Pathway Financial Advisors LLC — 13F Holdings & Portfolio
CIK 1738828 · latest 13F-HR filed 2026-10-07
Pathway Financial Advisors LLC manages $905.1M in 13F-reported U.S. long-equity assets across 128 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are VTV (14.28%), VUG (12.52%), GBIL (9.44%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 4 new positions and exited 6; 35 existing positions rose in reported value and 31 fell.
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$905.1M
Long-equity book
Holdings
128
Distinct positions
Period
2026-09-30
Filed 2026-10-07
Q/Q Activity
+4 / −6 / ↑35 / ↓31
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26VTV14.3% · +13%VUG12.5% · +5%GBIL9.4% · -3%VO6.7% · +32%IEFA5.9% · +42%VGIT5.3% · +42%VBIL4.8% · +38%IEMG4.0% · -17%IJR3.4% · +7%QGRO2.7% · +78%GUNR2.1% · -7%BIL2.0% · +109%UITB2.0% · +2%MXI2.0% · -11%SPY1.9% · -0%VGUS1.9% · +9%VIG1.1% · 0%EFA0.7% · +1%IVE0.7% · 0%ASIA0.6% · -41%AAPL0.6% · -1%VB0.6% · -3%VEA0.6% · +45%IVW0.5% · 0%VWO0.4% · +3%IWD0.4% · 0%IQLT0.4% · +177%IWR0.4% · -1%VBR0.4% · -0%MSFT0.4% · -7%AAXJ0.4% · -3%BKCI0.4% · -32%EEM0.3% · 0%QQQ0.3% · +0%EEMS0.3% · -31%HON0.3% · 0%CVLC0.3% · +20%BWIN0.3% · 0%VOE0.3% · 0%IJT0.3% · -11%MEMS0.3% · -14%VOO0.2% · +30%CAT0.2% · +0%DDX0.2% · -1%XLK0.2% · -0%CHD0.2% · 0%HONA0.2% · newNVDA0.2% · +1%AGG0.2% · +34%GMOI0.2% · -0%IYM0.2% · -6%VTI0.2% · -0%VV0.2% · 0%VAW0.2% · 0%ITOT0.2% · 0%GOOGL0.2% · +1%IWB0.2% · 0%PSEP0.2% · -12%GLDM0.2% · 0%ESGD0.2% · +8%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
4 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 69.1%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jun 30, 2026.
Assets Under Management
$97.82B
Discretionary
$74.17B
Employees
248
Accounts
121
Address
18575 JAMBOREE ROAD
7TH FLOOR
IRVINE, CA 92612
7TH FLOOR
IRVINE, CA 92612
Phone
(949) 622-1000
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| CLEARLAKE CAPITAL GROUP, L.P. Control | LIMITED PARTNER since Jun 2026 | 75% or more | Domestic Entity |
| PATHWAY CAPITAL MANAGEMENT GP LLC Control | GENERAL PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP since Dec 2012 | Less than 5% | Domestic Entity |
| Brewster, Benjamin, Scott | CHIEF FINANCIAL OFFICER - CORPORATE since May 2023 | Less than 5% | Individual |
| HOCHMAN, STEFANIE, ANN | CHIEF COMPLIANCE OFFICER since Jan 2024 | Less than 5% | Individual |
| Nicolas, Raquel, Jane | CHIEF FINANCIAL OFFICER - FUND ACCOUNTING & OPERATIONS since May 2023 | Less than 5% | Individual |
| TRIPATHI, ASHOK, KUMAR | SENIOR VICE PRESIDENT & GENERAL COUNSEL since Jan 2015 | Less than 5% | Individual |
| CCG GLOBAL, LLC Control Indirect owner via CCG OPERATIONS, LLC | MEMBER since Dec 2018 | 75% or more | Domestic Entity |
| CCG OPERATIONS, LLC Control Indirect owner via CLEARLAKE CAPITAL GROUP GP, LLC | MANAGING MEMBER since Apr 2017 | 75% or more | Domestic Entity |
| CCG OPERATIONS, LLC Control Indirect owner via CLEARLAKE CAPITAL PARENT HOLDINGS, L.P. | LIMITED PARTNER since Dec 2024 | 50–75% | Domestic Entity |
| CLEARLAKE CAPITAL GROUP GP, LLC Control Indirect owner via CLEARLAKE CAPITAL HOLDINGS, L.P. | GENERAL PARTNER since Oct 2025 | General partner, trustee or manager | Domestic Entity |
| CLEARLAKE CAPITAL GROUP GP, LLC Control Indirect owner via CLEARLAKE CAPITAL PARENT HOLDINGS, L.P. | GENERAL PARTNER since Aug 2024 | General partner, trustee or manager | Domestic Entity |
| CLEARLAKE CAPITAL GROUP GP, LLC Control Indirect owner via CLEARLAKE CAPITAL GROUP, L.P. | GENERAL PARTNER since Apr 2017 | General partner, trustee or manager | Domestic Entity |
| CLEARLAKE CAPITAL GROUP, L.P. Control Indirect owner via PATHWAY CAPITAL MANAGEMENT GP LLC | MEMBER since Jun 2026 | 75% or more | Domestic Entity |
| CLEARLAKE CAPITAL HOLDINGS, L.P. Control Indirect owner via CLEARLAKE CAPITAL GROUP, L.P. | LIMITED PARTNER since Dec 2024 | 75% or more | Domestic Entity |
| CLEARLAKE CAPITAL PARENT HOLDINGS, L.P. Control Indirect owner via CLEARLAKE CAPITAL HOLDINGS, L.P. | LIMITED PARTNER since Dec 2024 | 75% or more | Domestic Entity |
| EGHBALI, BEHDAD Control Indirect owner via CCG GLOBAL, LLC | MEMBER since Dec 2018 | 25–50% | Individual |
| FELICIANO, JOSE, ENRIQUE Control Indirect owner via CCG GLOBAL, LLC | MEMBER since Dec 2018 | 50–75% | Individual |
Ownership & leadership changes · 21 filings with changes since Feb 28, 2012
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jun 30, 2026 filing
- No longer listedCASBOLT, ALEXANDER, MYRANTHIS · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- No longer listedCHAMBLISS FAMILY REVOCABLE LIVING TRUST · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 5–10% · listed since Dec 2016
- No longer listedCHAMBLISS, JAMES, RANDOLPH · CO-TRUSTEE · 75% or more · indirect via CHAMBLISS FAMILY REVOCABLE LIVING TRUST · listed since Dec 2016
- No longer listedCHAMBLISS, KELLY, LYNN · CO-TRUSTEE · 75% or more · indirect via CHAMBLISS FAMILY REVOCABLE LIVING TRUST · listed since Dec 2016
- No longer listedDEE, VINCENT, PAUL · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- No longer listedDOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 10–25% · control person · listed since Sep 2015
- No longer listedJAKOBI, KAREN, JANE · CO-TRUSTEE · 75% or more · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · control person · listed since Aug 2000
- No longer listedJAKOBI, KAREN, JANE · MANAGING MEMBER · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person · listed since Dec 2012
- No longer listedJAKOBI, WILLIAM, FRANCIS · CO-TRUSTEE · 75% or more · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · control person · listed since Aug 2000
- No longer listedJAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- No longer listedLE BON, DOUGLAS, KENT · CO-TRUSTEE · 75% or more · indirect via DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · control person · listed since Mar 2015
- No longer listedLE BON, DOUGLAS, KENT · MANAGING MEMBER · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person · listed since Dec 2012
- No longer listedLE BON, EVA, MARIE · CO-TRUSTEE · 75% or more · indirect via DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · control person · listed since Sep 2015
- No longer listedMAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 5–10% · listed since May 2013
- No longer listedMAZER, KANAN, PATEL · CO-TRUSTEE · 75% or more · indirect via MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · listed since Mar 2013
- No longer listedMAZER, RICHARD, SHAWN · CO-TRUSTEE · 75% or more · indirect via MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · listed since Mar 2013
- No longer listedREINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 10–25% · control person · listed since Nov 2015
- No longer listedREINHARDT, JAMES, HERBERT · CO-TRUSTEE · 75% or more · indirect via REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · control person · listed since Aug 2015
- No longer listedREINHARDT, JAMES, HERBERT · MANAGING MEMBER · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person · listed since Dec 2012
- No longer listedREINHARDT, SUZANNE, MARTINEZ · CO-TRUSTEE · 75% or more · indirect via REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · control person · listed since Aug 2015
- No longer listedREVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 10–25% · control person · listed since Dec 2012
- No longer listedRUDDICK, JAMES, QUINLAN · CO-TRUSTEE · 75% or more · indirect via JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · listed since Apr 2007
- No longer listedRUDDICK, VALERIE, ALAINE · CO-TRUSTEE · 75% or more · indirect via JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · listed since Apr 2007
- AddedCCG GLOBAL, LLC · MEMBER · 75% or more · indirect via CCG OPERATIONS, LLC · control person
- AddedCCG OPERATIONS, LLC · MANAGING MEMBER · 75% or more · indirect via CLEARLAKE CAPITAL GROUP GP, LLC · control person
- and 10 more
May 6, 2025 filing
- No longer listedCHAMBLISS FAMILY REVOCABLE LIVING TRUST · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2016
- No longer listedCHAMBLISS, JAMES, RANDOLPH · CO-TRUSTEE OF THE CHAMBLISS FAMILY REVOCABLE LIVING TRUST · 5–10% · listed since Dec 2016
- No longer listedCHAMBLISS, KELLY, LYNN · CO-TRUSTEE OF THE CHAMBLISS FAMILY REVOCABLE LIVING TRUST · 5–10% · listed since Dec 2016
- No longer listedDOUGLAS & EVA LE BON TRUST DATED MARCH 9/2015 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Sep 2015
- No longer listedJAKOBI, KAREN, JANE · CO-TRUSTEE OF THE REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC · 10–25% · control person · listed since Aug 2000
- No longer listedJAKOBI, WILLIAM, FRANCIS · CO-TRUSTEE OF THE REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · 10–25% · control person · listed since Aug 2000
- No longer listedJAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedLE BON, DOUGLAS, KENT · CO TRUSTEE OF THE DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC · 10–25% · control person · listed since Aug 2005
- No longer listedLE BON, DOUGLAS, KENT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · control person · listed since Dec 2012
- No longer listedLE BON, EVA, MARIE · CO-TRUSTEE OF THE DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · 10–25% · control person · listed since Mar 2015
- No longer listedLau, Simon, Yat-Sing · DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED · Less than 5% · listed since Dec 2018
- No longer listedMAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since May 2013
- No longer listedMAZER, KANAN, PATEL · CO-TRUSTEE OF THE MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · 5–10% · listed since Mar 2013
- No longer listedMAZER, RICHARD, SHAWN · CO-TRUSTEE OF THE MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED · 5–10% · listed since Feb 2012
- No longer listedPATHWAY CAPITAL MANAGEMENT, LP · DIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED AND PATHWAY CAPITAL MANAGEMENT (UK) LIMITED · 75% or more · control person · listed since Dec 2012
- No longer listedREINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Nov 2015
- No longer listedREINHARDT, JAMES, HERBERT · CO-TRUSTEE OF REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC · 10–25% · control person · listed since Aug 2005
- No longer listedREINHARDT, JAMES, HERBERT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · control person · listed since Dec 2012
- No longer listedREINHARDT, SUZANNE, MARTINEZ · CO-TRUSTEE OF THE REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3,2015 · 10–25% · control person · listed since Aug 2015
- No longer listedREVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedRUDDICK, JAMES, QUINLAN · CO-TRUSTEE OF THE JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · Less than 5% · listed since Apr 2012
- No longer listedRUDDICK, VALERIE, ALAINE · CO-TRUSTEE OF THE JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · Less than 5% · listed since Apr 2007
- AddedJAKOBI, KAREN, JANE · MANAGING MEMBER · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person
- Listed againLE BON, DOUGLAS, KENT · MANAGING MEMBER · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person
- Listed againREINHARDT, JAMES, HERBERT · MANAGING MEMBER · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person
- and 1 more
Jul 5, 2024 filing
- ChangedLau, Simon, Yat-Sing · title DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED → DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED
Mar 29, 2024 filing
- No longer listedCHAMBLISS FAMILIY REVOCABLE LIVING TRUST · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2016
- No longer listedCHAMBLISS, KELLY, LYNN · CO-TRUSTEE · 75% or more · indirect via CHAMBLISS FAMILIY REVOCABLE LIVING TRUST · listed since Dec 2016
- AddedCHAMBLISS FAMILY REVOCABLE LIVING TRUST · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedCHAMBLISS, KELLY, LYNN · CO-TRUSTEE · 75% or more · indirect via CHAMBLISS FAMILY REVOCABLE LIVING TRUST
Feb 16, 2024 filing
- No longer listedBEST, MILT, MERVYN · LIMITED PARTNER AND CHIEF COMPLIANCE OFFICER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- AddedHOCHMAN, STEFANIE, ANN · CHIEF COMPLIANCE OFFICER · Less than 5%
Oct 3, 2023 filing
- ChangedLE BON, DOUGLAS, KENT · ownership 25–50% → 10–25%
- ChangedREINHARDT, JAMES, HERBERT · ownership 25–50% → 10–25%
Aug 24, 2023 filing
- No longer listedGERLACH, CURTIS, PAUL · LIMITED PARTNER AND CHIEF FINANCIAL OFFICER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- No longer listedMELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedMELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- No longer listedMELICAN, CLAUDINE, MALTESE · CO-TRUSTEE OF THE MELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · Less than 5% · listed since Sep 2012
- No longer listedMELICAN, CLAUDINE, MALTESE · CO-TRUSTEE · 75% or more · indirect via MELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · listed since Sep 2012
- No longer listedMELICAN, TERRENCE, GERARD · CO-TRUSTEE OF THE MELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · Less than 5% · listed since Sep 2012
- No longer listedMELICAN, TERRENCE, GERARD · CO-TRUSTEE · 75% or more · indirect via MELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · listed since Sep 2012
- AddedBrewster, Benjamin, Scott · CHIEF FINANCIAL OFFICER - CORPORATE · Less than 5%
- AddedNicolas, Raquel, Jane · CHIEF FINANCIAL OFFICER - FUND ACCOUNTING & OPERATIONS · Less than 5%
- ChangedLE BON, DOUGLAS, KENT · ownership 10–25% → 25–50%
- ChangedREINHARDT, JAMES, HERBERT · ownership 10–25% → 25–50%
Sep 30, 2022 filing
- No longer listedLE BON, DOUGLAS, KENT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person · listed since Dec 2012
- No longer listedREINHARDT, JAMES, HERBERT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person · listed since Dec 2012
- Listed againLE BON, DOUGLAS, KENT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · control person
- Listed againREINHARDT, JAMES, HERBERT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · control person
- ChangedDOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · ownership 25–50% → 10–25%
- ChangedLE BON, DOUGLAS, KENT · ownership 25–50% → 10–25%
- ChangedLE BON, EVA, MARIE · ownership 25–50% → 10–25%
- ChangedREINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · ownership 25–50% → 10–25%
- ChangedREINHARDT, JAMES, HERBERT · ownership 25–50% → 10–25%
- ChangedREINHARDT, SUZANNE, MARTINEZ · ownership 25–50% → 10–25%
Apr 10, 2019 filing
- No longer listedHEATH, JAMES, EDWARD · DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 5–10% · listed since Nov 2005
- AddedLau, Simon, Yat-Sing · DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED · Less than 5%
- ChangedCASBOLT, ALEXANDER, MYRANTHIS · title LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP → DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP
- ChangedDOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · ownership 10–25% → 25–50%
Jul 13, 2018 filing
- ChangedDOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · ownership 25–50% → 10–25%
Older changes (12 more filings)
Mar 28, 2018 filing
- AddedCHAMBLISS FAMILIY REVOCABLE LIVING TRUST · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedCHAMBLISS FAMILY REVOCABLE LIVING TRUST · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 5–10%
- AddedCHAMBLISS, JAMES, RANDOLPH · CO-TRUSTEE · 75% or more · indirect via CHAMBLISS FAMILY REVOCABLE LIVING TRUST
- AddedCHAMBLISS, KELLY, LYNN · CO-TRUSTEE OF THE CHAMBLISS FAMILY REVOCABLE LIVING TRUST · 5–10%
- AddedCHAMBLISS, KELLY, LYNN · CO-TRUSTEE · 75% or more · indirect via CHAMBLISS FAMILIY REVOCABLE LIVING TRUST
- ChangedCHAMBLISS, JAMES, RANDOLPH · title LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP → CO-TRUSTEE OF THE CHAMBLISS FAMILY REVOCABLE LIVING TRUST; ownership Less than 5% → 5–10%
- ChangedMAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · ownership Less than 5% → 5–10%
- ChangedMAZER, KANAN, PATEL · ownership Less than 5% → 5–10%
- ChangedMAZER, RICHARD, SHAWN · ownership Less than 5% → 5–10%
Mar 30, 2016 filing
- No longer listedLADERS, THOMAS, WILLIAM · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- ChangedJAKOBI, KAREN, JANE · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000: ownership 50–75% → 75% or more
Nov 25, 2015 filing
- AddedDOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 25–50% · control person
- AddedDOUGLAS & EVA LE BON TRUST DATED MARCH 9/2015 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedLE BON, DOUGLAS, KENT · CO-TRUSTEE · 75% or more · indirect via DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · control person
- AddedLE BON, EVA, MARIE · CO-TRUSTEE · 75% or more · indirect via DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · control person
- AddedLE BON, EVA, MARIE · CO-TRUSTEE OF THE DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 · 25–50% · control person
- AddedREINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · 25–50% · control person
- AddedREINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedREINHARDT, JAMES, HERBERT · CO-TRUSTEE · 75% or more · indirect via REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · control person
- AddedREINHARDT, SUZANNE, MARTINEZ · CO-TRUSTEE · 75% or more · indirect via REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 · control person
- AddedREINHARDT, SUZANNE, MARTINEZ · CO-TRUSTEE OF THE REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3,2015 · 25–50% · control person
- ChangedJAKOBI, KAREN, JANE · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000: ownership 75% or more → 50–75%
- ChangedLE BON, DOUGLAS, KENT · title DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC → CO TRUSTEE OF THE DOUGLAS & EVA LE BON TRUST DATED MARCH 9, 2015 / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC
- ChangedMELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · indirect via PATHWAY CAPITAL MANAGEMENT, LP: title INDIRECT OWNER OF RELYING ADVISOR → INDIRECT OWNER OF RELYING ADVISORS
- ChangedREINHARDT, JAMES, HERBERT · title DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC → CO-TRUSTEE OF REINHARDT FAMILY TRUST, U/D/T DATED AUGUST 3, 2015 / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC
Mar 30, 2015 filing
- No longer listedCOLLINS, ANNE, MARIE · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- No longer listedDRAFFIN, MICHAEL, CONRAD · GENERAL COUNSEL OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- AddedTRIPATHI, ASHOK, KUMAR · SENIOR VICE PRESIDENT & GENERAL COUNSEL · Less than 5%
Mar 21, 2014 filing
- No longer listedMELICAN REVOCABLE LIVING TRUST · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
- AddedMELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5%
Feb 3, 2014 filing
- No longer listedMALIWANAG, CHERYL, LYNN · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5% · listed since Dec 2012
Jun 14, 2013 filing
- AddedMAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP · Less than 5%
- AddedMAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedMAZER, KANAN, PATEL · CO-TRUSTEE OF THE MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 · Less than 5%
- AddedMAZER, KANAN, PATEL · CO-TRUSTEE · 75% or more · indirect via MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013
- AddedMAZER, RICHARD, SHAWN · CO-TRUSTEE · 75% or more · indirect via MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013
- ChangedMAZER, RICHARD, SHAWN · title DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP → CO-TRUSTEE OF THE MAZER FAMILY REVOCABLE LIVING TRUST DATED MARCH 20, 2013 / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED
Mar 27, 2013 filing
- No longer listedBEST, MILT, MERVYN · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedCASBOLT, ALEXANDER, MYRANTHIS · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedCHAMBLISS, JAMES, RANDOLPH · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedCOLLINS, ANNE, MARIE · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedDEE, VINCENT, P · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedGERLACH, CURTIS, PAUL · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedHEATH, JAMES, EDWARD · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedLADERS, THOMAS, WILLIAM · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedLE BON, DOUGLAS, KENT · INDIRECT OWNER OF RELYING ADVISORS · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT, LP · control person · listed since Dec 2012
- No longer listedMALIWANAG, CHERYL, LYNN · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedMAZER, RICHARD, SHAWN · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP · listed since Dec 2012
- No longer listedPATHWAY CAPITAL MANAGEMENT GP LLC · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT (UK) LTD/PATHWAY CAPITAL MANAGEMENT (HK) LTD · control person · listed since Dec 2012
- No longer listedREINHARDT, JAMES, HERBERT · INDIRECT OWNER OF RELYING ADVISORS · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT, LP · control person · listed since Dec 2012
- AddedLE BON, DOUGLAS, KENT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person
- AddedPATHWAY CAPITAL MANAGEMENT, LP · DIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED AND PATHWAY CAPITAL MANAGEMENT (UK) LIMITED · 75% or more · control person
- AddedREINHARDT, JAMES, HERBERT · INDIRECT OWNER OF PATHWAY CAPITAL MANAGEMENT, LP · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT GP LLC · control person
- ChangedHEATH, JAMES, EDWARD · title DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP → DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP
- ChangedJAKOBI, KAREN, JANE · title CO-TRUSTEE OF THE REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC → CO-TRUSTEE OF THE REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC
- ChangedJAKOBI, KAREN, JANE · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000: title CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISORS → CO-TRUSTEE
- ChangedJAKOBI, WILLIAM, FRANCIS · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000: title CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISORS → CO-TRUSTEE
- ChangedLE BON, DOUGLAS, KENT · title DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC → DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED / DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED / LIMITED PARTNER OF PATHWAY CAPITAL MANAGEMENT, LP / MANAGING MEMBER OF PATHWAY CAPITAL MANAGEMENT GP LLC
- ChangedMELICAN, CLAUDINE, MALTESE · indirect via MELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012: title CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISORS → CO-TRUSTEE
- ChangedMELICAN, TERRENCE, GERARD · indirect via MELICAN REVOCABLE LIVING TRUST UNDER A DECLARATION OF TRUST DATED SEPTEMBER 12, 2012: title CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISORS → CO-TRUSTEE
- ChangedRUDDICK, JAMES, QUINLAN · indirect via JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007: title CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISORS → CO-TRUSTEE
- ChangedRUDDICK, VALERIE, ALAINE · title CO-TRUSTEE OF THE JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATE → CO-TRUSTEE OF THE JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007
- and 1 more
Dec 19, 2012 filing
- No longer listedBEST, MILT, MERVYN · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedCASBOLT, ALEXANDER, MYRANTHIS · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedCHAMBLISS, JAMES, RANDOLPH · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedCOLLINS, ANNE, MARIE · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedDEE, VINCENT, P · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedGERLACH, CURTIS, PAUL · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedHEATH, JAMES, EDWARD · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedJAKOBI, KAREN, JANE · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person · listed since Aug 2005
- No longer listedJAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Apr 2012
- No longer listedLADERS, THOMAS, WILLIAM · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedLE BON, DOUGLAS, KENT · INDIRECT OWNER OF RELYING ADVISOR · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person · listed since Aug 2005
- No longer listedMALIWANAG, CHERYL, LYNN · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedMAZER, RICHARD, SHAWN · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedMELICAN, TERRENCE, GERARD · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- No longer listedPATHWAY CAPITAL MANAGEMENT LLC · SOLE OWNER OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED AND PATHWAY CAPITAL MANAGEMENT (HK) LIMITED - RELYING ADVISORS · 75% or more · control person · listed since Aug 2005
- No longer listedREINHARDT, JAMES, HERBERT · INDIRECT OWNER OF RELYING ADVISOR · 25–50% · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person · listed since Aug 2005
- No longer listedREVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- AddedBEST, MILT, MERVYN · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedCASBOLT, ALEXANDER, MYRANTHIS · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedCHAMBLISS, JAMES, RANDOLPH · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedCOLLINS, ANNE, MARIE · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedDEE, VINCENT, P · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedGERLACH, CURTIS, PAUL · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedHEATH, JAMES, EDWARD · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- AddedJAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · INDIRECT OWNER OF RELYING ADVISORS · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT, LP
- and 35 more
Dec 11, 2012 filing
- ChangedHEATH, JAMES, EDWARD · title NON-MANAGING MEMBER/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED → NON-MANAGING MEMBER/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED
- ChangedLE BON, DOUGLAS, KENT · title MANAGING MEMBER/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED → MANAGING MEMBER/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED
- ChangedMAZER, RICHARD, SHAWN · title NON-MANAGING MEMBER → NON-MANAGING MEMBER/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (HK) LIMITED
- ChangedPATHWAY CAPITAL MANAGEMENT LLC · title SOLE OWNER OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED - RELYING ADVISOR → SOLE OWNER OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED AND PATHWAY CAPITAL MANAGEMENT (HK) LIMITED - RELYING ADVISORS
May 18, 2012 filing
- No longer listed2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · NON-MANAGING MEMBER · 10–25% · listed since Mar 2006
- No longer listed2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person · listed since Aug 2005
- No longer listedCLERC, ALBERT, MICHAEL · MANAGING MEMBER/CO-TRUSTEE OF 2004 CLERC FAMILY TRUST/SECRETARY OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED · 10–25% · control person · listed since Aug 2005
- No longer listedCLERC, ALBERT, MICHAEL · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · 75% or more · indirect via 2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · control person · listed since Aug 2004
- No longer listedCLERC, ALBERT, MICHAEL · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person · listed since Aug 2005
- No longer listedCLERC, MONICA, L · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · 75% or more · indirect via 2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · control person · listed since Aug 2004
- No longer listedCLERC, MONICA, L · CO-TRUSTEE OF THE 2004 CLERC FAMILY TRUST · 10–25% · listed since Mar 2006
- No longer listedRUDDICK, VALERIE, ALAINE · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · listed since Aug 2005
- AddedJAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · NON-MANAGING MEMBER · Less than 5%
- AddedJAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- AddedRUDDICK, JAMES, QUINLAN · CO-TRUSTEE OF THE JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007 · Less than 5%
- AddedRUDDICK, JAMES, QUINLAN · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007
- AddedRUDDICK, VALERIE, ALAINE · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATED APRIL 5, 2007
- ChangedJAKOBI, KAREN, JANE · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000: title CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR → CO-TRUSTEE
- ChangedRUDDICK, VALERIE, ALAINE · title NON-MANAGING MEMBER → NON-MANAGING MEMBER/CO-TRUSTEE OF THE JAMES QUINLAN AND VALERIE ALAINE RUDDICK REVOCABLE TRUST UNDER A DECLARATION OF TRUST DATE
Feb 28, 2012 filing (earliest on record)
- Listed2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · NON-MANAGING MEMBER · 10–25%
- Listed2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person
- ListedBEST, MILT, MERVYN · NON-MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER · Less than 5%
- ListedBEST, MILT, MERVYN · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedCASBOLT, ALEXANDER, MYRANTHIS · NON-MANAGING MEMBER · Less than 5%
- ListedCASBOLT, ALEXANDER, MYRANTHIS · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedCHAMBLISS, JAMES, RANDOLPH · NON-MANAGING MEMBER · Less than 5%
- ListedCHAMBLISS, JAMES, RANDOLPH · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedCLERC, ALBERT, MICHAEL · MANAGING MEMBER/CO-TRUSTEE OF 2004 CLERC FAMILY TRUST/SECRETARY OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED · 10–25% · control person
- ListedCLERC, ALBERT, MICHAEL · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · 75% or more · indirect via 2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · control person
- ListedCLERC, ALBERT, MICHAEL · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person
- ListedCLERC, MONICA, L · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · 75% or more · indirect via 2004 CLERC FAMILY TRUST UNDER A DECLARATION OF TRUST DATED AUGUST 31, 2004 · control person
- ListedCLERC, MONICA, L · CO-TRUSTEE OF THE 2004 CLERC FAMILY TRUST · 10–25%
- ListedCOLLINS, ANNE, MARIE · NON-MANAGING MEMBER · Less than 5%
- ListedCOLLINS, ANNE, MARIE · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedDEE, VINCENT, P · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedDEE, VINCENT, PAUL · NON-MANAGING MEMBER · Less than 5%
- ListedDRAFFIN, MICHAEL, CONRAD · GENERAL COUNSEL · Less than 5%
- ListedGERLACH, CURTIS, PAUL · NON-MANAGING MEMBER, CHIEF FINANCIAL OFFICER · Less than 5%
- ListedGERLACH, CURTIS, PAUL · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedHEATH, JAMES, EDWARD · NON-MANAGING MEMBER/DIRECTOR OF PATHWAY CAPITAL MANAGEMENT (UK) LIMITED · 5–10%
- ListedHEATH, JAMES, EDWARD · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC
- ListedJAKOBI, KAREN, JANE · MANAGING MEMBER/CO-TRUSTEE OF THE REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · 10–25% · control person
- ListedJAKOBI, KAREN, JANE · CO-TRUSTEE AND INDIRECT OWNER OF RELYING ADVISOR · 75% or more · indirect via REVOCABLE LIVING TRUST OF THE JAKOBI FAMILY UNDER A DECLARATION OF TRUST DATED AUGUST 11, 2000 · control person
- ListedJAKOBI, KAREN, JANE · INDIRECT OWNER OF RELYING ADVISOR · General partner, trustee or manager · indirect via PATHWAY CAPITAL MANAGEMENT LLC · control person
- and 19 more
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- ISHARES TR$15.5M +41.1%
- VANGUARD INDEX FDS$13.5M +28.5%
- VANGUARD INDEX FDS$13.3M +11.5%
- VANGUARD SCOTTSDALE FDS$13.0M +36.8%
- VANGUARD INSTL INDEX FD$12.0M +38.7%
Top Trims
- ISHARES TR-$36.4M -96.8%
- ISHARES INC-$6.6M -15.3%
- MATTHEWS INTL FDS-$4.1M -42.5%
- ISHARES TR-$2.3M -11.4%
- VANGUARD WORLD FD-$2.2M -83.8%
New Positions
- HONEYWELL INTL INC$2.9M
- HONEYWELL AEROSPACE INC$2.0M
- MORGAN STANLEY ETF TRUST$289.5K
- MERCK & CO INC$201.7K
Exited Positions
- HONEYWELL INTL INC$3.1M
- ISHARES TR$680.4K
- ISHARES TR$293.8K
- ISHARES TR$242.5K
- TRUIST FINL CORP$240.9K
Pathway Financial Advisors LLC Holdings (2026-09-30)
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | VANGUARD INDEX FDS | VTV | 922908744 | $129.2M | 14.28% | 598,055 | SH |
| 2 | VANGUARD INDEX FDS | VUG | 922908736 | $113.3M | 12.52% | 1,257,347 | SH |
| 3 | GOLDMAN SACHS ETF TR | GBIL | 381430529 | $85.5M | 9.44% | 853,862 | SH |
| 4 | VANGUARD INDEX FDS | VO | 922908629 | $61.1M | 6.75% | 778,588 | SH |
| 5 | ISHARES TR | IEFA | 46432F842 | $53.3M | 5.89% | 550,410 | SH |
| 6 | VANGUARD SCOTTSDALE FDS | VGIT | 92206C706 | $48.1M | 5.32% | 849,151 | SH |
| 7 | VANGUARD INSTL INDEX FD | VBIL | 922040845 | $43.2M | 4.77% | 570,107 | SH |
| 8 | ISHARES INC | IEMG | 46434G103 | $36.3M | 4.01% | 447,097 | SH |
| 9 | ISHARES TR | IJR | 464287804 | $30.7M | 3.39% | 225,804 | SH |
| 10 | AMERICAN CENTY ETF TR | QGRO | 025072307 | $24.5M | 2.71% | 209,069 | SH |
| 11 | FLEXSHARES TR | GUNR | 33939L407 | $19.0M | 2.10% | 359,635 | SH |
| 12 | SPDR SERIES TRUST | BIL | 78468R663 | $18.3M | 2.02% | 199,952 | SH |
| 13 | VICTORY PORTFOLIOS II | UITB | 92647N527 | $18.2M | 2.01% | 406,962 | SH |
| 14 | ISHARES TR | MXI | 464288695 | $17.7M | 1.96% | 165,886 | SH |
| 15 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $17.3M | 1.91% | 22,700 | SH |
| 16 | VANGUARD INSTL INDEX FD | VGUS | 922040852 | $17.1M | 1.89% | 226,573 | SH |
| 17 | VANGUARD SPECIALIZED FUNDS | VIG | 921908844 | $9.6M | 1.06% | 40,974 | SH |
| 18 | ISHARES TR | EFA | 464287465 | $6.8M | 0.75% | 65,022 | SH |
| 19 | ISHARES TR | IVE | 464287408 | $6.6M | 0.73% | 29,079 | SH |
| 20 | MATTHEWS INTL FDS | ASIA | 577130578 | $5.6M | 0.62% | 135,295 | SH |
| 21 | APPLE INC | AAPL | 037833100 | $5.3M | 0.59% | 16,026 | SH |
| 22 | VANGUARD INDEX FDS | VB | 922908751 | $5.3M | 0.59% | 18,758 | SH |
| 23 | VANGUARD TAX-MANAGED FDS | VEA | 921943858 | $5.0M | 0.55% | 70,764 | SH |
| 24 | ISHARES TR | IVW | 464287309 | $4.2M | 0.47% | 29,821 | SH |
| 25 | VANGUARD INTL EQUITY INDEX F | VWO | 922042858 | $4.0M | 0.44% | 67,026 | SH |
| 26 | ISHARES TR | IWD | 464287598 | $3.6M | 0.40% | 14,660 | SH |
| 27 | ISHARES TR | IQLT | 46434V456 | $3.6M | 0.39% | 71,846 | SH |
| 28 | ISHARES TR | IWR | 464287499 | $3.5M | 0.39% | 33,170 | SH |
| 29 | VANGUARD INDEX FDS | VBR | 922908611 | $3.5M | 0.38% | 15,081 | SH |
| 30 | MICROSOFT CORP | MSFT | 594918104 | $3.2M | 0.36% | 6,302 | SH |
| 31 | ISHARES TR | AAXJ | 464288182 | $3.2M | 0.35% | 27,419 | SH |
| 32 | BNY MELLON ETF TRUST | BKCI | 09661T834 | $3.2M | 0.35% | 61,694 | SH |
| 33 | ISHARES TR | EEM | 464287234 | $3.2M | 0.35% | 47,365 | SH |
| 34 | INVESCO QQQ TR | QQQ | 46090E103 | $3.1M | 0.35% | 4,223 | SH |
| 35 | ISHARES INC | EEMS | 464286475 | $2.9M | 0.32% | 39,012 | SH |
| 36 | HONEYWELL INTL INC | HON | 438516205 | $2.9M | 0.32% | 13,554 | SH |
| 37 | MORGAN STANLEY ETF TRUST | CVLC | 61774R205 | $2.5M | 0.28% | 26,635 | SH |
| 38 | THE BALDWIN INSURANCE GRP IN | BWIN | 05589G102 | $2.4M | 0.27% | 76,394 | SH |
| 39 | VANGUARD INDEX FDS | VOE | 922908512 | $2.3M | 0.26% | 11,864 | SH |
| 40 | ISHARES TR | IJT | 464287887 | $2.3M | 0.25% | 14,261 | SH |
| 41 | MATTHEWS ASIA FDS | MEMS | 577125743 | $2.3M | 0.25% | 75,562 | SH |
| 42 | VANGUARD INDEX FDS | VOO | 922908363 | $2.2M | 0.24% | 3,140 | SH |
| 43 | CATERPILLAR INC | CAT | 149123101 | $2.2M | 0.24% | 2,709 | SH |
| 44 | EA SERIES TRUST | DDX | 02072L748 | $2.2M | 0.24% | 88,761 | SH |
| 45 | SELECT SECTOR SPDR TR | XLK | 81369Y803 | $2.2M | 0.24% | 11,177 | SH |
| 46 | CHURCH & DWIGHT CO INC | CHD | 171340102 | $2.1M | 0.24% | 22,736 | SH |
| 47 | HONEYWELL AEROSPACE INC | HONA | 43849R105 | $2.0M | 0.23% | 13,205 | SH |
| 48 | NVIDIA CORPORATION | NVDA | 67066G104 | $2.0M | 0.22% | 8,844 | SH |
| 49 | ISHARES TR | AGG | 464287226 | $2.0M | 0.22% | 21,240 | SH |
| 50 | GMO ETF TRUST | GMOI | 90139K407 | $1.9M | 0.21% | 47,423 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-07 | $905.1M | 128 | 0001738828-26-000008 |
| 2026-06-30 | 2026-07-06 | $857.3M | 130 | 0001738828-26-000006 |
| 2026-03-31 | 2026-04-08 | $808.3M | 136 | 0001738828-26-000005 |
| 2025-12-31 | 2026-01-14 | $796.0M | 147 | 0001738828-26-000001 |
Filer Information
Address
725 COMMUNITY DRIVESUITE 402
SOUTH BURLINGTON, VT 05403
Phone
(802) 660-7086
Filing Manager
Pathway Financial Advisors LLC
SOUTH BURLINGTON, VT
Signatory
Scott Beaudin
Manager and CCO