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LIGHTHOUSE FINANCIAL MANAGEMENT, LLC

WESTERLY, RI · CRD 127748 · IAPD ↗ · lighthousefm.com · 401-596-3392

$184.1MRegulatory AUM
4Advisory reps
8Employees
0Clients
101-250Planning clients
0Private funds
6States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
December 2025 — LIGHTHOUSE FINANCIAL MANAGEMENT, LLC (WESTERLY, RI) left the SEC roster (was $184.1M RAUM, 4 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
March 2025 — LIGHTHOUSE FINANCIAL MANAGEMENT, LLC now reports custody of client assets ($11.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
42
December 2024 — LIGHTHOUSE FINANCIAL MANAGEMENT, LLC notice-filed in NY.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand

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