{"url":"https://nivawealth.com/firms/gasaway-investment-advisors-123807","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/123807","regulatoryAum":173113302,"crd":"123807","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5377755","suffix":null,"lastName":"BORTON","firstName":"CAITLIN","middleName":"THERESE"},{"crd":"8298783","suffix":null,"lastName":"DeKruyter","firstName":"Peter","middleName":"Gordon"},{"crd":"2068064","suffix":null,"lastName":"GASAWAY","firstName":"JAMES","middleName":"EDWARD"},{"crd":"7289533","suffix":null,"lastName":"IMBERGER","firstName":"CHASE","middleName":"MICHAEL"},{"crd":"7633759","suffix":null,"lastName":"THIES","firstName":"ETHAN","middleName":"HENDRICK"}],"total":5,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"history":[{"filedOn":"2021-04-08","regulatoryAum":133480460,"clients":380,"employees":3,"offices":1},{"filedOn":"2022-03-28","regulatoryAum":162800478,"clients":431,"employees":9,"offices":1},{"filedOn":"2023-05-25","regulatoryAum":134452708,"clients":454,"employees":10,"offices":1},{"filedOn":"2024-07-02","regulatoryAum":160032039,"clients":463,"employees":10,"offices":2},{"filedOn":"2025-05-22","regulatoryAum":162423538,"clients":429,"employees":14,"offices":2},{"filedOn":"2026-06-24","regulatoryAum":173113302,"clients":446,"employees":13,"offices":2}],"secFileNumber":"801-121052","legalName":"Gasaway Investment Advisors, Inc.","displayName":"Gasaway Investment Advisors","slug":"gasaway-investment-advisors-123807","website":"https://gasawayinvestments.com/","logo":{"src":"https://rmkhnxnbeclogprvkfyl.supabase.co/storage/v1/object/public/firm-logos/123807/af22ad38e50b6fb1-r1.webp","tone":"light","width":723,"height":200,"sourceUrl":"https://www.gasawayinvestments.com/","sourceLabel":"Gasaway Investment Advisors, Inc., website"},"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"linkedinUrl":"https://www.linkedin.com/company/gasawayinvestmentadvisorsinc./","founded":null,"organization":"Michigan corporation","fiscalYearEnd":"December","headquarters":{"street":"7110 Stadium Drive","city":"Kalamazoo","state":"MI","stateName":"Michigan","country":"United States","postalCode":"49009"},"tradeNames":["Alliance Retirement Plan Solutions"],"registration":{"secApproved":"3 May 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Management","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061753","versionId":1061753,"ratePeriod":"annual","fee_billing":"arrears","submittedOn":"2026-10-21","documentName":"10 20 2026 GIA FORM ADV PART 2A AND 2B FINAL","fee_rate_low":1,"fee_rate_high":1.75,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial Planning and Consulting","summary":"Financial planning and consulting are charged in arrears at an hourly rate of up to $250, or as a subscription of $25 to $300 a month billed in advance.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061753","versionId":1061753,"submittedOn":"2026-10-21","documentName":"10 20 2026 GIA FORM ADV PART 2A AND 2B FINAL"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:42:17.240782+00:00","documents":[{"name":"10 20 2026 GIA FORM ADV PART 2A AND 2B FINAL","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1061753","versionId":1061753,"submittedOn":"2026-10-21"}]},"custodians":[{"name":"Raymond James & Associates, Inc.","shortName":"Raymond James","location":"St. Petersburg, FL","smaAssets":100661070},{"name":"Matrix Trust Co","shortName":"Matrix Trust","location":"Denver, CO","smaAssets":69640286}],"custodyNote":"Gasaway Investment Advisors has custody of $87.9M in client assets for 61 clients.","otherCustodians":[],"leadership":[{"name":"James Gasaway","title":"President","crd":"2068064"},{"name":"Stephanie Lehmkuhl","title":"Chief Compliance Officer","crd":"6321972"}],"ownership":[{"label":"James Gasaway","detail":"President in the 75% or more ownership band and a control person, since December 2015."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Michigan","offices":2,"addresses":[{"street":"7110 Stadium Drive","city":"Kalamazoo","headquarters":true},{"street":"10500 Chicago Drive","city":"Zeeland"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"269-324-0080","stateRegisteredReps":4,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Subscription fees"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Pension consulting services","Publication of periodicals or newsletters","Educational seminars/workshops"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":10},{"label":"Investment grade corporate bonds","percent":1},{"label":"Securities issued by registered 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They include 366 individual clients, 62 pension and profit-sharing plans, and 18 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gasaway Investment Advisors offer?","answer":"Gasaway Investment Advisors provides financial planning, portfolio management for individuals and small businesses, pension consulting, publishing newsletters, and educational seminars.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Gasaway Investment Advisors charge?","answer":"Gasaway Investment Advisors charges 1.00%–1.75% a year for its Investment Management. The fee is billed in arrears and is negotiable.","source":"10 20 2026 GIA FORM ADV PART 2A AND 2B FINAL, filed 21 October 2026","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"Which custodians does Gasaway Investment Advisors use?","answer":"Gasaway Investment Advisors’ separately managed account assets are held at Raymond James & Associates, Inc. (St. Petersburg, FL), with $101M and Matrix Trust Co (Denver, CO), with $69.6M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gasaway Investment Advisors have?","answer":"Gasaway Investment Advisors has 4 investment adviser representatives registered with state securities authorities, out of 13 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 3 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Gasaway Investment Advisors invest in?","answer":"At the end of its last fiscal year, Gasaway Investment Advisors’ separately managed accounts held 70% registered funds (mutual funds, ETFs, BDCs), 19% cash and equivalents, 10% exchange-traded equities, 1% investment grade corporate bonds, 1% pooled vehicles (private funds and similar) and 1% other. The 1% other category is described as: Variable Annuity.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Gasaway Investment Advisors?","answer":"Gasaway Investment Advisors’ direct owner is James Gasaway (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gasaway Investment Advisors get paid?","answer":"Gasaway Investment Advisors is paid through a percentage of assets under management, hourly charges and subscription fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Gasaway Investment Advisors?","answer":"Gasaway Investment Advisors’ main office is at 7110 Stadium Drive, Kalamazoo, MI 49009. Its phone number is 269-324-0080. Its website is gasawayinvestments.com.","source":"Form ADV Part 1A, Item 1.F, filed 24 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}