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•••••• F•••••••• A•••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Nov 19, 2014 · 33 filings
SEC status approved since Dec 22, 2014
RAUM
$524M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$518M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$87.4M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$524M as of Mar 11, 2026
Feb 10, 2015$115M then
HNW client RAUM$347M as of Mar 11, 2026
Jan 25, 2018$31.0M then
State-registered IARs (5.B.3)6 as of Mar 11, 2026
Feb 10, 20152 then
Employees (5.A)8 as of Mar 11, 2026
Feb 10, 20152 then
Private funds: no history
RAUM +18% over the last fiscal year+15% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 11, 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
- RAUM per advisor
- $87.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $286,148derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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$347M66%
- Individuals$171M33%
- Pension and profit-sharing plans$5.3M1.0%
- Corporations and businesses$628,2250.1%
- Charitable organizations$576,5560.1%
- Individual clients
- 673reported
- HNW clients
- 142reported
- Pension plan clients
- 2reported
- Charitable clients
- 3reported
- Accounts
- 1,832reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• E••• P••• | Auburn, In | Jan 2, 2013 | 52 y | 0 |
| J••• M•••••• G•••• | Auburn, In | Jan 23, 2014 | 12 y | 0 |
| A••••• S•••• M••••• | Auburn, In | Sep 22, 2014 | 14 y | 0 |
| D•••• R••••••• T•••••Certified Financial Planner | Auburn, In | Dec 13, 2017 | 17 y | 1 |
| J••••• M•••• P•••••• | Auburn, In | Jan 3, 2022 | 15 y | 0 |
| E••• L•• M••••• | Auburn, In | Nov 21, 2023 | 16 y | 4 |
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
none on the tape
Joined, latest
- E••• L•• M••••• from L••••• F•••••••• G••••• L••Nov 21, 2023 · Affiliated broker-dealer or bank to independent RIA
- D•••• R••••••• T••••• from C••••• I••••••••• S••••••• L••Dec 13, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• J•••• M•••••• · Member And Investment Advisercontrolsince 01/2016 · owns 25% to 50%
- P•••• S•••••• E••• · Managing Member, Chief Investment Officer And Investment Advisercontrolsince 11/2012 · owns 25% to 50%
- T•••••• D••••• R••••••• · Member, Chief Compliance Officer And Investment Advisercontrolsince 01/2019 · 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 |
|---|---|---|---|---|---|
| Auburn, In · principal | 6 | 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 11, 2026pension consulting (Item 5.G.6): no on the filing of 2025-02-14, yes on the filing of 2026-03-11peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,690 to 1,832Feb 14, 2025 to Mar 11, 2026
- Advisory activities · 2 to 3Feb 14, 2025 to Mar 11, 2026
- HNW clients · 106 to 142Feb 14, 2025 to Mar 11, 2026
- Individual clients · 653 to 673Feb 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $443M to $524MFeb 14, 2025 to Mar 11, 2026
- HNW RAUM · $266M to $347MFeb 14, 2025 to Mar 11, 2026
- Individual RAUM · $171M to $171MFeb 14, 2025 to Mar 11, 2026
- Pension RAUM · $4.3M to $5.3MFeb 14, 2025 to Mar 11, 2026
- RAUM · $443M to $524MFeb 14, 2025 to Mar 11, 2026
- Accounts · 1,604 to 1,690Mar 29, 2024 to Feb 14, 2025
- Corporate clients · unset to 2.0Mar 29, 2024 to Feb 14, 2025
- HNW clients · 127 to 106Mar 29, 2024 to Feb 14, 2025
- Individual clients · 584 to 653Mar 29, 2024 to Feb 14, 2025
- Pension plan clients · 4 to 2Mar 29, 2024 to Feb 14, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Feb 14, 2025
- Discretionary RAUM · $384M to $443MMar 29, 2024 to Feb 14, 2025
- HNW RAUM · $255M to $266MMar 29, 2024 to Feb 14, 2025
- Individual RAUM · $121M to $171MMar 29, 2024 to Feb 14, 2025
- Pension RAUM · $7.2M to $4.3MMar 29, 2024 to Feb 14, 2025
- RAUM · $384M to $443MMar 29, 2024 to Feb 14, 2025
- Accounts · 1,573 to 1,604Apr 7, 2023 to Mar 18, 2024
- Advisory employees · 5 to 6Apr 7, 2023 to Mar 18, 2024
- Corporate clients · 0.0 to unsetApr 7, 2023 to Mar 18, 2024
- HNW clients · 84 to 127Apr 7, 2023 to Mar 18, 2024
- Individual clients · 587 to 584Apr 7, 2023 to Mar 18, 2024
- Pooled vehicle clients · 0.0 to unsetApr 7, 2023 to Mar 18, 2024
- Employees · 5 to 8Apr 7, 2023 to Mar 18, 2024
- Insurance-licensed employees · 5 to 0Apr 7, 2023 to Mar 18, 2024
- Financial planning clients · 101-250 to 1-10Apr 7, 2023 to Mar 18, 2024
- State-registered IARs · 5 to 6Apr 7, 2023 to Mar 18, 2024
- Discretionary RAUM · $348M to $384MApr 7, 2023 to Mar 18, 2024
- HNW RAUM · $195M to $255MApr 7, 2023 to Mar 18, 2024
- Individual RAUM · $146M to $121MApr 7, 2023 to Mar 18, 2024
- Pension RAUM · $6.1M to $7.2MApr 7, 2023 to Mar 18, 2024
- Pooled vehicle RAUM · 0.0 to unsetApr 7, 2023 to Mar 18, 2024
- RAUM · $348M to $384MApr 7, 2023 to Mar 18, 2024
- Accounts · 1,420 to 1,573Mar 23, 2022 to Mar 30, 2023
- Individual clients · 540 to 587Mar 23, 2022 to Mar 30, 2023
- Pension plan clients · 3 to 4Mar 23, 2022 to Mar 30, 2023
- Discretionary RAUM · $352M to $348MMar 23, 2022 to Mar 30, 2023
Signals
2 dated events
- R••••••• D•••• T••••• (Member) appeared on Schedule A of P•••••• F•••••••• A•••••••• L••Jan 29, 2019 · Control person joined · fact
- S••••• E• P•••• L•• filed its initial SEC registration (Form ADV)Nov 19, 2014 · First SEC registration · 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
- 260-925-2887reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 260-925-3222reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/pathway-financial-advisers-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 260-925-2887reportedpublic record, Form ADV, Mar 11, 2026
- Contact form
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- p•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $87.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026