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PATHFINDER WEALTH CONSULTING

WILMINGTON, NC · CRD 336658 · IAPD ↗ · (910) 793-0616

$865.5MRegulatory AUM
9Advisory reps
17Employees
0Clients
0Planning clients
0Private funds
16States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

63
May 2026 — PATHFINDER WEALTH CONSULTING (WILMINGTON, NC) left the SEC roster (was $865.5M RAUM, 9 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
68
January 2026 — PATHFINDER WEALTH CONSULTING now reports custody of client assets ($201.1M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
73
January 2026 — PATHFINDER WEALTH CONSULTING's provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
95
December 2025 — PATHFINDER WEALTH CONSULTING (WILMINGTON, NC) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 9 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.