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•••••• P••••••• W••••• A•••••••• L••
Latest filing Jan 27, 2026
First filing on the tape Apr 23, 2024 · 13 filings
SEC status approved since May 21, 2024
RAUM
$78.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$78.9M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$13.2M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$78.9M as of Jan 27, 2026
Jan 28, 2025$58.0M then
HNW client RAUM$41.5M as of Jan 27, 2026
Jan 28, 2025$27.3M then
State-registered IARs (5.B.3)6 as of Jan 27, 2026
Jan 28, 20255 then
Employees (5.A)8 as of Jan 27, 2026
Jan 28, 20257 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 6 to 6
Practice profile
derived from the filing of Jan 27, 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
- $13.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $703,356derivedHNW RAUM over HNW clients
- Average account
- $124,325derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +49%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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$41.5M53%
- Individuals$37.4M47%
- Individual clients
- 308reported
- HNW clients
- 59reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 635reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••• J••••••• H•••• | Amherst, Ny | Oct 24, 2022 | 23 y | 3 |
| M••• S••••• W•••••••• | Amherst, Ny | Jan 6, 2023 | 12 y | 1 |
| M•••••• A••••• | Amherst, Ny | Feb 9, 2023 | 10 y | 1 |
| G•••• D• J••••• | Amherst, Ny | Jul 18, 2023 | 18 y | 3 |
| J••••• P••• T•••• | Amherst, Ny | Aug 1, 2023 | 19 y | 3 |
| A••• J•••• S••••••••• | Amherst, Ny | Feb 3, 2025 | 12 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
none on the tape
Joined, latest
- J••••• P••• T•••• from L•• F•••••••• L••Aug 1, 2023 · Affiliated broker-dealer or bank to independent RIA
- G•••• D• J••••• from M•• S••••••••• I•••Jul 18, 2023 · Other
- M•••••• A••••• from E•••••••• A•••••••• L••Feb 9, 2023 · Affiliated broker-dealer or bank to independent RIA
- M••• S••••• W•••••••• from A••••••• P••••••••• A•••••••• I••Jan 6, 2023 · Affiliated broker-dealer or bank to independent RIA
- C•••• J••••••• H•••• from H•••••••• A•••••••• L••Oct 24, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••• C••••• J••••••• · President And Chief Executive Officercontrolsince 03/2022 · owns 75% or more
- J•••••• G••••• D• · Chief Compliance Officercontrolsince 06/2023 · owns 5% to 10%
- B•••• J••• J•••• A•••••• · Coo, Directorsince 02/2023 · owns 5% to 10%
- J•••••• R••••••• B•••• · Directorsince 02/2023 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Amherst, Ny · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hamburg, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Jan 27, 2026RAUM (Item 5.F) moved from $58,027,060 to $78,946,149 (+36.0%) between the annual amendments of 2025-03-13 and 2026-01-27; the peer median change was +8.0% (219 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 409 to 635Jul 3, 2025 to Jan 27, 2026
- HNW clients · 17 to 59Jul 3, 2025 to Jan 27, 2026
- Individual clients · 230 to 308Jul 3, 2025 to Jan 27, 2026
- Financial planning clients · 101-250 to 251-500Jul 3, 2025 to Jan 27, 2026
- Discretionary RAUM · $58.0M to $78.9MJul 3, 2025 to Jan 27, 2026
- HNW RAUM · $27.3M to $41.5MJul 3, 2025 to Jan 27, 2026
- Individual RAUM · $30.7M to $37.4MJul 3, 2025 to Jan 27, 2026
- RAUM · $58.0M to $78.9MJul 3, 2025 to Jan 27, 2026
- Financial planning clients · 101-250 to 101-250Jun 10, 2025 to Jul 3, 2025
- Related adviser · false to trueFeb 4, 2025 to Mar 13, 2025
- Advisory employees · 5 to 6Jan 28, 2025 to Feb 4, 2025
- Employees · 7 to 8Jan 28, 2025 to Feb 4, 2025
- State-registered IARs · 5 to 6Jan 28, 2025 to Feb 4, 2025
- Accounts · 274 to 409Dec 19, 2024 to Jan 28, 2025
- HNW clients · 5 to 17Dec 19, 2024 to Jan 28, 2025
- Individual clients · 177 to 230Dec 19, 2024 to Jan 28, 2025
- Financial planning clients · 51-100 to 101-250Dec 19, 2024 to Jan 28, 2025
- Discretionary RAUM · $34.3M to $58.0MDec 19, 2024 to Jan 28, 2025
- HNW RAUM · $6.3M to $27.3MDec 19, 2024 to Jan 28, 2025
- Individual RAUM · $28.0M to $30.7MDec 19, 2024 to Jan 28, 2025
- RAUM · $34.3M to $58.0MDec 19, 2024 to Jan 28, 2025
Signals
1 dated events
- P•••••• P••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 23, 2024 · 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
- 716-929-6010reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- pathwaypartnerswa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-929-6010reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- pathwaypartnerswa.com/contact-usreportedpublished 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
- $13.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026