PATHWAYS ADVISORY GROUP, INC.
Adviser information for PATHWAYS ADVISORY GROUP, INC. last updated from Form ADV on March 1st, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| 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 | 0 | $0 |
| Non-Discretionary | 914 | $258.4M |
| Total | 914 | $258.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 96 | $41.0M |
| HNW Individuals | 88 | $217.4M |
| 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 | 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 businessesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-67921 |
|---|---|
| SEC ERA File Number | 801-67921 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 143817 |
| Legal Entity Identifier | None |
Principal Office
684 WEST CROMWELL AVENUESUITE 103
FRESNO
CA
United States
Monday - Friday, 8:00 AM - 4:30 PM
Tel: 559-431-4700, Fax: 559-431-4701
Chief Compliance Officer
NICOLE SWANSON
684 WEST CROMWELL AVENUE
SUITE 103
FRESNO
CA
United States
Tel:
559-431-4700
Fax:
559-431-4701
N*****@*************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 |
|---|---|---|---|---|---|
| WILLIAMSON, DAVID, LEE | Individual | – | PRESIDENT | 03/2007 | 25-50% |
| SMITH, DUSTIN, JOSEPH | Individual | – | VICE-PRESIDENT | 01/2014 | 25-50% |
| KARST, JEFFREY, SCOTT | Individual | – | VICE-PRESIDENT | 01/2015 | 25-50% |
| Swanson, Nicole, Leanne | Individual | – | SECRETARY, CHIEF COMPLIANCE OFFICER | 01/2022 | 10-25% |