Pathways Advisory Group, Inc. (Fresno)


Pathways Advisory Group, Inc. is a large advisory firm based in Fresno. It manages $162.66 million of regulatory assets for 865 client accounts. It has been registered with the SEC as an adviser since 2007 and has operated in the jurisdiction of California.

Pathways Advisory Group provides financial planning services, portfolio management for individuals and small businesses, and publication of newsletters. It prepares financial plans for more than 100 clients. On top of advisory services, the firm doesn't engage in other business activities.

Pathways Advisory Group: assets under management

The assets under management (AUM) of Pathways Advisory Group, Inc. is $162.66 million. The company doesn't manage any assets belonging to foreign clients.

Pathways Advisory Group has custody of $44.76 million in cash and securities for 90 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in investment and business development companies the most. They account for 99% of the total AUM. The second-largest asset type is exchange traded securities, which make up 1% of the firm’s portfolio.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pathways Advisory Group, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Pathways Advisory Group serves?

The firm provides services to individuals and high net worth individuals. The largest group of clients of Pathways Advisory Group is high net worth individuals with 55 clients and $114.6 million of assets under management. Among the 8 most similar advisory firms, Pathways Advisory Group has the 4th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $158.81 million for 158 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Pathways Advisory Group doesn't advise any private funds.

Careers at Pathways Advisory Group, Inc.

The company employs 9 people that are either part- or full-time employees. 56 percent of the employees work as investment advisers or researchers. 5 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
David Lee Williamson President, chief compliance officer 1 Mar 2007 50% - 75% 1250126
Dustin Joseph Smith Vice-president 1 Jan 2014 Other 4838256
Jeffrey Scott Karst Vice-president 1 Jan 2015 Other 5932457

Based in Fresno

The principal office where Pathways Advisory Group, Inc. performs its advisory services is located at 684 West Cromwell Avenue, Fresno, CA 93711, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 559-431-4700 or by fax 559-431-4701. The normal business hours are 8:30 am - 5:00 pm on Monday - Friday. You can find more information about the New York firm at pathwaysadvisorygroup.com.