DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Dewaay Capital Management

Former SEC-registered adviserWest Des Moines, IowaCRD 116214SEC 801-61161IAPD
Legal name Dewaay Capital Management, Inc.
Latest filing Mar 21, 2017
First filing on the tape Apr 4, 2012 · 23 filings
RAUM
$38.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$38.0M as of Mar 21, 2017
Apr 4, 2012$452M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 21, 2017
Mar 27, 20139 then
Employees (5.A)2 as of Mar 21, 2017
Mar 27, 201311 then
Private funds: no history
RAUM -59% over the last fiscal year-41% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Mar 21, 2017; every figure names its basis
RAUM per advisor
$19.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$126,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-59%derivedbetween the last two annual amendments
Advisor growth, one year
-60%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
300reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gene Donald Dewaay · Founder & Ceo, Ccocontrol
    since 09/1989 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Dewaay Capital Management as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 428 to 300
    Nov 28, 2016 to Mar 21, 2017
  • Advisory employees · 5 to 2
    Nov 28, 2016 to Mar 21, 2017
  • Advisory activities · 6 to 5
    Nov 28, 2016 to Mar 21, 2017
  • Employees · 8 to 2
    Nov 28, 2016 to Mar 21, 2017
  • Financial planning clients · 11-25 to 0
    Nov 28, 2016 to Mar 21, 2017
  • State-registered IARs · 5 to 2
    Nov 28, 2016 to Mar 21, 2017
  • Discretionary RAUM · $92.0M to $38.0M
    Nov 28, 2016 to Mar 21, 2017
  • RAUM · $92.0M to $38.0M
    Nov 28, 2016 to Mar 21, 2017
  • Related insurance company · true to false
    Nov 28, 2016 to Mar 21, 2017
  • Accounts · 2,062 to 428
    Nov 6, 2015 to Mar 17, 2016
  • BD registered reps · 2 to 0
    Nov 6, 2015 to Mar 17, 2016
  • Assets in custody · 66092.0 to unset
    Nov 6, 2015 to Mar 17, 2016
  • Custody of client assets · true to false
    Nov 6, 2015 to Mar 17, 2016
  • Discretionary RAUM · $102M to $92.0M
    Nov 6, 2015 to Mar 17, 2016
  • RAUM · $102M to $92.0M
    Nov 6, 2015 to Mar 17, 2016
  • HQ city · JOHNSTON to WEST DES MOINES
    Jul 30, 2015 to Nov 6, 2015
  • Discretionary RAUM · $118M to $102M
    Jul 30, 2015 to Nov 6, 2015
  • RAUM · $118M to $102M
    Jul 30, 2015 to Nov 6, 2015
  • Accounts · 2,852 to 2,062
    Feb 19, 2015 to Mar 23, 2015
  • Advisory employees · 6 to 5
    Feb 19, 2015 to Mar 23, 2015
  • BD registered reps · 0 to 2
    Feb 19, 2015 to Mar 23, 2015
  • Assets in custody · $21,155 to $66,092
    Feb 19, 2015 to Mar 23, 2015
  • Employees · 13 to 8
    Feb 19, 2015 to Mar 23, 2015
  • State-registered IARs · 8 to 5
    Feb 19, 2015 to Mar 23, 2015
  • Discretionary RAUM · $164M to $118M
    Feb 19, 2015 to Mar 23, 2015
  • Non-discretionary RAUM · $21.9M to $0
    Feb 19, 2015 to Mar 23, 2015
  • RAUM · $186M to $118M
    Feb 19, 2015 to Mar 23, 2015
  • Advisory employees · 9 to 6
    Jul 24, 2014 to Sep 5, 2014
  • Assets in custody · $22,718 to $21,155
    Jul 24, 2014 to Sep 5, 2014
  • Employees · 11 to 13
    Jul 24, 2014 to Sep 5, 2014
  • Insurance-licensed employees · 3 to 0
    Jul 24, 2014 to Sep 5, 2014
  • Related adviser · true to false
    Mar 28, 2014 to Jul 1, 2014
  • Accounts · 3,771 to 2,852
    Jul 15, 2013 to Mar 28, 2014
  • Advisory employees · 8 to 9
    Jul 15, 2013 to Mar 28, 2014
  • Employees · 10 to 11
    Jul 15, 2013 to Mar 28, 2014
  • Discretionary RAUM · $168M to $164M
    Jul 15, 2013 to Mar 28, 2014
  • Non-discretionary RAUM · $34.0M to $21.9M
    Jul 15, 2013 to Mar 28, 2014
  • RAUM · $202M to $186M
    Jul 15, 2013 to Mar 28, 2014
  • Advisory employees · 9 to 8
    May 22, 2013 to Jul 15, 2013
  • Employees · 11 to 10
    May 22, 2013 to Jul 15, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026