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PATHWAY FINANCIAL ADVISORS, LLC
CRD 124801File 801-64598
APPROVED
Retail clients
Custody
Filing as of Jul 31, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$1.65B
Top 25% of cohort (national)
Discretionary AUM
$1.65B
Clients
253
1,147 accounts
Employees
11
Top 25% of cohort in VT
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- BRO
- Registration date
- Aug 15, 2005
- Principal office
- 725 COMMUNITY DRIVE, SUITE 402, SOUTH BURLINGTON, VT, 05403
- Phone
- 802-660-7086
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $1.65B
- Discretionary AUM
- $1.65B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 1,147
- Non-discretionary accounts
- 0
- Total accounts
- 1,147
- AUM per client
- $6.5M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| High net worth individuals | 200 | $1.42B |
| Pension and profit sharing plans | Fewer than 5 | $200.2M |
| Individuals (other than high net worth individuals) | 53 | $30.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Hourly charges
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Financial planning services
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 241 | 253 | increased by12 |
| Apr 1, 2026 | AUM | $894,825,875 | $1,649,189,273 | increased by$754,363,398 |
| Apr 1, 2026 | Accounts | 955 | 1,147 | increased by192 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 13 | 11 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 242 | 241 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $766,594,754 | $894,825,875 | increased by$128,231,121 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 914 | 955 | increased by41 |
| Apr 1, 2022 | Employees | 12 | 13 | increased by1 |
| Apr 1, 2022 | Clients | 194 | 242 | increased by48 |
| Apr 1, 2022 | AUM | $682,581,344 | $766,594,754 | increased by$84,013,410 |
| Apr 1, 2022 | Accounts | 854 | 914 | increased by60 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “PATHWAY FINANCIAL” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“PATHWAY FINANCIAL” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.