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.
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SEC-registered adviser
G•••••• I••••••••• A•••••••• I•••
Latest filing Jun 24, 2026
First filing on the tape Mar 29, 2012 · 31 filings
SEC status approved since May 3, 2021
RAUM
$173M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$103M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$34.6M
derived; firm RAUM over IAPD count
Employees
13
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$173M as of Jun 24, 2026
Apr 30, 2012$75.0M then
HNW client RAUM$38.1M as of Jun 24, 2026
Mar 28, 2022$33.2M then
State-registered IARs (5.B.3)4 as of Jun 24, 2026
Mar 28, 20224 then
Employees (5.A)13 as of Jun 24, 2026
Mar 28, 20229 then
Private funds: no history
RAUM +6.6% over the last fiscal year+8.8% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $34.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 77derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $231,745derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.6derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminarsreportedItem 5.G
- Custody
- $87.9M, 61 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$69.8M40%
- Individuals$65.0M38%
- High-net-worth individuals$38.1M22%
- Corporations and businesses$199,8330.1%
- Individual clients
- 366reported
- HNW clients
- 18reported
- Pension plan clients
- 62reported
- Charitable clients
- n/areported
- Accounts
- 747reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $87.9M for 61 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.4 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• E••••• G••••••Certified Financial Planner, Chartered Financial Consultant | Kalamazoo, Mi | Aug 25, 2010 | 36 y | 0 |
| C•••• M•••••• I•••••••Certified Financial Planner, Chartered Financial Consultant | Kalamazoo, Mi | Sep 2, 2020 | 11 y | 0 |
| C•••••• T•••••• B••••• | Kalamazoo, Mi | Dec 2, 2021 | 14 y | 0 |
| E•••• H••••••• T••••Chartered Financial Consultant | Zeeland, Mi | Oct 6, 2022 | 10 y | 0 |
| P•••• G••••• D•••••••• | Kalamazoo, Mi | Jun 22, 2026 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- C•••• J•• S••••• to W••• M••••••• A•••••••Aug 2, 2023 · RIA to RIA
- C••••• J••• B•••••••• to H•••••• I••••••••• I•••Aug 21, 2020 · Other
- J••••• F•••••••• V••••• to P••••••••• C•••••• A•••••••Dec 8, 2018 · Other
- V•••••• E••••• F••••• to P•• W••••• M•••••••••Dec 1, 2011 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• J••••• E••••• · President And Chief Compliance Officercontrolsince 12/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kalamazoo, Mi · principal | 5 | 1 | 0 | ||
| Zeeland, Mi | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Zeeland, MI3 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 24, 2026institutional share of RAUM of 40% against a peer median of 0% (5676 comparable advisers, 98.0th percentile, 13.5 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 98% percentile
- advisor count dropChange between filings · filing Apr 29, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-04-24 and 2026-04-29; the peer median change was 0.0% (965 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 4.1% percentile
What changed
consecutive filings, newest first
- Accounts · 713 to 747Dec 16, 2025 to Mar 13, 2026
- Advisory employees · 6 to 4Dec 16, 2025 to Mar 13, 2026
- HNW clients · 13 to 18Dec 16, 2025 to Mar 13, 2026
- Individual clients · 364 to 366Dec 16, 2025 to Mar 13, 2026
- Pension plan clients · 52 to 62Dec 16, 2025 to Mar 13, 2026
- Commission compensation · true to falseDec 16, 2025 to Mar 13, 2026
- Assets in custody · $89.0M to $87.9MDec 16, 2025 to Mar 13, 2026
- Employees · 14 to 13Dec 16, 2025 to Mar 13, 2026
- Financial planning clients · 11-25 to 101-250Dec 16, 2025 to Mar 13, 2026
- State-registered IARs · 6 to 4Dec 16, 2025 to Mar 13, 2026
- Discretionary RAUM · $156M to $172MDec 16, 2025 to Mar 13, 2026
- HNW RAUM · $29.2M to $38.1MDec 16, 2025 to Mar 13, 2026
- Individual RAUM · $66.9M to $65.0MDec 16, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $6.2M to $697,123Dec 16, 2025 to Mar 13, 2026
- Pension RAUM · $66.2M to $69.8MDec 16, 2025 to Mar 13, 2026
- RAUM · $162M to $173MDec 16, 2025 to Mar 13, 2026
- Financial planning clients · 11-25 to 11-25Apr 24, 2025 to May 22, 2025
- Accounts · 744 to 713Sep 24, 2024 to Apr 24, 2025
- Advisory employees · 5 to 6Sep 24, 2024 to Apr 24, 2025
- Advisory activities · 3 to 5Sep 24, 2024 to Apr 24, 2025
- HNW clients · 15 to 13Sep 24, 2024 to Apr 24, 2025
- Individual clients · 375 to 364Sep 24, 2024 to Apr 24, 2025
- Pension plan clients · 73 to 52Sep 24, 2024 to Apr 24, 2025
- Commission compensation · false to trueSep 24, 2024 to Apr 24, 2025
- Assets in custody · $86.4M to $89.0MSep 24, 2024 to Apr 24, 2025
- Employees · 10 to 14Sep 24, 2024 to Apr 24, 2025
- State-registered IARs · 5 to 6Sep 24, 2024 to Apr 24, 2025
- Discretionary RAUM · $143M to $156MSep 24, 2024 to Apr 24, 2025
- HNW RAUM · $28.8M to $29.2MSep 24, 2024 to Apr 24, 2025
- Individual RAUM · $59.4M to $66.9MSep 24, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $17.4M to $6.2MSep 24, 2024 to Apr 24, 2025
- Pension RAUM · $71.4M to $66.2MSep 24, 2024 to Apr 24, 2025
- RAUM · $160M to $162MSep 24, 2024 to Apr 24, 2025
- Accounts · 718 to 744Dec 14, 2023 to Feb 9, 2024
- HNW clients · 12 to 15Dec 14, 2023 to Feb 9, 2024
- Individual clients · 368 to 375Dec 14, 2023 to Feb 9, 2024
- Pension plan clients · 74 to 73Dec 14, 2023 to Feb 9, 2024
- Assets in custody · $56.7M to $86.4MDec 14, 2023 to Feb 9, 2024
- Financial planning clients · 251-500 to 11-25Dec 14, 2023 to Feb 9, 2024
- Discretionary RAUM · $119M to $143MDec 14, 2023 to Feb 9, 2024
Signals
3 dated events
- C•••• J•• S••••• left G•••••• I••••••••• A•••••••• I••• for W••• M••••••• A••••••• (registered 2024-09-26)Aug 2, 2023 · Advisor changed firm · fact
- E••••• Charles Gasaway (President) no longer on Schedule A of G•••••• I••••••••• A•••••••• I••• (listed 2012-09-14, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- G•••••• I••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Mar 31, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 269-242-4015reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 269-324-0080reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/gasawayinvestmentadvisorsinc.reportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/alliance-retirement-plan-solutionsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- gasawayinvestments.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (269) 324-0080reportedpublic record, Form ADV, Jun 24, 2026
- Contact form
- gasawayinvestments.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- gasawayinvestments.com/team-memberreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $34.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026