(Full email address available in API data)
Regulatory Contact
STEPHEN C. POPLASKI
MANAGING MEMBER
85 BEACH STREET
BUILDING D
WESTERLY
RI
United States
Tel:
401-596-3392
Fax:
401-596-3332
S**@***************M
(Full email address available in API data)
Industry Affiliates
| STEPHEN C. POPLASKI, CPA, CFP� | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| POPLASKI, STEPHEN, CHARLES | Individual | – | MANAGING MEMBER | 01/2004 | > 75% |
| POPLASKI, MAUREEN, JOY | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2009 | < 5% |