PATHWAY FINANCIAL ADVISERS, LLC
Adviser information for PATHWAY FINANCIAL ADVISERS, LLC last updated from Form ADV on March 29th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 6 |
| 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 | 1,604 | $383.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1,604 | $383.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 584 | $121.4M |
| HNW Individuals | 127 | $254.9M |
| 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 | 4 | $7.2M |
| Charitable organizations | 3 | $289,443 |
| 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 | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-80650 |
|---|---|
| SEC ERA File Number | 801-80650 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166237 |
| Legal Entity Identifier | None |
Principal Office
4571 COUNTY ROAD 35AUBURN
IN
United States
Monday - Friday, 8:30AM - 5:30PM
Tel: 260-925-2887, Fax: 260-925-3222
Chief Compliance Officer
DAVID REYNOLDS TRACEY
MEMBER & INVESTMENT ADVISER
4571 COUNTY ROAD 35
AUBURN
IN
United States
Tel:
260-925-2887
Fax:
260-925-3222
D****@*************M
(Full email address available in API data)
Regulatory Contact
ERIN LEE MUTTON
INVESTMENT ADVISER
4571 COUNTY ROAD 35
AUBURN
IN
United States
Tel:
260-925-2887
Fax:
260-925-3222
E***@*************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 |
|---|---|---|---|---|---|
| POST, STEVEN, ERIC | Individual | – | MANAGING MEMBER, CHIEF INVESTMENT OFFICER AND INVESTMENT ADVISER | 11/2012 | 25-50% |
| GRIMM, JOEL, MATTHEW | Individual | – | MEMBER AND INVESTMENT ADVISER | 01/2016 | 25-50% |
| Tracey, David, Reynolds | Individual | – | MEMBER, CHIEF COMPLIANCE OFFICER AND INVESTMENT ADVISER | 01/2019 | 25-50% |