DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

COMPASS WEALTH MANAGEMENT, LLC

CRD 130693

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9897c19d-0ee8-05fc-b62b-ec130b37c5d2

Data as of Feb 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Feb 28, 2012
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $34.0MItem 5.F on the latest filing (2012-02-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $33.4M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $34.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Accounts: 183
SEC number: 801-71641
CRD: 130693
Filings on the tape: 3
First filed: Feb 14, 2012
Latest filed: Feb 28, 2012
Organised: Limited Liability Company, Massachusetts

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
LOUIS EUGENE CONRAD	Chartered Financial Analyst	AYER, MA	15	22	2	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CONRAD II, LOUIS, EUGENE	CHIEF COMPLIANCE OFFICER	E	yes	11/2000	Feb 14, 2012	Feb 28, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 14, 2012	$34.0M	$33.4M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$34.0M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (1)

← CONRAD II, LOUIS, EUGENEOwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 14, 2012 to presentfactForm ADV

Registered with (4)

← LOUIS EUGENE CONRADAdvisorregistration: previous registration
Mar 10, 2004 to Jul 23, 2010factForm ADV
← Brian FranfordAdvisorregistration: previous registration
Jul 11, 2019 to Dec 20, 2019factForm ADV
← THEODORE J VAN GERVENAdvisorregistration: previous registration
Nov 22, 2017 to Jun 13, 2018factForm ADV
← TANYA ELIZABETH RAPACZAdvisorregistration: previous registration
Aug 4, 2015 to Dec 7, 2015factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9897c19d-0ee8-05fc-b62b-ec130b37c5d2
First observed: Feb 14, 2012
Last observed: Feb 28, 2012 177 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

COMPASS WEALTH MANAGEMENT, LLC

CRD 130693

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:9897c19d-0ee8-05fc-b62b-ec130b37c5d2

Data as of Feb 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:25 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

LOUIS EUGENE CONRAD

Chartered Financial Analyst

AYER, MA

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CONRAD II, LOUIS, EUGENE

CHIEF COMPLIANCE OFFICER

yes

11/2000

Feb 14, 2012

Feb 28, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Feb 14, 2012

$34.0M

$33.4M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$34.0M

n/a