Aegis Wealth Management, Inc.
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 301990
· SEC file 801-117179
· Guthrie Center, IA
· www.oakwayfinancial.com
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ADV data as of Aug 11, 2026
- Regulatory AUM
- $216M
- Discretionary
- $216M
- Clients
- 2,350
- Avg AUM / client
- $92.1K
- Accounts
- 2,350
- Employees
- 27
AUM over time
$0
$216M
Jul 16, 2019
Aug 11, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Aug 11, 2026
Investments (13F portfolio — 119 positions, $154,901,483)
13F period Jun 30, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Northern Lts Fd Tr Iii | HCM DEFND 100 | $20,020,735 | 233,887 | 12.9% | 9.25% |
| 2 | Northern Lts Fd Tr Iii | HCM DEFEN 500 | $16,876,158 | 264,683 | 10.9% | 7.8% |
| 3 | Spdr Series Trust | ST STR CONV ETF | $13,141,409 | 121,883 | 8.48% | 6.07% |
| 4 | Pimco Etf Tr | ENHAN SHRT MA AC | $5,547,802 | 55,032 | 3.58% | 2.56% |
| 5 | Pimco Etf Tr | ULTR SH GO AC FD | $5,244,726 | 51,964 | 3.39% | 2.42% |
| 6 | Eli Lilly & Co | COM | $4,223,193 | 3,521 | 2.73% | 1.95% |
| 7 | Aim Etf Products Trust | ALLIA US MAY ETF | $3,985,581 | 114,627 | 2.57% | 1.84% |
| 8 | Ishares Tr | CORE S&P500 ETF | $2,928,259 | 3,910 | 1.89% | 1.35% |
| 9 | Direxion Shares Etf Trust | DIREXION HCM | $2,825,791 | 67,377 | 1.82% | 1.31% |
| 10 | Innovator Etfs Trust | EQUIT PROTN MAY | $2,704,868 | 104,166 | 1.75% | 1.25% |
| 11 | State Str Spdr S&P 500 Etf T | TR UNIT | $2,554,343 | 3,421 | 1.65% | 1.18% |
| 12 | Aim Etf Products Trust | ALLIANZIM US EQT | $2,522,007 | 64,671 | 1.63% | 1.17% |
| 13 | Ishares Tr | S&P 500 GRWT ETF | $2,470,470 | 17,963 | 1.59% | 1.14% |
| 14 | Vanguard Index Fds | S&P 500 ETF SHS | $2,225,104 | 3,240 | 1.44% | 1.03% |
| 15 | Oreilly Automotive Inc | COM | $2,080,221 | 22,589 | 1.34% | 0.96% |
| 16 | Apple Inc | COM | $1,906,157 | 6,587 | 1.23% | 0.88% |
| 17 | J P Morgan Exchange Traded F | BETABUILDRS US | $1,876,283 | 13,927 | 1.21% | 0.87% |
| 18 | Lowes Cos Inc | COM | $1,833,888 | 8,317 | 1.18% | 0.85% |
| 19 | Ssga Active Tr | STATE STREET US | $1,778,076 | 27,414 | 1.15% | 0.82% |
| 20 | Aim Etf Products Trust | ALLIA US JAN ETF | $1,727,995 | 44,680 | 1.12% | 0.8% |
| 21 | Aim Etf Products Trust | ALLIANZIM US EQU | $1,707,284 | 54,156 | 1.1% | 0.79% |
| 22 | Reaves Util Income Fd | COM SH BEN INT | $1,646,595 | 40,437 | 1.06% | 0.76% |
| 23 | Stag Industrial Inc | COM | $1,598,558 | 42,001 | 1.03% | 0.74% |
| 24 | Simplify Exchange Traded Fun | SHORT TERM TREA | $1,530,915 | 74,953 | 0.99% | 0.71% |
| 25 | Ishares Tr | RUSSELL 2000 ETF | $1,516,975 | 5,049 | 0.98% | 0.7% |
Top 25 of 119 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 2,334 | $189M | 87.5% |
| High net worth individuals | 16 | $27.0M | 12.5% |
People (31)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Lucas, Darin, Wayne Edward | Managing Partner | Sep 2017 (9y) | 25% – 50% | |
| Muehlemeyer, Carl, Stephen | Partner | Sep 2017 (9y) | 25% – 50% | |
| Rumelhart, Rickey, Lynn | Partner/Chief Compliance Officer | Sep 2017 (9y) | 10% – 25% | |
| Michael W Truman | Registered representative | Aug 2019 (7y) | ||
| Lisa Cassidy | Registered representative | Nov 2019 (7y) | ||
| Gordon Spencer Campbell | Registered representative | Nov 2019 (7y) | ||
| Nathan Granville Kesling | Registered representative | Oct 2020 (6y) | ||
| Christopher Michael Wilkinson | Registered representative | Oct 2020 (6y) | ||
| Chad Matthew Kopser | Registered representative | Jan 2021 (6y) | ||
| Laura Beth Hutter | Registered representative | Jul 2021 (5y) | ||
| Brian Michael Lipsett | Registered representative | Sep 2021 (5y) | ||
| Kevin Lee Hocker | Registered representative | Oct 2021 (5y) | ||
| Hunter Shelton Pistole | Registered representative | Jan 2022 (5y) | ||
| Jonathan Nathaniel Durr | Registered representative | Apr 2023 (3y) | ||
| James Joseph Ross Wheeler | Registered representative | May 2023 (3y) | ||
| Sean David Farro | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Michael John Blanchard | Registered representative | May 2023 (3y) | ||
| Rusty Lee Miller | Registered representative | Aug 2023 (3y) | ||
| Randy Steven Farish | Registered representative | Mar 2024 (2y) | ||
| Brendon Lane Johansen | Registered representative | Sep 2024 (2y) | ||
| Cameron Wayne Gardner | Registered representative | Dec 2024 (2y) | ||
| Jimmy Fish | Registered representative | Apr 2025 (1y) | ||
| Joseph Todd Ollila | Registered representative | Oct 2025 (1y) | ||
| David William Stanley | Registered representative | Jan 2026 (1y) | ||
| Griffin Joseph Malatino | Registered representative | Jan 2026 (1y) | ||
| Stephanie Danielle Waskey | Registered representative | Feb 2026 (1y) | ||
| Hilary Zaragoza | Registered representative | Feb 2026 (0y) | ||
| Sean Michael Burke | Registered representative | Mar 2026 (0y) | ||
| Alec Edmond Muehlemeyer | Registered representative | Mar 2026 (0y) | ||
| Mason William Yerian | Registered representative | Apr 2026 (0y) | ||
| Quinn Berven | Registered representative | Jun 2026 (0y) |
Undisclosed: 0% – 40% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/10/2026 | 1.07 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SHARES IN FEES PAID TO THIRD PARTY ADVISERS
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $216M (100% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Aug 11, 2026.
View current Form ADV (SEC/IAPD) ↗