{
  "crd_number": 166237,
  "slug": "pathway-financial-advisers-llc-auburn-in-166237",
  "primary_business_name": "PATHWAY FINANCIAL ADVISERS, LLC",
  "legal_name": "PATHWAY FINANCIAL ADVISERS, LLC",
  "dbas": [],
  "city": "Auburn",
  "state": "IN",
  "country": "United States",
  "cbsa_code": "12140",
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2014-12-22",
  "years_registered": 11,
  "period": "2026-10-01",
  "filing_date": "2026-03-11",
  "carried_forward": false,
  "raum_total": 524223965.0,
  "raum_discretionary": 524223965.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "500m_1b",
  "raum_band_label": "$500 million to $1 billion",
  "total_employees": 8,
  "advisory_employees": 6,
  "client_count_bucket": null,
  "clients_by_type": {
    "charitable": {
      "raum": 576556.0,
      "count": 3
    },
    "individuals": {
      "raum": 170942724.0,
      "count": 673
    },
    "pension_profit_sharing": {
      "raum": 5299876.0,
      "count": 2
    },
    "high_net_worth_individuals": {
      "raum": 346776584.0,
      "count": 142
    },
    "corporations_other_businesses": {
      "raum": 628225.0,
      "count": 2
    }
  },
  "compensation_types": [
    "fixed",
    "hourly",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "financial_planning",
    "pension_consulting",
    "portfolio_management_individuals"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "FL",
    "IN",
    "MI",
    "NC",
    "NH",
    "OH",
    "TX"
  ],
  "websites": [
    "https://linkedin.com/company/pathway-financial-advisers-llc",
    "https://pathwayria.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/166237",
  "city_as_filed": "AUBURN",
  "url": "https://advisorcensus.com/firm/pathway-financial-advisers-llc-auburn-in-166237",
  "display_name": "Pathway Financial Advisers, LLC",
  "summary": "Pathway Financial Advisers, LLC is an SEC-registered investment advisory firm in Auburn, IN, registered since 2014, reporting $500 million to $1 billion in regulatory assets under management in its Form ADV filing dated March 11, 2026.",
  "citation": "AdvisorCensus. Pathway Financial Advisers, LLC (CRD 166237): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Fixed fees (other than subscription fees)"
  ],
  "advisory_activity_labels": [
    "Financial planning services",
    "Portfolio management for individuals and/or small businesses",
    "Pension consulting services"
  ],
  "quick_answers": [
    {
      "q": "How is Pathway Financial Advisers, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Pathway Financial Advisers, LLC reports these compensation arrangements: a percentage of assets under its management; hourly charges; fixed fees (other than subscription fees)."
    },
    {
      "q": "How much does Pathway Financial Advisers, LLC charge?",
      "a": "Its Form ADV Part 2A brochure dated March 11, 2026 states: Hourly rate: $150 an hour (due diligence prior to managing client accounts). Fees can differ by service and may be negotiable; the brochure is the complete statement."
    },
    {
      "q": "Where is Pathway Financial Advisers, LLC located?",
      "a": "Pathway Financial Advisers, LLC's principal office is in Auburn, IN, according to its Form ADV."
    },
    {
      "q": "Is Pathway Financial Advisers, LLC registered with the SEC or a state?",
      "a": "Pathway Financial Advisers, LLC is an SEC-registered investment advisory firm, registered since 2014. Status as filed: Approved. CRD 166237."
    },
    {
      "q": "How much does Pathway Financial Advisers, LLC manage?",
      "a": "Pathway Financial Advisers, LLC reports $524,223,965 in regulatory assets under management in its Form ADV filing dated March 11, 2026 (100% discretionary)."
    },
    {
      "q": "How have Pathway Financial Advisers, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Pathway Financial Advisers, LLC: Regulatory assets under management: $271,535,416 in the October 2021 data and $524,223,965 in the October 2026 data, up 93%. Total employees: 4 in October 2021 and 8 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Pathway Financial Advisers, LLC serve?",
      "a": "By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (673); high net worth individuals (142); charitable organizations (3)."
    },
    {
      "q": "Which custodians does Pathway Financial Advisers, LLC use?",
      "a": "Pathway Financial Advisers, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Fidelity Brokerage Services LLC as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Pathway Financial Advisers, LLC report any disciplinary disclosures?",
      "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/166237"
    },
    {
      "q": "Does Pathway Financial Advisers, LLC state an account minimum?",
      "a": "Its Form ADV Part 2A brochure dated March 11, 2026 says: \"There is no account minimum.\""
    },
    {
      "q": "What changed in Pathway Financial Advisers, LLC's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $442,844,998 to $524,223,965 (+18%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 271535416.0,
      "total_employees": 4,
      "filing_date": "2021-04-08"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 351939635.0,
      "total_employees": 5,
      "filing_date": "2022-03-23"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 347866716.0,
      "total_employees": 5,
      "filing_date": "2023-04-07"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 383925555.0,
      "total_employees": 8,
      "filing_date": "2024-03-29"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 442844998.0,
      "total_employees": 8,
      "filing_date": "2025-02-14"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 524223965.0,
      "total_employees": 8,
      "filing_date": "2026-03-11"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $442,844,998 to $524,223,965 (+18%)."
      ]
    }
  ],
  "fees_from_brochure": {
    "source": "Form ADV Part 2A brochure dated March 11, 2026",
    "provided_by_the_firm": false,
    "tiers": [],
    "flat_rate": null,
    "stated_range": null,
    "stated_maximum": null,
    "account_minimum": "None",
    "account_minimum_may_be_waived": false,
    "minimum_annual_fee": null,
    "planning_fees": [
      "Hourly rate: $150 an hour (due diligence prior to managing client accounts)"
    ],
    "figures": [
      {
        "label": "Account minimum",
        "statements": [
          "Account minimum: None"
        ],
        "quotes": [
          "There is no account minimum."
        ]
      },
      {
        "label": "Planning fee",
        "statements": [
          "Hourly rate: $150 an hour (due diligence prior to managing client accounts)"
        ],
        "quotes": [
          "PFA will charge an hourly fee of $150 to complete this due diligence prior to managing client accounts based on the fee schedule below."
        ]
      }
    ],
    "values": {
      "tiers": [],
      "range_pct": null,
      "max_pct": null,
      "account_minimum": 0.0,
      "minimum_annual_fee": null,
      "planning": [
        {
          "kind": "hourly",
          "amount": 150.0,
          "min": null,
          "max": null,
          "period": "hour",
          "service": "due diligence prior to managing client accounts"
        }
      ]
    },
    "quotes": [
      "There is no account minimum.",
      "PFA will charge an hourly fee of $150 to complete this due diligence prior to managing client accounts based on the fee schedule below."
    ],
    "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable."
  },
  "custodians": [
    {
      "name": "Fidelity Brokerage Services LLC",
      "name_as_filed": "FIDELITY BROKERAGE SERVICES LLC",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/pathway-financial-advisers-llc-auburn-in-166237.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 673,
      "fewer_than_5": false,
      "raum": 170942724.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 142,
      "fewer_than_5": false,
      "raum": 346776584.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 2,
      "fewer_than_5": false,
      "raum": 5299876.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 3,
      "fewer_than_5": false,
      "raum": 576556.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 2,
      "fewer_than_5": false,
      "raum": 628225.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/166237",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}