Pathfinder Wealth Management, Inc.
- Regulatory AUM
- $121M
- Discretionary
- $116M
- Clients
- 142
- Avg AUM / client
- $855K
- Accounts
- 145
- Employees
- 5
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 95 | $43.0M | 35.4% |
| High net worth individuals | 47 | $76.1M | 62.6% |
| Charitable organizations | Fewer than 5 clients | $2.3M | 1.93% |
People (4)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Philip Warren Guske | President, Director, Ceo | Oct 1996 (30y) | 75% or more | |
| Guske, Deborah, Marie | Director Of Client Operations, Chief Compliance Officer | Jun 2002 (24y) | Less than 5% | |
| Philip Aaron Guske | Treasurer | CFP | Jul 2004 (22y) | Less than 5% |
| Barbara Ann Lane | Registered representative | Mar 2011 (15y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/13/2026 | 1.14 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: PATHFINDER ADVISORY, INC. (PAI) USED THE ASSUMED NAME PATHFINDER TRUST COMPANY DURING THE PROCESS OF BECOMING A LICENSED TRUST COMPANY IN THE STATE OF ILLINOIS. LICENSING MATTERS WERE CONDUCTED BY A SPONSOR ORGANIZATION THAT FAILED TO ADVISE PAI THAT THE USE OF THE ASSUMED NAME PRIOR TO APPROVAL WAS A VIOLATION OF STATE REGULATIONS. Status: Final Sanction Detail: THE STATE OF ILLINOIS, OFFICE OF BANKS AND REAL ESTATE (OBRE) ISSUED AN ORDER REQUIRING PATHFINDER TO CEASE AND DESIST FROM CONDUCTING A "TRUST BUSINESS", FROM THE USE OF THE WORD "TRUST" IN ITS CORPORATE NAME, INCLUDING ANY ASSUMED NAME IT OPERATES UNDER, AND FROM THE USE OF THE WORD "TRUST" AS ANY PART OF ITS INTERNET ADDRESS FOR ANY WEBSITE IT MAINTAINS. Summary: PATHFINDER ADVISORY, INC. IMMEDIATELY CEASED USING THE ASSUMED NAME OF PATHFINDER TRUST COMPANY UPON RECEIPT OF NOTICE FROM THE STATE OF ILLINOIS. PAI DID NOT APPEAL THE ORDER AND FURTHER DETERMINED NOT TO PURSUE LICENSING AS A TRUST COMPANY IN THE STATE OF ILLINOIS PRESENTLY.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- Charles Schwab & Co. $116M (96% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 13, 2026.
View current Form ADV (SEC/IAPD) ↗