DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Larae Ann Duff

Pathway Financial Solutions, Inc.independent RIASalina, KsIA-onlyIAPD 6993593
Feed of 09/14/2026
Also filed as Rae A Duff
At current firm
0 y
since Mar 13, 2026
In the industry
10 y
since Aug 1, 2016 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
5
dated events on this person
Professional profile
what the firm itself publishes, with the page it was read from
Title
Financial Advisorreportedpathway-financial.comfirm site, Sep 15, 2026
Business email
rae.duff@pathway-finacial.comreportedpathway-financial.comfirm site, Sep 15, 2026
Direct business phone
785-820-8161reportedpathway-financial.comfirm site, Sep 15, 2026
Professional profile
Pathway-Financial.com/rae-duff.htm?profilelayoutmode=lightreportedpathway-financial.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history
IAPD current and previous registrations
Moves
a registration end followed by a registration begin elsewhere
Signals
  • Larae Ann Duff left Ofg Financial Services, Inc. for Pathway Financial Solutions, Inc. (registered 2026-03-13)
    Mar 13, 2026 · Advisor changed firm · fact
  • Larae Ann Duff left J.P. Morgan Securities Llc for Ofg Financial Services, Inc. (registered 2025-08-18)
    Feb 11, 2025 · Advisor changed firm · fact
  • Larae Ann Duff left Sanctuary Advisors, Llc for J.P. Morgan Securities Llc (registered 2023-09-19)
    May 9, 2023 · Advisor changed firm · fact
  • Larae Ann Duff left Prospera Financial Services, Inc. for Sanctuary Advisors, Llc (registered 2023-05-02)
    Apr 11, 2023 · Advisor changed firm · fact
  • Larae Ann Duff left Edward Jones for Prospera Financial Services, Inc. (registered 2023-04-05)
    May 25, 2022 · Advisor changed firm · fact
Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance
Source
IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class
Independent wealth managerderived
Years in industry
10derivedfrom the earliest dated exam, employment or registration
Not published
disclosure flags, outside business text, branch street address