This profile contains general information that is not suitable for everyone. The information contained herein should not be construed as personalized investment advice. Past performance is no guarantee of future results. There is no guarantee that the views and opinions expressed in this profile will come to pass. Investing in the stock market involves gains and losses and may not be suitable for all investors. Information presented herein is subject to change without notice and should not be considered as a solicitation to buy or sell any security.
Path Financial LLC (”Path Financial”) is a registered investment adviser with its principal place of business in the State of Florida. Path Financial and its representatives are in compliance with the current registration requirements imposed upon registered investment advisers by those states in which Path Financial maintains clients. Path Financial may only transact business in those states in which it is registered, or qualifies for an exemption or exclusion from registration requirements. This profile is limited to the dissemination of general information pertaining to its investment advisory services. Any subsequent, direct communication by Path Financial with a prospective client shall be conducted by a representative that is either registered or qualifies for an exemption or exclusion from registration in the state where the prospective client resides. For information pertaining to the registration status of Path Financial, please contact Path Financial or refer to the Investment Adviser Public Disclosure website.
For additional information about Path Financial, including fees and services, send for our disclosure statement as set forth on form ADV from Path Financial using the contact information herein. Please read the disclosure statement carefully before you invest or send money.
*Winners appearing on this page do not pay a fee to be considered or to win the Five Star Award. Professionals with a digital profile have paid a promotional fee.
The Five Star Wealth Manager award, administered by Crescendo Business Services, LLC (dba Five Star Professional), is based on 10 objective criteria. Eligibility criteria – required: 1. Credentialed as a registered investment adviser or a registered investment adviser representative; 2. Actively licensed as a registered investment adviser or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by Five Star Professional, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or Five Star Professional’s consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through Five Star Professional’s consumer complaint process; feedback may not be representative of any one client’s experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria – considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. Award does not evaluate quality of services provided to clients. Once awarded, wealth managers may purchase additional profile ad space or promotional products. The Five Star award is not indicative of the wealth manager’s future performance. Wealth managers may or may not use discretion in their practice and therefore may not manage their client’s assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by Five Star Professional or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by Five Star Professional in the future. For more information on the Five Star award and the research/selection methodology, go to fivestarprofessional.com. 613 Sarasota-area wealth managers were considered for the award; 51 (8% of candidates) were named 2021 Five Star Wealth Managers. 2020: 579 considered, 49 winners; 2019: 602 considered, 60 winners; 2018: 626 considered, 52 winners; 2017: 434 considered, 40 winners; 2016: 464 considered, 96 winners; 2015: 602 considered, 112 winners; 2014: 849 considered, 146 winners; 2013: 652 considered, 141 winners; 2012: 530 considered, 149 winners.