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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

PATHFINDER ADVISORY, INC.

PATHFINDER WEALTH MANAGEMENT, INC., CRD 122768

ROCKFORD, IL

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:4a31905b-bb0f-cd12-c5c9-87a5c255c719

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 16, 2012 to Mar 13, 2026
2 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $121MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $116M
Private client RAUM: $119MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $40.5Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 145
Individual clients: 95
High net worth clients: 47
SEC number: 801-135820
CRD: 122768
Filings on the tape: 2
First filed: Feb 16, 2012
Latest filed: Mar 13, 2026
Organised: Corporation, IL

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PHILIP WARREN GUSKE	n/a	ROCKFORD, IL	28	41	n/a	no
PHILIP AARON GUSKE	Certified Financial Planner	ROCKFORD, IL	17	23	n/a	no
BARBARA ANN LANE	n/a	ROCKFORD, IL	15	20	1	no

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
GUSKE, DEBORAH, MARIE	DIRECTOR OF CLIENT OPERATIONS, CHIEF COMPLIANCE OFFICER	Na	yes	06/2002	Feb 16, 2012	Feb 16, 2012
GUSKE, PHILIP, AARON	Treasurer	Na	yes	07/2004	Feb 16, 2012	Feb 16, 2012
GUSKE, PHILIP, WARREN	PRESIDENT, DIRECTOR, CEO	E	yes	10/1996	Feb 16, 2012	Feb 16, 2012

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	Offices	Private funds	Fund GAV
2025	Mar 13, 2026	$121M	$116M	5	3	0	n/a	n/a
2011	Feb 16, 2012	$14.2M	$14.2M	n/a	n/a	n/a	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	0	0	0.0%	0	0	0	0	0

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
2025	$121M	n/a	n/a	n/a	n/a	5	n/a	0	n/a

Relationships

Registered with (4)

← BARBARA ANN LANEAdvisorregistration: current employment
Mar 3, 2011 to presentfactForm ADV
← PHILIP AARON GUSKEAdvisorregistration: current employment
Apr 17, 2009 to presentfactForm ADV
← PHILIP WARREN GUSKEAdvisorregistration: current employment
Feb 26, 1998 to presentfactForm ADV
← NICHOLAS PAUL BREITAdvisorregistration: previous registration
Dec 3, 2002 to Dec 1, 2003factForm ADV

Controls (3)

← GUSKE, PHILIP, WARRENOwnerPRESIDENT, DIRECTOR, CEO, ownership code E, individual
Feb 16, 2012 to Feb 16, 2012factForm ADV
← GUSKE, PHILIP, AARONOwnerTREASURER, ownership code NA, individual
Feb 16, 2012 to Feb 16, 2012factForm ADV
← GUSKE, DEBORAH, MARIEOwnerDIRECTOR OF CLIENT OPERATIONS, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 16, 2012 to Feb 16, 2012factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a31905b-bb0f-cd12-c5c9-87a5c255c719
First observed: Feb 16, 2012
Last observed: Mar 13, 2026 6 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 ADVISORY, INC.

PATHFINDER WEALTH MANAGEMENT, INC., CRD 122768

ROCKFORD, IL

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:4a31905b-bb0f-cd12-c5c9-87a5c255c719

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:40 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PHILIP WARREN GUSKE

n/a

ROCKFORD, IL

n/a

PHILIP AARON GUSKE

Certified Financial Planner

ROCKFORD, IL

n/a

BARBARA ANN LANE

n/a

ROCKFORD, IL

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

GUSKE, DEBORAH, MARIE

DIRECTOR OF CLIENT OPERATIONS, CHIEF COMPLIANCE OFFICER

yes

06/2002

Feb 16, 2012

GUSKE, PHILIP, AARON

Treasurer

yes

07/2004

Feb 16, 2012

GUSKE, PHILIP, WARREN

PRESIDENT, DIRECTOR, CEO

yes

10/1996

Feb 16, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 13, 2026

$121M

$116M

n/a

2011

Feb 16, 2012

$14.2M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$121M

n/a