# Hathaway Financial

Hathaway Financial is a Bank / Wealth / Trust based in San Jose, United States.

## Overview

- **Organization type:** Bank / Wealth / Trust
- **Headquarters:** San Jose, United States
- **Region:** North America
- **Address:** San Jose, CA, United States
- **Founded:** 2018
- **Assets under management:** Undisclosed
- **Website:** hathawayfinancial.com
- **LinkedIn:** https://www.linkedin.com/company/hathawayfin

## Regulatory record

- **CRD number:** 298378
- **Registration status:** Registered
- **Reports private funds:** No
- **IAPD record:** https://adviserinfo.sec.gov/firm/summary/298378

## About

Hathaway Financial registered with the SEC in 2018, establishing a San Jose base to serve the concentrated wealth created by the Bay Area's technology economy. The firm structured itself as a fee-only RIA, a model that places fiduciary duty at the center of every client relationship. Its stated service lines span financial planning, retirement income modeling, estate and tax planning, and discretionary investment management — the full stack a Silicon Valley executive or founder typically needs when liquidity arrives. The firm's investment approach draws from the toolkit of traditional private-client wealth management: portfolio construction anchored by modern portfolio theory, asset allocation across public equities and fixed income, and tax-loss harvesting. Hathaway Financial does not operate in-house venture funds or private-market access vehicles. Instead, it competes by offering consolidated financial lives — integrating a client's concentrated stock positions, deferred compensation, real estate holdings, and generational transfer goals into a single household balance-sheet view. This bundling of planning and asset management is the core deployment thesis. Hathaway Financial operates from a single office in San Jose. Public filings do not disclose assets under management, audited financials, or a named roster of investment committee members — a common posture for a firm that has deliberately remained beneath the institutional radar. The business appears to scale through professional referrals, with a geographic footprint concentrated in Santa Clara County and the broader South Bay. No related philanthropic vehicle, operating company, or multi-family-office conversion is known. The firm's structural shape — a solo-office RIA with no broker-dealer affiliate — creates a clean fiduciary alignment that some family offices share but that many bank-owned wealth managers cannot match. That independence is the differentiator: Hathaway Financial can recommend a trust attorney, a CPA, or a private-bank mortgage without a product-sales mandate shaping the referral. The absence of a next-generation transition plan or named successor is the governance question that will intensify with each passing year.

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Last updated: 2026-06-03T20:00:00.000Z

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