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RIA / WealthAdvisor28 years in industry

MARK ROUGH HUMPHREYS

Advisor at LIG CAPITAL MANAGEMENT, LLC

OKLAHOMA CITY, OK

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Search this name across graphsid dfx:ria:e33f80ec-b3e2-e424-3c53-525e4aeef1f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:46 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 19, 2001 to Sep 14, 2026

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

Current firm: LIG CAPITAL MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 23, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 23, 1997
First registration: Oct 19, 2001
Dual registered: no
IAPD individual key: 2934648

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LIG CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 13, 2022	n/a	yes	OKLAHOMA CITY, OK	Current employment
COMPASS WEALTH MANAGEMENT, LLC	n/a	Feb 28, 2006	Dec 16, 2010	no	OKLAHOMA CITY, OK	Previous registration
PHILLIPS CAPITAL ADVISORS, INC.	Former SEC adviser	Apr 29, 2003	Nov 18, 2009	no	OKLAHOMA CITY, OK	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Oct 19, 2001	May 9, 2003	no	OKLAHOMA CITY, OK	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
COMPASS WEALTH MANAGEMENT, LLC	LIG CAPITAL MANAGEMENT, LLC	Dec 16, 2010	Jun 13, 2022	4,197	Firm change after gap	Other
PHILLIPS CAPITAL ADVISORS, INC.	COMPASS WEALTH MANAGEMENT, LLC	Nov 18, 2009	Feb 28, 2006	-1,359	Firm change after gap	Other
PRUDENTIAL EQUITY GROUP, LLC	PHILLIPS CAPITAL ADVISORS, INC.	May 9, 2003	Apr 29, 2003	-10	Firm change	Other

Relationships

Registered with (4)

→ LIG CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Jun 13, 2022 to presentfactForm ADV
→ COMPASS WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 28, 2006 to Dec 16, 2010factForm ADV
→ PHILLIPS CAPITAL ADVISORS, INC.Registered adviserregistration: previous registration
Apr 29, 2003 to Nov 18, 2009factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Oct 19, 2001 to May 9, 2003factForm ADV

Dated events

No dated event names this entity yet.