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.

Registered advisor

Michael Thomas Lee

Compass Financial Management LLCindependent RIANew York, NyIA-onlyIAPD 4502893

Feed of 09/14/2026

Also filed as Michael Thomas Lee

At current firm

5 y

since Aug 6, 2021

In the industry

24 y

since May 16, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Professional profile

what the firm itself publishes, with the page it was read from

Title: Founder and Wealth Advisor at Michael Lee Strategyreportedcompassfmllc.comfirm site, Sep 15, 2026

Only business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.

Registration history

IAPD current and previous registrations

Compass Financial Management LLC independent RIA current
since Aug 6, 2021 · New York, Ny
Altium Wealth Management LLC former
Oct 5, 2018 to Nov 18, 2019 · Purchase, Ny
Investmark Advisory Group LLC independent RIA
Feb 3, 2017 to Sep 24, 2018 · Stanford, Ct
Commonwealth Financial Network national BD
Feb 1, 2017 to Oct 1, 2018 · Stamford, Ct
Kestra Private Wealth Services, LLC BD affiliated
Jul 2, 2014 to Aug 23, 2017 · Westport, Ct
Morgan Stanley wirehouse
Jun 1, 2009 to Jul 9, 2014 · Purchase, Ny
Morgan Stanley & Co. LLC unclassified
Jun 28, 2007 to Jun 1, 2009 · Purchase, Ny
Citigroup Global Markets Inc. BD affiliated
May 26, 2005 to May 18, 2007 · Stamford, Ct
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jul 17, 2003 to Jun 2, 2005 · Mount Kisco , Ny

Moves

a registration end followed by a registration begin elsewhere

Altium Wealth Management LLC to Compass Financial Management LLC
left Nov 18, 2019, registered Aug 6, 2021 (627 days) · RIA to RIA
Commonwealth Financial Network to Investmark Advisory Group LLC
left Oct 1, 2018, registered Feb 3, 2017 (-605 days) · Other
Investmark Advisory Group LLC to Altium Wealth Management LLC
left Sep 24, 2018, registered Oct 5, 2018 (11 days) · RIA to RIA
Kestra Private Wealth Services, LLC to Commonwealth Financial Network
left Aug 23, 2017, registered Feb 1, 2017 (-203 days) · Other
Morgan Stanley to Kestra Private Wealth Services, LLC
left Jul 9, 2014, registered Jul 2, 2014 (-7 days) · Other
Morgan Stanley & Co. LLC to Morgan Stanley
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Citigroup Global Markets Inc. to Morgan Stanley & Co. LLC
left May 18, 2007, registered Jun 28, 2007 (41 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Citigroup Global Markets Inc.
left Jun 2, 2005, registered May 26, 2005 (-7 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address