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
F•••••• A•••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 15, 2012 · 5 filings
SEC status approved since Sep 16, 2025
RAUM
$117M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
59%
$69.1M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$58.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$117M as of Mar 30, 2026
Feb 15, 2012$68.6M then
HNW client RAUM$56.1M as of Mar 30, 2026
Aug 26, 2025$48.1M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Feb 15, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Aug 26, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 37derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$56.1M48%
- Corporations and businesses$36.5M31%
- Individuals$13.1M11%
- Pension and profit-sharing plans$6.1M5.2%
- Charitable organizations$5.6M4.8%
- Individual clients
- 63reported
- HNW clients
- 11reported
- Pension plan clients
- 7reported
- Charitable clients
- 1reported
- Accounts
- 83reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.59 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• M••• T••••• | Omaha, Ne | Feb 6, 2009 | 34 y | 1 |
| G••••• E••• O••••••Chartered Financial Analyst | Omaha, Ne | Apr 10, 2023 | 11 y | 1 |
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 headcount1 left over 36 months
Left, latest
- R•••••• R••• F••••••• to T•• P•••••• F•••••••• G••••• L••Apr 22, 2025 · Other
- J•••• M••••••• L••••• to E••••• J••••Jan 9, 2015 · Other
Joined, latest
- G••••• E••• O•••••• from O•••• P•••••••• S••••••••• L••Apr 10, 2023 · Other
- R•••••• R••• F••••••• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 13, 2015 · Other
- R••• M••• T••••• from A•••••• F•••• I••••••••• A••••••• L••Feb 6, 2009 · Other
- J•••• M••••••• L••••• from S••••••• C••••••• L••Nov 7, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• D•••••• D••• · Chairmancontrolsince 07/2008 · owns less than 5%
- G•••••••• B•••• · Executive Vice Presidentcontrolsince 07/2008 · owns less than 5%
- L•••••• J••••• M••••••• · Secretary & Chief Compliance Officercontrolsince 07/2008 · owns less than 5%
- T•••••• R•••• M••• · Presidentcontrolsince 07/2008 · owns less than 5%
- B•••••••• D•••••• D••• · Member & Mangercontrolsince 07/2008 · owns 25% to 50% of F•••••• A•••• M••••••••• H•••••••• L••
- G•••••••• B•••• · Member & Managercontrolsince 03/2008 · owns F of F•••••• A•••• M••••••••• H•••••••• L••
- T•••••• R•••• M••• · Member & Managercontrolsince 07/2008 · owns 25% to 50% of F•••••• A•••• M••••••••• H•••••••• L••
Entity owners
- F•••••• A•••• M••••••••• H•••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- B••••••• A•• A••••••••• P•insurancen
- F•••••• I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Omaha, Ne · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Portland, OR
What changed
consecutive filings, newest first
- Accounts · 82 to 83Aug 26, 2025 to Mar 30, 2026
- HNW clients · 9 to 11Aug 26, 2025 to Mar 30, 2026
- Individual clients · 65 to 63Aug 26, 2025 to Mar 30, 2026
- Pension plan clients · 6 to 7Aug 26, 2025 to Mar 30, 2026
- Employees · 3 to 4Aug 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $107M to $111MAug 26, 2025 to Mar 30, 2026
- HNW RAUM · $48.1M to $56.1MAug 26, 2025 to Mar 30, 2026
- Individual RAUM · $16.4M to $13.1MAug 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $4.8M to $6.1MAug 26, 2025 to Mar 30, 2026
- Pension RAUM · $6.1M to $6.1MAug 26, 2025 to Mar 30, 2026
- RAUM · $112M to $117MAug 26, 2025 to Mar 30, 2026
- Accounts · 115 to 82Mar 28, 2012 to Aug 26, 2025
- Advisory employees · unset to 3.0Mar 28, 2012 to Aug 26, 2025
- Advisory activities · 2 to 3Mar 28, 2012 to Aug 26, 2025
- Charity clients · unset to 1.0Mar 28, 2012 to Aug 26, 2025
- Corporate clients · unset to 1.0Mar 28, 2012 to Aug 26, 2025
- HNW clients · unset to 9.0Mar 28, 2012 to Aug 26, 2025
- Individual clients · unset to 65.0Mar 28, 2012 to Aug 26, 2025
- Pension plan clients · unset to 6.0Mar 28, 2012 to Aug 26, 2025
- Employees · unset to 3.0Mar 28, 2012 to Aug 26, 2025
- Financial planning clients · unset to 1-10Mar 28, 2012 to Aug 26, 2025
- State-registered IARs · 0 to 3Mar 28, 2012 to Aug 26, 2025
- Other offices · unset to 0.0Mar 28, 2012 to Aug 26, 2025
- Discretionary RAUM · $71.8M to $107MMar 28, 2012 to Aug 26, 2025
- HNW RAUM · unset to 48081786.0Mar 28, 2012 to Aug 26, 2025
- Individual RAUM · unset to 16410034.0Mar 28, 2012 to Aug 26, 2025
- Non-discretionary RAUM · $0 to $4.8MMar 28, 2012 to Aug 26, 2025
- Pension RAUM · unset to 6132012.0Mar 28, 2012 to Aug 26, 2025
- RAUM · $71.8M to $112MMar 28, 2012 to Aug 26, 2025
- Accounts · 113 to 115Feb 15, 2012 to Mar 28, 2012
- Discretionary RAUM · $68.6M to $71.8MFeb 15, 2012 to Mar 28, 2012
- RAUM · $68.6M to $71.8MFeb 15, 2012 to Mar 28, 2012
Signals
1 dated events
- R•••••• R••• F••••••• left F•••••• A•••• M••••••••• L•• for T•• P•••••• F•••••••• G••••• L•• (registered 2025-05-14)Apr 22, 2025 · Advisor changed firm · 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
- 402-281-2219reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/fairwayassetmanagement/?viewAsMember=trreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (402) 932-4630reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- fairwayasset.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- fairwayasset.com/our-teamreportedpublished 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
- $58.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026