PATHFINDER WEALTH ADVISORS LLC
Adviser information for PATHFINDER WEALTH ADVISORS LLC last updated from Form ADV on March 15th, 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 | Ohio, United States |
Employees
| Total Number of Employees | 3 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 139 | $69.2M |
| Non-Discretionary | 2 | $701,701 |
| Total | 141 | $69.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 19 | $6.4M |
| HNW Individuals | 26 | $63.1M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $396,583 |
| 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 | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshopsINCOME TAX PREPARATION |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-119941 |
|---|---|
| SEC ERA File Number | 801-119941 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 173676 |
| Legal Entity Identifier | None |
Principal Office
6120 PARKLAND BLVD., SUITE 225MAYFIELD HEIGHTS
OH
United States
Monday - Friday, 9AM - 5PM
Tel: 216-533-0463, Fax: 216-250-8245
Chief Compliance Officer
JOSEPHINE LASPINA TROTTA
PRESIDENT, CIO
6120 PARKLAND BLVD., SUITE 225
MAYFIELD HEIGHTS
OH
United States
Tel:
216-533-0463
J********@***************************M
(Full email address available in API data)
Regulatory Contact
DAVID KUHR
COMPLIANCE CONSULTANT
4544 MEMPHIS VILLAS SOUTH
CLEVELAND
OH
United States
Tel:
2164095496
G*****************@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TROTTA, JOSEPHINE, LASPINA | Individual | – | PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER | 01/2016 | > 75% |