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.
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SEC-registered adviser
C••••• A•••• M•••••••••
Latest filing Mar 31, 2026
First filing on the tape Mar 23, 2012 · 45 filings
SEC status approved since Nov 6, 2000
RAUM
$1.5B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$1.5B individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$94.8M
derived; firm RAUM over IAPD count
Employees
20
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2026
Mar 23, 2012$576M then
HNW client RAUM$1.3B as of Mar 31, 2026
Mar 28, 2018$296M then
State-registered IARs (5.B.3)14 as of Mar 31, 2026
Mar 23, 20120 then
Employees (5.A)20 as of Mar 31, 2026
Apr 1, 201330 then
Private funds: no history
RAUM +21% over the last fiscal year+19% a year over threeIARs 12 to 14
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $94.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 108derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $516,136derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +63%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.3B89%
- Individuals$143M9.4%
- Pension and profit-sharing plans$20.0M1.3%
- Corporations and businesses$7.2M0.5%
- Individual clients
- 579reported
- HNW clients
- 1,155reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 2,939reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=13.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• W•••••• B•••• | Newport Beach, Ca | Mar 21, 2001 | 27 y | 0 |
| M•••• U••••• A••••• | Newport Beach, Ca | Mar 21, 2001 | 26 y | 1 |
| F•••• U•••• A•••••Certified Financial Planner | Newport Beach, Ca | Dec 10, 2002 | 24 y | 0 |
| E•••• B•••• S••••••• | Newport Beach, Ca | Nov 17, 2004 | 25 y | 1 |
| E•• P•••• B•••• | Newport Beach, Ca | Jan 5, 2006 | 23 y | 0 |
| G•••• C•••••• L••• | Newport Beach, Ca | Sep 25, 2006 | 30 y | 0 |
| Y••••••••• I••••••• G••••••Certified Financial Planner | Newport Beach, Ca | Jul 2, 2007 | 20 y | 1 |
| C••••• E•••• G•••••• | Newport Beach, Ca | Apr 21, 2008 | 37 y | 0 |
| J••••• U•••• A•••••Certified Financial Planner | Newport Beach, Ca | Jun 21, 2012 | 23 y | 2 |
| I•••• U•••• A••••• | Newport Beach, Ca | Apr 1, 2014 | 16 y | 0 |
| J••• H••••• D••••••••Certified Financial Planner | Newport Beach, Ca | Nov 10, 2015 | 21 y | 6 |
| M•••••• L••• W•••••Certified Financial Planner | Newport Beach, Ca | May 17, 2021 | 16 y | 2 |
| Q•••• D•Chartered Financial Analyst | Newport Beach, Ca | Apr 3, 2025 | 10 y | 0 |
| R••• T••••• H•••••• | Newport Beach, Ca | Jul 29, 2025 | 11 y | 0 |
| A•• D••••••••• G•••••• | Newport Beach, Ca | Feb 13, 2026 | 18 y | 0 |
| A•••• K•••• | Scottsdale, Az | Jul 28, 2026 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- F•••• J••••• U•• to L•• F•••••••• L••Dec 24, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• L••• W••••• to N••••••• Y••••••• W••••• M••••••••• G••••Jul 24, 2017 · Other
- C•••••• R••••• W••• to C••••••• P•••••••Jul 9, 2013 · Other
- W•••••• A••••• B•••••• to W•••• F•••• A•••••••Jul 8, 2013 · Other
- L••• M••••• O•••• to W•••• F•••• A•••••••May 10, 2013 · Other
- E••• O••••• to W•••• F•••• A•••••••May 10, 2013 · Other
- J••••• E••••• M••••••• to W•••• F•••• A•••••••May 10, 2013 · Other
- J••••••• C•••••• Y•••• to C•••••• C••••• G••••• I•••May 16, 2012 · Other
- M•••••• S••••• to M••••• S••••••Jul 22, 2011 · Other
- V•••••• K•••• A•••••• to N••• C•••••••••Jul 9, 2009 · Other
- C••• M•••••• W•••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Jun 1, 2009 · Other
- J••••• P••••• to W••• I••••••••• I•••Feb 18, 2009 · Other
- P••••• J•••••• G••••••• to C•••• I••••••••• S••••••• C••••Feb 24, 2004 · Other
- D•••• T••••• to G••••••••• I••••••••• M••••••••• I•••Dec 18, 2003 · Other
Joined, latest
- F•••• J••••• U•• from T••••••• I••••••••• M••••••••• I•••Aug 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••• W••••• from N••••••• Y••••••• W••••• M••••••••• G••••May 17, 2021 · Other
- J••• H••••• D•••••••• from C•••• C•••••• M••••••••• I••Nov 10, 2015 · Other
- J••••••• C•••••• Y•••• from E••••• J••••Mar 9, 2011 · Other
- V•••••• K•••• A•••••• from C• W••••• M••••••••• L••Jun 2, 2009 · Other
- J••••• P••••• from P•••• S••••••••• L••Jan 30, 2008 · Other
- Y••••••••• I••••••• G•••••• from M•• F•••••••• S•••••••• I•••Jul 2, 2007 · Other
- M•••••• S••••• from T• A••••••••• I•••Feb 15, 2006 · Other
- E•••• B•••• S••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 17, 2004 · Other
- C••• M•••••• W•••• from C•••••• S••••• • C••• I•••Jan 29, 2004 · Other
- D•••• T••••• from M••••• S•••••• D• I•••Mar 28, 2003 · Other
- J••••• E••••• M••••••• from C•••••••• G••••• M•••••• I•••Mar 7, 2003 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• F••••• U•••• · Cco / Senior Principalcontrolsince 03/2005 · owns 10% to 25%
- A•••••• M••••• U••••• · Presidentcontrolsince 12/1999 · owns 75% or more
Related persons
Schedule D 7.A
- C••••• S••••••••• I•••broker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 16 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026selection of other advisers (Item 5.G.7): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: independent wealth managers, $1B to $5B (1,362)
- c••••• count surgeChange between filings · filing Mar 31, 2026individual and HNW clients (Item 5.D) moved from 1,063.0 to 1,734.0 (+63.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +5.0% (1132 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $1B to $5B (1,132) · 97% percentile
What changed
consecutive filings, newest first
- Accounts · 3,264 to 2,939Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 12 to 14Mar 31, 2025 to Mar 31, 2026
- Advisory activities · 4 to 5Mar 31, 2025 to Mar 31, 2026
- Corporate clients · 6 to 13Mar 31, 2025 to Mar 31, 2026
- HNW clients · 529 to 1,155Mar 31, 2025 to Mar 31, 2026
- Individual clients · 534 to 579Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · unset to 4.0Mar 31, 2025 to Mar 31, 2026
- Employees · 18 to 20Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 12 to 14Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.2B to $1.5BMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $1.1B to $1.3BMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $152M to $143MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $33.0M to $21.9MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · unset to 19972721.0Mar 31, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 31, 2026
- Accounts · 3,027 to 3,264Mar 29, 2024 to Mar 31, 2025
- HNW clients · 644 to 529Mar 29, 2024 to Mar 31, 2025
- Individual clients · 406 to 534Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.0B to $1.2BMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $960M to $1.1BMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $97.5M to $152MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $34.3M to $33.0MMar 29, 2024 to Mar 31, 2025
- RAUM · $1.1B to $1.3BMar 29, 2024 to Mar 31, 2025
- Accounts · 2,670 to 3,027Mar 30, 2023 to Mar 29, 2024
- Corporate clients · 7 to 6Mar 30, 2023 to Mar 29, 2024
- HNW clients · 617 to 644Mar 30, 2023 to Mar 29, 2024
- Individual clients · 425 to 406Mar 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $867M to $1.0BMar 30, 2023 to Mar 29, 2024
- HNW RAUM · $777M to $960MMar 30, 2023 to Mar 29, 2024
- Individual RAUM · $98.6M to $97.5MMar 30, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $27.6M to $34.3MMar 30, 2023 to Mar 29, 2024
- RAUM · $895M to $1.1BMar 30, 2023 to Mar 29, 2024
- Accounts · 2,542 to 2,670Mar 30, 2022 to Mar 30, 2023
- HNW clients · 598 to 617Mar 30, 2022 to Mar 30, 2023
- Individual clients · 403 to 425Mar 30, 2022 to Mar 30, 2023
- Discretionary RAUM · $984M to $867MMar 30, 2022 to Mar 30, 2023
- HNW RAUM · $869M to $777MMar 30, 2022 to Mar 30, 2023
- Individual RAUM · $101M to $98.6MMar 30, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $9.0M to $27.6MMar 30, 2022 to Mar 30, 2023
Signals
2 dated events
- F•••• J••••• U•• left C••••• A•••• M••••••••• for L•• F•••••••• L•• (registered 2025-03-31)Dec 24, 2024 · Advisor changed firm · fact
- C••••• A•••• M••••••••• reported RAUM $682.3M, up 31% from $522.2M (2019-03-26 to 2020-03-13)Mar 13, 2020 · RAUM change · derived
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 phone
- 800-388-9700reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/compakreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.C•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 388-9700reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- compak.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- compak.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
- $94.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026