SourcingSourcing

PATHWORKS FINANCIAL, INC.

B51
CRD 138393·SEC 801-120476·NOVI, MI
AUM
$279.3M
$100M-$500M
Est. Revenue
$2.8M
@ 1% on AUM
Est. EBITDA
$838K
@ 30% margin
Est. Deal Value
$6.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PATHWORKS FINANCIAL, INC.
CRD
138393
SEC file #
801-120476
EIN
—
DBA names
—

Economics

AUM
$279.3M
AUM band
$100M-$500M
AUM trajectory
'22'26
$145.5M → $279.3M▲ +92%
Client mix
Individuals Other362
Individuals High Net Worth48

Operations

Employees (total)
8
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'22'26
3 advisors → 5 advisors▲ +67%
Primary office
NOVI MI
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
01/22/2026
ADV-W filed at
—
Website
pathworksfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, DOUGLAS, SCOTT
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SMITH, DOUGLAS, SCOTT
SMITH, BRYAN, SCOTT
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
PATHWORKSFINANCIAL.COM
Rdap Domain Creation Date
2021-03-05T01:31:50Z
Rdap Firm Age Years
5
Rdap Firm Age Band
5-10y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
5
Bc Firm IAR Count
5
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fidelity2
Lpl Financial1
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2029-03-05T01:31:50Z
Rdap Domain Last Changed
2026-05-09T18:16:59Z
Rdap Nameservers
Dayana.ns.cloudflare.comKarl.ns.cloudflare.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
1588505
Trust Company Affiliate
No

People (5)

5
SMITH, DOUGLAS, SCOTT
IAR · Direct Owner · 87.5%
1588505
SMITH, BRYAN, SCOTT
IAR · Direct Owner · 37.5%
5037108
DAVID RENE MERCIER
IAR
1212766
Karrie Nicole Maier
IAR
7533510
ROBERT PAUL SCHMANSKY
IAR
4530174