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

Fairway Wealth Management LLC

Former SEC-registered adviserIndependence, OhioCRD 120296SEC 801-61106IAPD
Latest filing Jun 27, 2020
First filing on the tape Mar 9, 2012 · 11 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
0.2%
of RAUM
Private clients
99%
$1.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
15
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.6B as of Feb 24, 2020
Mar 9, 2012$702M then
HNW client RAUM$1.6B as of Feb 24, 2020
Mar 2, 2018$1.3B then
State-registered IARs (5.B.3)6 as of Feb 24, 2020
Mar 9, 20120 then
Employees (5.A)15 as of Feb 24, 2020
Mar 20, 201311 then
Private funds: no history
RAUM +18% over the last fiscal year+12% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Jun 27, 2020; every figure names its basis
RAUM per advisor
$270MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$7.8MderivedHNW RAUM over HNW clients
Average account
$6.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.2%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
6.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.8%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Custody
$62.9M, 19 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.6B98%
  • Corporations and businesses$11.8M0.7%
  • Individuals$10.1M0.6%
  • Pension and profit-sharing plans$5.9M0.4%
Individual clients
31reported
HNW clients
203reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
238reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$62.9M for 19 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Joseph Charles Avarello · Secretarycontrol
      since 05/2016 · owns 10% to 25%
    • Raymond Daniel Gaugler · President And Ceocontrol
      since 04/2002 · owns 25% to 50%
    • John Terry Waye · Membercontrol
      since 05/2016 · owns 5% to 10%
    • Steven Mark Weiskind · Vice President And Chief Compliance Officercontrol
      since 04/2002 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 220 to 238
      Mar 4, 2019 to Feb 24, 2020
    • Corporate clients · 2 to 3
      Mar 4, 2019 to Feb 24, 2020
    • HNW clients · 188 to 203
      Mar 4, 2019 to Feb 24, 2020
    • Individual clients · 27 to 31
      Mar 4, 2019 to Feb 24, 2020
    • Pension plan clients · 3 to 1
      Mar 4, 2019 to Feb 24, 2020
    • Assets in custody · $45.8M to $62.9M
      Mar 4, 2019 to Feb 24, 2020
    • Employees · 14 to 15
      Mar 4, 2019 to Feb 24, 2020
    • Discretionary RAUM · $3.1M to $2.6M
      Mar 4, 2019 to Feb 24, 2020
    • HNW RAUM · $1.3B to $1.6B
      Mar 4, 2019 to Feb 24, 2020
    • Individual RAUM · $8.4M to $10.1M
      Mar 4, 2019 to Feb 24, 2020
    • Non-discretionary RAUM · $1.4B to $1.6B
      Mar 4, 2019 to Feb 24, 2020
    • Pension RAUM · $33.1M to $5.9M
      Mar 4, 2019 to Feb 24, 2020
    • RAUM · $1.4B to $1.6B
      Mar 4, 2019 to Feb 24, 2020
    • Accounts · 192 to 220
      Mar 2, 2018 to Mar 4, 2019
    • Corporate clients · 3 to 2
      Mar 2, 2018 to Mar 4, 2019
    • HNW clients · 174 to 188
      Mar 2, 2018 to Mar 4, 2019
    • Individual clients · 13 to 27
      Mar 2, 2018 to Mar 4, 2019
    • Pension plan clients · 2 to 3
      Mar 2, 2018 to Mar 4, 2019
    • Assets in custody · $46.0M to $45.8M
      Mar 2, 2018 to Mar 4, 2019
    • Employees · 13 to 14
      Mar 2, 2018 to Mar 4, 2019
    • Discretionary RAUM · $1.6M to $3.1M
      Mar 2, 2018 to Mar 4, 2019
    • HNW RAUM · $1.3B to $1.3B
      Mar 2, 2018 to Mar 4, 2019
    • Individual RAUM · $5.2M to $8.4M
      Mar 2, 2018 to Mar 4, 2019
    • Non-discretionary RAUM · $1.3B to $1.4B
      Mar 2, 2018 to Mar 4, 2019
    • Pension RAUM · $28.6M to $33.1M
      Mar 2, 2018 to Mar 4, 2019
    • RAUM · $1.3B to $1.4B
      Mar 2, 2018 to Mar 4, 2019
    • Accounts · 179 to 192
      Mar 2, 2017 to Mar 2, 2018
    • Advisory employees · 6 to 7
      Mar 2, 2017 to Mar 2, 2018
    • Corporate clients · unset to 3.0
      Mar 2, 2017 to Mar 2, 2018
    • HNW clients · unset to 174.0
      Mar 2, 2017 to Mar 2, 2018
    • Individual clients · unset to 13.0
      Mar 2, 2017 to Mar 2, 2018
    • Pension plan clients · unset to 2.0
      Mar 2, 2017 to Mar 2, 2018
    • Assets in custody · $59.1M to $46.0M
      Mar 2, 2017 to Mar 2, 2018
    • State-registered IARs · 5 to 6
      Mar 2, 2017 to Mar 2, 2018
    • Other offices · unset to 0.0
      Mar 2, 2017 to Mar 2, 2018
    • Discretionary RAUM · $0 to $1.6M
      Mar 2, 2017 to Mar 2, 2018
    • HNW RAUM · unset to 1281631102.0
      Mar 2, 2017 to Mar 2, 2018
    • Individual RAUM · unset to 5163798.0
      Mar 2, 2017 to Mar 2, 2018
    • Non-discretionary RAUM · $1.2B to $1.3B
      Mar 2, 2017 to Mar 2, 2018
    • Pension RAUM · unset to 28588281.0
      Mar 2, 2017 to Mar 2, 2018
    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