Tim A. Brockway

RIVERPATH INVESTMENTS LLC

Sacramento, CA 95815

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CRD#: 2837923

Professional summary

Tim Aaron Brockway, who also goes by Timothy Aaron Swisher, is a registered financial advisor currently at RIVERPATH INVESTMENTS LLC located in Sacramento, California.

Tim is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Tim has worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Timothy Aaron Swisher

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAME:ASSET STRATEGIES GROUP/ASG INSURANCE AND FINANCIAL SERVICES, INC. INV REL: Y. ADD:1792 TRIBUTE ROAD, SUITE 270, SACRAMENTO, CA 95815. NATURE:LIFE, HEALTH. POSITION:OWNERSHIP. START DATE:12/2000 NO. HR/MO:20. NO. HR/MO DURING SEC TRADING:8. Solicitor of RiverPath Investments LLC Investment Related: Yes Address: 1024 Iron Point Road, #100-1490, Folsom, CA 95630 As a solicitor, Tim refers potential individual and business clients to RiverPath Investments who may benefit from investment advisory or pension consulting services, along with relationship management of existing clients. Tim began soliciting for RiverPath Investments in September of 2015. Tim spends approximately 60 hours per month soliciting for RiverPath Investments, 3 hour per day during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tim Aaron Brockway's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 25, 2016 - Present

RIVERPATH INVESTMENTS LLC

Office #1: 1792 Tribute Road Suite 270, Sacramento, CA 95815

RIA

CRD#: 226671

Sacramento, CA

Past

June 11, 2014 - December 10, 2020

STOREHOUSE FINANCIAL

RIA

CRD#: 148683

FOLSOM, CA

Past

June 28, 2004 - July 5, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SACRAMENTO, CA

Past

March 20, 2002 - July 5, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

SACRAMENTO, CA

Past

September 2, 1998 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

September 2, 1998 - March 25, 2002

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RIVERPATH INVESTMENTS LLC

CRD#: 226671 / SEC#: 801-117564

RIA

Registered Investment Advisory firm - (10/31/2019 Approved)

California

Registered Investment Advisory firm - (12/5/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/25/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/18/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/31/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RIVERPATH INVESTMENTS LLC

CRD#: 226671 / SEC#: 801-117564

RIA

Registered Investment Advisory firm - (10/31/2019 Approved)

California

Registered Investment Advisory firm - (12/5/2019 Terminated)

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Contact information

Main Address

El Dorado Hills, CA

Mailing Address

1024 Iron Point Road Suite 100-1490, Folsom, CA 95630

Phone number

(916) 467-9290

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVERPATH INVESTMENTS FORM ADV PART 2A (1/27/2025)

Regulatory assets under management

Total Number of Accounts	199
AUM (Assets Under Management)	$ 310,573,686

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Tim A. Brockway

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tim Aaron Brockway's CRS (Customer Relationship Summary).

Certified licenses

Experience

STOREHOUSE FINANCIAL

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

ROBERT W. BAIRD & CO. INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

RIVERPATH INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/18/2004

Series 63

Date: 8/25/1998

Series 6

Date: 8/31/1998

Current Firm

RIVERPATH INVESTMENTS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERPATH INVESTMENTS LLC

TRUST BUT VERIFY

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