Pathworks Financial, Inc.
- Regulatory AUM
- $279M
- Discretionary
- $188M
- Clients
- 410
- Avg AUM / client
- $681K
- Accounts
- 1,034
- Employees
- 8
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Jan 22, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 362 | $86.3M | 30.9% |
| High net worth individuals | 48 | $187M | 66.9% |
| Pension and profit sharing plans | Fewer than 5 clients | $2.1M | 0.76% |
| Corporations and other businesses | Fewer than 5 clients | $4.0M | 1.43% |
People (5)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Douglas Scott Smith | President And Chief Compliance Officer | CFP | Nov 2005 (21y) | 75% or more |
| Bryan Scott Smith | Vice President | Jan 2020 (7y) | 25% – 50% | |
| David Rene Mercier | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Karrie Nicole Maier | Registered representative | Jan 2024 (3y) | ||
| Robert Paul Schmansky | Registered representative | Chartered Financial Consultant | Jan 2025 (2y) |
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) | 01/22/2026 | 1.01 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- National Financial Services (Fidelity) $202M (72% of AUM) Jan 2026
- Charles Schwab & Co. $76.2M (27% of AUM) Jan 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: Jan 22, 2026.
View current Form ADV (SEC/IAPD) ↗