PATHWAY FINANCIAL ADVISORS LLC

HTTPS://WWW.PATHWAYADVISORS.COM SOUTH BURLINGTON, VT Investment Advisor How do I update this listing?

Pathway Financial Advisors is based out of South Burlington. Pathway Financial Advisors is a large advisory firm with 203 clients and discretionary assets under management (AUM) of $625,698,913 (Form ADV from 2020-02-17). Their last reported 13F filing for Q1 2020 included $299,700,000 in managed 13F securities and a top 10 holdings concentration of 80.01%. Pathway Financial Advisors's largest holding is Goldman Sachs Access Treasury 0-1 Year E with shares held of 1,380,730. Whalewisdom has at least 10 13F filings

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03/31/2020

13F Activity

  • Market Value $299.7 Million
  • Prior Market Value $353.499 Million
  • New Purchases1 stock
  • Additional Purchases13 stocks
  • Sold out of30 stocks
  • Reduced holdings in25 stocks
  • Top 10 Holdings % 80.01 %
  • Turnover % [1]:31.96%
  • Turnover Alt % [2]: 5.67 %
  • Time Held Top20:5.85 quarters
  • Time Held Top10:6.50 quarters
  • Time Held All:6.28 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-05-15

Performance for Q1 2020: 21.6%
Performance Last 4 Quarters: -7.22%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

PATHWAY FINANCIAL ADVISORS, LLC
2 MARKET STREET
SOUTH BURLINGTON VT    05403
Country: United States

Business Phone: 802-660-7086
Fax: 866-336-9578
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: VT
Number of employees: 11
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Hourly charges,Fixed fees
Amount of client funds and securities: 54,573,600
Total Number of Clients: 203
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

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PATHWAY FINANCIAL ADVISORS, LLC

ownership team - last updated 2020-02-17
Name Title Start Date Direct/Indirect % Ownership

PATHWAY FINANCIAL ADVISORS, LLC

ownership team - last updated 2019-10-04
Name Title Start Date Direct/Indirect % Ownership
BEAUDIN, SCOTT, ANTHONY MANAGER (1/2018) & CHIEF COMPLIANCE OFFICER 05/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MANAGING MEMBER & CCO direct 2003-05-01
PATHWAY FINANCIAL ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2003-05-01
MILLER, JAMES, DONNAN MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MEMBER direct 2018-01-01
WALSH, REBECCA, K MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MEMBER direct 2018-01-01

PATHWAY FINANCIAL ADVISORS, LLC

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
BEAUDIN, SCOTT, ANTHONY MANAGER (1/2018) & CHIEF COMPLIANCE OFFICER 05/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MANAGING MEMBER & CCO direct 2003-05-01
PATHWAY FINANCIAL ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2003-05-01
MILLER, JAMES, DONNAN MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MEMBER direct 2018-01-01
WALSH, REBECCA, K MEMBER 01/01/2018 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MEMBER direct 2018-01-01

PATHWAY FINANCIAL ADVISORS, LLC

ownership team - last updated 2017-12-01
Name Title Start Date Direct/Indirect % Ownership
BEAUDIN, SCOTT, ANTHONY MANAGING MEMBER & CHIEF COMPLIANCE OFFICER 05/01/2003 Direct 75% or more
Fund Name Position direct/indirect start date end date
PATHWAY FINANCIAL ADVISORS, LLC MANAGING MEMBER & CCO direct 2003-05-01
PATHWAY FINANCIAL ADVISORS, LLC MANAGING MEMBER & CHIEF COMPLIANCE OFFICER direct 2003-05-01

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