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.
SEC-registered adviser
Compass Financial Advisors LLC
Latest filing Mar 26, 2026
First filing on the tape Apr 23, 2012 · 39 filings
SEC status approved since Nov 30, 1998
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$194M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$40.4M
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$282M as of Mar 26, 2026
Apr 23, 2012$169M then
HNW client RAUM$147M as of Mar 26, 2026
Mar 8, 2018$57.1M then
State-registered IARs (5.B.3)7 as of Mar 26, 2026
Apr 23, 20120 then
Employees (5.A)9 as of Mar 26, 2026
Apr 1, 20138 then
Private funds: no history
RAUM +6.7% over the last fiscal year+12% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $40.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 91derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $386,952derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $42.9M, 145 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$147M52%
- Individuals$46.2M16%
- State and municipal entities$44.7M16%
- Pension and profit-sharing plans$32.1M11%
- Charitable organizations$11.0M3.9%
- Corporations and businesses$1.2M0.4%
- Individual clients
- 489reported
- HNW clients
- 145reported
- Pension plan clients
- 16reported
- Charitable clients
- 6reported
- Accounts
- 730reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $42.9M for 145 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.31 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Lynn Ray Fisel | Chesterton, In | Dec 3, 1998 | 36 y | 1 |
| James Joseph Bobos | Chesterton, In | Dec 27, 2001 | 25 y | 1 |
| Michael Howard Simpson | Fort Wayne, In | Jun 21, 2002 | 30 y | 2 |
| Clifford Lee Malings | Chesterton, In | Dec 14, 2005 | 21 y | 0 |
| Kurt Alan Gutman | Fort Wayne, In | Jun 3, 2009 | 29 y | 1 |
| Christopher John Swanson | Fort Wayne, In | Oct 11, 2012 | 42 y | 1 |
| James Andrew Weber | Fort Wayne, In | May 18, 2023 | 17 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Kim Diane Wooden to Harbour Investments, Inc.Jan 6, 2021 · RIA to RIA
- Gene Robert Hamstra to Lauer Wealth ManagementAug 3, 2020 · RIA to RIA
- Ian C Dick to Harbour Investments, Inc.Mar 4, 2020 · RIA to RIA
- Bruce Allen Patterson to Questar Asset Management, Inc.Mar 4, 2020 · Other
- Nicolas Adam Chaput to Korhorn Financial GroupNov 10, 2016 · Other
- James Kevin Wietfeldt to Woodbury Financial Services, Inc.Aug 18, 2014 · Other
- Jeffrey Dean Partridge to Securities America Advisors, Inc.Aug 20, 2012 · Other
- John Ferrell Mcsorley to Guidance Investment Advisors, LLCOct 1, 2010 · Other
- Jennifer Kay Rupp to Guidance Investment Advisors, LLCOct 1, 2010 · Other
- Diana K Nyman to Questar Asset Management, Inc.Sep 27, 2010 · Other
- John Gerard Lauer to Questar Asset Management, Inc.Mar 16, 2010 · Other
- Clayton Charles Lawrie to Kenilworth Asset Management, LLCApr 2, 2008 · Other
- Michael John Witous to UBS Financial Services Inc.Oct 8, 2004 · Other
Joined, latest
- James Andrew Weber from Ameriprise Financial Services, LLCMay 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- Kim Diane Wooden from Ameriprise Financial Services, LLCDec 18, 2015 · Other
- Christopher John Swanson from Gregory, Zent & Swanson Inc.Oct 11, 2012 · Other
- Ian C Dick from Cetera Advisors LLCJul 10, 2009 · Other
- Kurt Alan Gutman from J.J.B. Hilliard, W.L. Lyons, LLCJun 3, 2009 · Other
- Jeffrey Dean Partridge from Fintegra, LLCDec 12, 2007 · Other
- James Kevin Wietfeldt from Questar Asset Management, Inc.Apr 17, 2007 · Other
- Diana K Nyman from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 10, 2003 · Other
- Michael Howard Simpson from Vestax Securities CorporationJun 21, 2002 · Other
- Bruce Allen Patterson from Vestax Securities CorporationJun 18, 2002 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph James Bobos · Membercontrolsince 01/2000 · owns less than 5%
- Eugene David Fought · Membercontrolsince 01/1988 · owns 50% to 75%
- Lee Clifford Malings · Membercontrolsince 02/2020 · owns 10% to 25%
- Ray Lynn Fisel · Membersince 01/2007 · owns 5% to 10%
- G Jonathan Kasting · Chief Compliance Officersince 11/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Fort Wayne, In · principal | 4 | 0 | 0 | ||
| Chesterton, In | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chesterton, IN2 employees
- Hebron, IN1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 750 to 730Jul 10, 2025 to Mar 26, 2026
- Advisory employees · 7 to 9Jul 10, 2025 to Mar 26, 2026
- HNW clients · 153 to 145Jul 10, 2025 to Mar 26, 2026
- Individual clients · 577 to 489Jul 10, 2025 to Mar 26, 2026
- Pension plan clients · 12 to 16Jul 10, 2025 to Mar 26, 2026
- Assets in custody · $52.2M to $42.9MJul 10, 2025 to Mar 26, 2026
- Employees · 7 to 9Jul 10, 2025 to Mar 26, 2026
- Discretionary RAUM · $263M to $281MJul 10, 2025 to Mar 26, 2026
- HNW RAUM · $127M to $147MJul 10, 2025 to Mar 26, 2026
- Individual RAUM · $60.5M to $46.2MJul 10, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.7M to $1.4MJul 10, 2025 to Mar 26, 2026
- Pension RAUM · $29.2M to $32.1MJul 10, 2025 to Mar 26, 2026
- RAUM · $265M to $282MJul 10, 2025 to Mar 26, 2026
- Financial planning clients · 11-25 to 11-25Mar 5, 2025 to Jul 10, 2025
- Accounts · 730 to 750Mar 19, 2024 to Mar 5, 2025
- HNW clients · 169 to 153Mar 19, 2024 to Mar 5, 2025
- Individual clients · 541 to 577Mar 19, 2024 to Mar 5, 2025
- Pension plan clients · 11 to 12Mar 19, 2024 to Mar 5, 2025
- Assets in custody · $40.0M to $52.2MMar 19, 2024 to Mar 5, 2025
- Employees · 9 to 7Mar 19, 2024 to Mar 5, 2025
- Financial planning clients · 1-10 to 11-25Mar 19, 2024 to Mar 5, 2025
- Discretionary RAUM · $231M to $263MMar 19, 2024 to Mar 5, 2025
- HNW RAUM · $107M to $127MMar 19, 2024 to Mar 5, 2025
- Individual RAUM · $56.4M to $60.5MMar 19, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $0 to $1.7MMar 19, 2024 to Mar 5, 2025
- Pension RAUM · $26.7M to $29.2MMar 19, 2024 to Mar 5, 2025
- RAUM · $231M to $265MMar 19, 2024 to Mar 5, 2025
- Accounts · 713 to 730Mar 1, 2023 to Mar 19, 2024
- Corporate clients · 3 to 2Mar 1, 2023 to Mar 19, 2024
- HNW clients · 121 to 169Mar 1, 2023 to Mar 19, 2024
- Individual clients · 568 to 541Mar 1, 2023 to Mar 19, 2024
- Pension plan clients · 15 to 11Mar 1, 2023 to Mar 19, 2024
- Assets in custody · $29.8M to $40.0MMar 1, 2023 to Mar 19, 2024
- Other offices · 2 to 3Mar 1, 2023 to Mar 19, 2024
- Discretionary RAUM · $198M to $231MMar 1, 2023 to Mar 19, 2024
- HNW RAUM · $89.2M to $107MMar 1, 2023 to Mar 19, 2024
- Individual RAUM · $48.0M to $56.4MMar 1, 2023 to Mar 19, 2024
- Non-discretionary RAUM · $1.1M to $0Mar 1, 2023 to Mar 19, 2024
- Pension RAUM · $25.2M to $26.7MMar 1, 2023 to Mar 19, 2024
- RAUM · $199M to $231MMar 1, 2023 to Mar 19, 2024
Signals
4 dated events
- John Christopher Swanson (Chief Compliance Officer) no longer on Schedule A of Compass Financial Advisors Llc (listed 2020-09-08, absent 2021-02-04)Feb 4, 2021 · Control person left · inference
- Lee Clifford Malings (Member) appeared on Schedule A of Compass Financial Advisors LlcMar 20, 2020 · Control person joined · fact
- Jay Louis Rogers (Partner) no longer on Schedule A of Compass Financial Advisors Llc (listed 2019-03-25, absent 2020-03-19)Mar 19, 2020 · Control person left · inference
- Arthur James Riggs (Partner) no longer on Schedule A of Compass Financial Advisors Llc (listed 2019-03-25, absent 2020-03-19)Mar 19, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@compassadvisor.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- thoopingarner@compassadvisor.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cryan@compassadvisor.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 219-476-7100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 219-799-2011reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 260-299-6936reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/compass-financial-advisors/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- COMPASSADVISOR.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 260-490-7878reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- compassadvisor.com/connect-with-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- compassadvisor.com/our-teamreportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $40.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026