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.
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SEC-registered adviser
P••••••• A••••••• G••••• I•••
Latest filing Apr 22, 2026
First filing on the tape Mar 14, 2012 · 25 filings
SEC status approved since Jun 8, 2007
RAUM
$388M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$388M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$77.7M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$388M as of Apr 22, 2026
Mar 14, 2012$93.1M then
HNW client RAUM$320M as of Apr 22, 2026
Mar 26, 2018$121M then
State-registered IARs (5.B.3)5 as of Apr 22, 2026
Mar 14, 20120 then
Employees (5.A)10 as of Apr 22, 2026
Mar 20, 20138 then
Private funds: no history
RAUM +41% over the last fiscal year+20% a year over threeIARs 4 to 5
Practice profile
derived from the filing of Apr 22, 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
- RAUM per advisor
- $77.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $383,491derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +41%derivedbetween the last two annual amendments
- Advisor growth, one year
- +25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $122M, 115 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$320M82%
- Individuals$68.6M18%
- Individual clients
- 87reported
- HNW clients
- 99reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,013reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $122M for 115 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• S•••• K•••• | Fresno, Ca | Jul 11, 2011 | 16 y | 0 |
| D••••• J••••• S••••Certified Financial Planner | Fresno, Ca | Jul 20, 2011 | 21 y | 1 |
| W•••••• S•••••• K•••••Certified Financial Planner | Fresno, Ca | Oct 22, 2020 | 11 y | 0 |
| M••••••• L•• C•••••Certified Financial Planner | Fresno, Ca | Jan 9, 2026 | 18 y | 0 |
| M•••••• M•••••Certified Financial Planner | Fresno, Ca | Apr 21, 2026 | 10 y | 0 |
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
- E••• P•••• M•••••• to O•••••••• W••••• A••••••• L••Oct 12, 2021 · RIA to a state-registered adviser
Joined, latest
- E••• P•••• M•••••• from P•••••••• S••••••••• I•••Dec 21, 2018 · Other
- D••••• J••••• S•••• from P•••••••• A•••••••• I•••Jul 20, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• J••••••• S•••• · Vice-Presidentcontrolsince 01/2015 · owns 25% to 50%
- S••••• D•••••• J••••• · Vice-Presidentcontrolsince 01/2014 · owns 25% to 50%
- S••••••• N•••••• L••••• · Secretary, Chief Compliance Officercontrolsince 01/2022 · owns 10% to 25%
- W••••••••• D••••• L•• · Presidentcontrolsince 03/2007 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Fresno, Ca · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 22, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
- RAUM up 25 %Change between filings · filing Apr 22, 2026RAUM (Item 5.F) moved from $275,690,147 to $388,476,260 (+41.0%) between the annual amendments of 2025-02-20 and 2026-04-22; the peer median change was +15.0% (4550 comparable advisers, 93.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 93% percentile
What changed
consecutive filings, newest first
- Advisory employees · 4 to 5Feb 18, 2026 to Apr 22, 2026
- State-registered IARs · 4 to 5Feb 18, 2026 to Apr 22, 2026
- Accounts · 929 to 1,013Jun 10, 2025 to Feb 18, 2026
- HNW clients · 87 to 99Jun 10, 2025 to Feb 18, 2026
- Individual clients · 94 to 87Jun 10, 2025 to Feb 18, 2026
- Assets in custody · $98.1M to $122MJun 10, 2025 to Feb 18, 2026
- Employees · 9 to 10Jun 10, 2025 to Feb 18, 2026
- HNW RAUM · $230M to $320MJun 10, 2025 to Feb 18, 2026
- Individual RAUM · $45.4M to $68.6MJun 10, 2025 to Feb 18, 2026
- Non-discretionary RAUM · $276M to $388MJun 10, 2025 to Feb 18, 2026
- RAUM · $276M to $388MJun 10, 2025 to Feb 18, 2026
- Financial planning clients · 101-250 to 101-250Feb 20, 2025 to Jun 10, 2025
- Accounts · 914 to 929Mar 1, 2024 to Feb 20, 2025
- Advisory employees · 5 to 4Mar 1, 2024 to Feb 20, 2025
- HNW clients · 88 to 87Mar 1, 2024 to Feb 20, 2025
- Individual clients · 96 to 94Mar 1, 2024 to Feb 20, 2025
- Assets in custody · $84.7M to $98.1MMar 1, 2024 to Feb 20, 2025
- Employees · 10 to 9Mar 1, 2024 to Feb 20, 2025
- State-registered IARs · 5 to 4Mar 1, 2024 to Feb 20, 2025
- HNW RAUM · $217M to $230MMar 1, 2024 to Feb 20, 2025
- Individual RAUM · $41.0M to $45.4MMar 1, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $258M to $276MMar 1, 2024 to Feb 20, 2025
- RAUM · $258M to $276MMar 1, 2024 to Feb 20, 2025
- Accounts · 979 to 914Oct 17, 2023 to Mar 1, 2024
- HNW clients · 78 to 88Oct 17, 2023 to Mar 1, 2024
- Individual clients · 103 to 96Oct 17, 2023 to Mar 1, 2024
- Assets in custody · $84.5M to $84.7MOct 17, 2023 to Mar 1, 2024
- HNW RAUM · $182M to $217MOct 17, 2023 to Mar 1, 2024
- Individual RAUM · $42.5M to $41.0MOct 17, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $225M to $258MOct 17, 2023 to Mar 1, 2024
- RAUM · $225M to $258MOct 17, 2023 to Mar 1, 2024
- Employees · 11 to 10Mar 23, 2023 to Aug 18, 2023
- Accounts · 878 to 979Sep 16, 2022 to Mar 23, 2023
- HNW clients · 81 to 78Sep 16, 2022 to Mar 23, 2023
- Individual clients · 85 to 103Sep 16, 2022 to Mar 23, 2023
- Pension plan clients · 1.0 to unsetSep 16, 2022 to Mar 23, 2023
- Assets in custody · $68.8M to $84.5MSep 16, 2022 to Mar 23, 2023
- Employees · 10 to 11Sep 16, 2022 to Mar 23, 2023
- HNW RAUM · $207M to $182MSep 16, 2022 to Mar 23, 2023
- Individual RAUM · $38.8M to $42.5MSep 16, 2022 to Mar 23, 2023
Signals
2 dated events
- P••••••• A••••••• G••••• I••• reported RAUM $388.5M, up 41% from $275.7M (2025-06-10 to 2026-02-18)Feb 18, 2026 · RAUM change · derived
- L••••• N••••• S•••••• (Secretary) appeared on Schedule A of P••••••• A••••••• G••••• I•••Mar 22, 2022 · Control person joined · fact
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
- 559-431-4700reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 559-431-4701reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/P•••••••-ADVISORY-GROUP-INCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://WWW.P•••••••AG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 559-431-4700reportedpublic record, Form ADV, Apr 22, 2026
- Contact form
- pathwaysadvisorygroup.com/contactreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- pathwaysadvisorygroup.com/teamreportedpublished by the firm, firm site, Sep 17, 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
- $77.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026