Pathway Investments, LLC
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client AUMClient assets under management
$5,520,000
Clients
49
Advisors
1
of 1 employees
About
Pathway Investments provides personalized financial planning and discretionary investment management to individuals, as well as to pension and profit-sharing plans, trusts, estates, and charitable organizations. The firm also offers management of variable annuity and variable life products and prepares written analyses such as net worth statements and risk assessments for clients.
Portfolios are managed on a discretionary basis using an investment policy tailored to each client’s goals, time horizon, and risk tolerance; the firm documents objectives in client-specific investment policy statements and conducts quarterly reviews, with additional reviews as market conditions dictate. Methods of analysis include charting, fundamental, technical, and cyclical techniques, and clients may impose restrictions on holdings if desired.
Compared with many peers, the firm’s managing member concurrently operates an insurance agency and a tax-preparation practice and spends approximately half of his time on those activities, which creates potential conflicts when insurance products are recommended and is disclosed in the brochure. The firm also provides ERISA plan services (including limited-scope 3(21) fiduciary services and the capacity to serve in a 3(38) role), which—together with direct management of variable annuity/life contracts—is less common among independent advisors of this size.
Client services
Expertise
Fee options
$0 - $100,000: 1.30% $100,001 - $250,000: 1.00% $250,001 - $500,000: .85% $500,001 - $1,000,000: .75% $1,000,000 - $2,000,000: .65% $2,000,001 - $5,000,000: .55% Over $5,000,000+: .40%
Main office
Sioux Falls SD
Advisors at this office
1
Most active in
South Dakota · Wisconsin
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
Quick links
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