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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

PATHWORKS FINANCIAL

PATHWORKS FINANCIAL, LLC, CRD 313668

NOVI, MI

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:dfdd61e0-7cb7-dd3f-c817-52568ae165ce

Data as of Feb 23, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Jun 15, 2021 to Feb 23, 2022
11 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-121761
CRD: 313668
Filings on the tape: 11
First filed: Jun 15, 2021
Latest filed: Feb 23, 2022
Organised: Limited Liability Company, Michigan

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
SMITH, DOUGLAS, SCOTT	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	06/2021	Jun 15, 2021	Feb 23, 2022

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SCOTT SMITH FINANCIAL, INC.	n/a	Independent wealth	$279M	N	yes	n/a
CENTER STREET HOLDINGS, LLC	n/a	n/a	n/a	N	yes	n/a

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
2021	Feb 22, 2022	n/a	n/a	4	4	0	n/a	n/a

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
2021	n/a	n/a	n/a	n/a	n/a	4	n/a	0	n/a

Relationships

Affiliated with (1)

→ PATHWORKS FINANCIAL, INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← SMITH, DOUGLAS, SCOTTOwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Jun 15, 2021 to presentfactForm ADV

Registered with (3)

← DAVID RENE MERCIERAdvisorregistration: previous registration
Aug 9, 2021 to Jan 4, 2023factForm ADV
← DOUGLAS SCOTT SMITHAdvisorregistration: previous registration
Oct 13, 2021 to Jan 4, 2023factForm ADV
← BRYAN SCOTT SMITHAdvisorregistration: previous registration
Aug 9, 2021 to Jan 4, 2023factForm ADV

Dated events

Occurred
Jan 4, 2023
Advisor departed, no destination yet
Bryan Scott Smith no longer registered at Pathworks Financial; no later IA registration on IAPD
Form ADVobserved 4 days ago
Occurred
Jan 4, 2023
Advisor departed, no destination yet
Douglas Scott Smith no longer registered at Pathworks Financial; no later IA registration on IAPD
Form ADVobserved 4 days ago
Occurred
Jun 15, 2021
First Form ADV filing
Pathworks Financial filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dfdd61e0-7cb7-dd3f-c817-52568ae165ce
First observed: Jun 15, 2021
Last observed: Feb 23, 2022 55 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.

PATHWORKS FINANCIAL

PATHWORKS FINANCIAL, LLC, CRD 313668

NOVI, MI

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:dfdd61e0-7cb7-dd3f-c817-52568ae165ce

Data as of Feb 23, 2022 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SMITH, DOUGLAS, SCOTT

MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

06/2021

Jun 15, 2021

Feb 23, 2022

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SCOTT SMITH FINANCIAL, INC.

n/a

Independent wealth

$279M

yes

n/a

CENTER STREET HOLDINGS, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Feb 22, 2022

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

n/a