SourcingSourcing

PATHWAY FINANCIAL ADVISERS, LLC

C14
CRD 166237·SEC 801-80650·AUBURN, IN
AUM
$524.2M
$500M-$1B
Est. Revenue
$5.2M
@ 1% on AUM
Est. EBITDA
$1.6M
@ 30% margin
Est. Deal Value
$12.6M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
PATHWAY FINANCIAL ADVISERS, LLC
CRD
166237
SEC file #
801-80650
EIN
300857313
DBA names
—

Economics

AUM
$524.2M
AUM band
$500M-$1B
AUM trajectory
'20'26
$185.4M → $524.2M▲ +183%
Client mix
Individuals Other673
Individuals High Net Worth142
Charitable Organizations3
Pension Profit Sharing Plans2
Corporations2

Operations

Employees (total)
8
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'20'26
4 advisors → 6 advisors▲ +50%
Primary office
AUBURN IN
Branches
—

Custodian & Brokerage

Primary custodian
Fidelitylow confidence
Services offered
Financial planningPortfolio mgmt — individualsPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/11/2026
ADV-W filed at
—
Website
pathwayria.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
GRIMM, JOEL, MATTHEW
Top Owner Pct
37.5
Top Owner Entity Kind
I
Owner Count
4
Control Persons
GRIMM, JOEL, MATTHEW
POST, STEVEN, ERIC
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
PATHWAYRIA.COM
Rdap Domain Creation Date
2019-10-22T19:01:24Z
Rdap Firm Age Years
7
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 Cik
0002024152
Edgar Registered
Yes
Edgar Filing Count
16
Edgar First Filing Date
2024-05-29
Edgar Last Filing Date
2026-04-23
Edgar 13f Count
14
Edgar 13f Latest AUM Estimate
Filing Date2026-04-23
Accession0002024152-26-000002

Compliance & brand

Firm Registration Status
active

All other collected signals (17)

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
6
Bc Firm IAR Count
6
Custodian Candidates
Full
Fidelity4
E*trade4
Edgar Addresses
Mailing
4571 CO RD 35AUBURN, IN 46706
Business
4571 CO RD 35AUBURN, IN 46706
Edgar EIN
300857313
Edgar Recent Filings
13F-HR2026-04-23 · 0002024152-26-000002
13F-HR2026-02-06 · 0002024152-26-000001
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2028-10-22T19:01:24Z
Rdap Domain Last Changed
2025-09-22T00:11:19Z
Rdap Nameservers
Ns0.wixdns.netNs1.wixdns.net
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Top Owner CRD
6287745
Trust Company Affiliate
No

People (6)

6
POST, STEVEN, ERIC
IAR · Direct Owner · 37.5%
6140150
Tracey, David, Reynolds
IAR · Direct Owner · 37.5%
5222875
GRIMM, JOEL, MATTHEW
IAR · Direct Owner · 37.5%
6287745
Mutton, Erin, Lee
IAR · Direct Owner · 17.5%
5179606
Jordan Micah Pfister
IAR
7488138
AUSTIN SCOTT MILLER
IAR
6399252