DFX Intelligence
RIA Intelligence
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SEC-registered adviser
P••••••••• A•••••••• I•••
Legal name P••••••••• W••••• M••••••••• I•••
Latest filing Mar 13, 2026
First filing on the tape Feb 16, 2012 · 2 filings
SEC status approved since Apr 10, 2026
RAUM
$121M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
98%
$119M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$40.5M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$121M as of Mar 13, 2026
Feb 16, 2012$14.2M then
HNW client RAUM: $76.1M
State-registered IARs (5.B.3)3 as of Mar 13, 2026
Feb 16, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $40.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $837,397derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 1.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$76.1M63%
- Individuals$43.0M35%
- Charitable organizations$2.3M1.9%
- Individual clients
- 95reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 145reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• W••••• G•••• | Rockford, Il | Feb 26, 1998 | 41 y | 0 |
| P••••• A•••• G••••Certified Financial Planner | Rockford, Il | Apr 17, 2009 | 23 y | 0 |
| B•••••• A•• L••• | Rockford, Il | Mar 3, 2011 | 20 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- N••••••• P••• B•••• to G•••••• S•••• W••••• S•••••••• L•••Dec 1, 2003 · Other
Joined, latest
- B•••••• A•• L••• from B••••••••• C•••••• M••••••••• L••Mar 3, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D••••••• M•••• · Director Of Client Operations, Chief Compliance Officercontrolsince 06/2002 · owns less than 5%
- G••••• P•••••• A•••• · Treasurercontrolsince 07/2004 · owns less than 5%
- G••••• P•••••• W••••• · President, Director, Ceocontrolsince 10/1996 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Rockford, Il · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 13, 2026selection of other advisers (Item 5.G.7): no on the filing of 2012-02-16, yes on the filing of 2026-03-13peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 194 to 145Feb 16, 2012 to Mar 13, 2026
- Advisory employees · unset to 3.0Feb 16, 2012 to Mar 13, 2026
- Advisory activities · 2 to 4Feb 16, 2012 to Mar 13, 2026
- HNW clients · unset to 47.0Feb 16, 2012 to Mar 13, 2026
- Individual clients · unset to 95.0Feb 16, 2012 to Mar 13, 2026
- Employees · unset to 5.0Feb 16, 2012 to Mar 13, 2026
- Financial planning clients · 101-250 to 51-100Feb 16, 2012 to Mar 13, 2026
- State-registered IARs · 0 to 3Feb 16, 2012 to Mar 13, 2026
- Other offices · unset to 0.0Feb 16, 2012 to Mar 13, 2026
- Discretionary RAUM · $14.2M to $116MFeb 16, 2012 to Mar 13, 2026
- HNW RAUM · unset to 76061969.0Feb 16, 2012 to Mar 13, 2026
- Individual RAUM · unset to 43017112.0Feb 16, 2012 to Mar 13, 2026
- Non-discretionary RAUM · $0 to $5.7MFeb 16, 2012 to Mar 13, 2026
- RAUM · $14.2M to $121MFeb 16, 2012 to Mar 13, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 815-399-9806reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 815-399-7808reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/pathfinder-wealth-management-increportedpublic record, Form ADV, Sep 21, 2026
- Website
- P•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 815.399.9806reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- pathfinderadvisory.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $40.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026