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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PATHFINDER WEALTH ADVISORS LLC

CRD 173676

MAYFIELD HEIGHTS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4965b2f2-38ad-db4a-7360-54068df986e1

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 5
On other graphs: 0
Observed: Nov 6, 2020 to Mar 15, 2024
14 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $69.9MItem 5.F on the latest filing (2024-03-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $69.2M
Private client RAUM: $69.5MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 141
Individual clients: 19
High net worth clients: 26
SEC number: 801-119941
CRD: 173676
Filings on the tape: 14
First filed: Nov 6, 2020
Latest filed: Mar 15, 2024
Organised: Limited Liability Company, Ohio

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
TROTTA, JOSEPHINE, LASPINA	PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER	E	yes	01/2016	Nov 6, 2020	Mar 15, 2024

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2023	Mar 15, 2024	$69.9M	$69.2M	3	1	n/a	n/a
2022	Mar 14, 2023	$133M	$90.7M	2	1	n/a	n/a
2021	Mar 18, 2022	$141M	$109M	2	1	n/a	n/a
2020	Mar 22, 2021	$139M	$97.6M	3	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	n/a	0	0	0	0	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$69.9M	$133M	-47.4%	$139M	-20.4%	3	2	0	0

Relationships

Controls (1)

← TROTTA, JOSEPHINE, LASPINAOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER, ownership code E, individual
Nov 6, 2020 to presentfactForm ADV

Registered with (1)

← JOSEPHINE LASPINA TROTTAAdvisorregistration: previous registration
Oct 22, 2015 to Jun 11, 2026factForm ADV

Dated events

Occurred
Jun 11, 2026
Advisor changed firm
Josephine Laspina Trotta left Pathfinder Wealth Advisors Llc for Cwm, Llc (registered 2026-02-04)
Form ADVobserved 4 days ago
Occurred
Mar 18, 2022
Control person left
Mary Leona Mccandless (Trustee - Mark J. Mccandless Restatement Of Trust Dtd 7/21/2011) no longer on Schedule A of Pathfinder Wealth Advisors Llc (listed 2021-12-14, absent 2022-03-18)
Form ADVobserved 4 days ago
Occurred
Jun 19, 2021
Control person joined
Mary Leona Mccandless (Trustee - Mark J. Mccandless Restatement Of Trust Dtd 7/21/2011) appeared on Schedule A of Pathfinder Wealth Advisors Llc
Form ADVobserved 4 days ago
Occurred
Jun 1, 2021
Control person left
Joseph Mark Mccandless (President And Chief Compliance Officer) no longer on Schedule A of Pathfinder Wealth Advisors Llc (listed 2021-03-22, absent 2021-06-01)
Form ADVobserved 4 days ago
Occurred
Nov 6, 2020
First Form ADV filing
Pathfinder Wealth Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4965b2f2-38ad-db4a-7360-54068df986e1
First observed: Nov 6, 2020
Last observed: Mar 15, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

PATHFINDER WEALTH ADVISORS LLC

CRD 173676

MAYFIELD HEIGHTS, OH

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4965b2f2-38ad-db4a-7360-54068df986e1

Data as of Mar 15, 2024 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

TROTTA, JOSEPHINE, LASPINA

PRESIDENT, CHIEF COMPLIANCE OFFICER & CHIEF INVESTMENT OFFICER

yes

01/2016

Nov 6, 2020

Mar 15, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 15, 2024

$69.9M

$69.2M

n/a

2022

Mar 14, 2023

$133M

$90.7M

n/a

2021

Mar 18, 2022

$141M

$109M

n/a

2020

Mar 22, 2021

$139M

$97.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

-1

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$69.9M

$133M

-47.4%

$139M

-20.4%