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 Capital Corporation
Latest filing Sep 25, 2025
First filing on the tape Feb 27, 2012 · 45 filings
SEC status approved since Jul 31, 1984
RAUM
$664M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
98%
$653M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$60.3M
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$664M as of Sep 25, 2025
Aug 1, 2012$115M then
HNW client RAUM$435M as of Sep 25, 2025
Aug 29, 2018$91.0M then
State-registered IARs (5.B.3)14 as of Sep 25, 2025
Aug 1, 20120 then
Employees (5.A)14 as of Sep 25, 2025
Aug 21, 201313 then
Private funds: no history
RAUM +40% over the last fiscal year+11% a year over threeIARs 16 to 14
Practice profile
derived from the filing of Sep 25, 2025; 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
- $60.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $484,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.5%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 consulting, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$435M66%
- Individuals$218M33%
- Pension and profit-sharing plans$10.4M1.6%
- Individual clients
- 1,231reported
- HNW clients
- 136reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 1,371reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=6.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Timothy Francis Shanahan | Braintree, Ma | May 14, 1994 | 46 y | 2 |
| Robert David Fogarty | Braintree, Ma | Jan 4, 1995 | 40 y | 0 |
| Troy Adam Knowlan | Winthrop, Me | Jan 1, 2001 | 44 y | 0 |
| Philip Bart Boncaldo | Quincy, Ma | Jan 1, 2001 | 35 y | 0 |
| Omar J Mian | Braintree, Ma | Aug 8, 2005 | 24 y | 0 |
| David Charles Morgan | Braintree, Ma | Mar 10, 2009 | 17 y | 0 |
| Scott Stephen Chaisson | Braintree, Ma | Aug 6, 2015 | 33 y | 5 |
| Tyler Michael Chaisson | Braintree, Ma | Aug 23, 2018 | 13 y | 0 |
| Maria Cornelia Kondracki Dwyer | Braintree, Ma | Dec 3, 2018 | 36 y | 3 |
| Seth Chadwick | Land O Lakes, Fl | Feb 22, 2019 | 27 y | 5 |
| John Francis CoyneCertified Financial Planner | Braintree, Ma | Jan 12, 2022 | 29 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 9.1% of current headcount1 left over 36 months
Left, latest
- Thomas John Licciardello to Park Avenue Securities LLCAug 5, 2026 · RIA to affiliated broker-dealer or bank
- Samuel Lee Williams to Level Four Advisory ServicesJun 21, 2019 · RIA to affiliated broker-dealer or bank
- Katherine Marissa Arcaro to Cambridge Investment Research Advisors, Inc.Mar 15, 2017 · Other
- James Michael Holcomb to Westward Investment AdvisorySep 16, 2015 · Other
- Patricia Bryniarski Welsh to Private Advisor Group, LLCMay 13, 2014 · Other
- Michael C Mcnabb to Apple Lane Advisory, LLCOct 26, 2010 · Other
- Peter Hoffman to Trust Advisory Group LtdJan 27, 2010 · Other
- George Robert Gagliardi to Trust Advisory Group LtdJan 27, 2010 · Other
- Sean Michael Mcdonough to Winslow, Evans & Crocker, Inc.Oct 8, 2007 · Other
- Thomas Robert Manning to Brecek & Young Advisors, Inc.Dec 31, 2006 · Other
- Harley Lance Kaplan to Cantella & Co., Inc.Oct 13, 2006 · Other
- Paul Francis Buckley to Ameritas Advisory ServicesDec 31, 2004 · Other
Joined, latest
- John Francis Coyne from B. Riley Wealth Advisors, Inc.Jan 12, 2022 · Affiliated broker-dealer or bank to independent RIA
- Seth Chadwick from Truist Advisory Services, Inc.Feb 22, 2019 · Affiliated broker-dealer or bank to independent RIA
- Maria Cornelia Kondracki Dwyer from MML Investors Services, LLCDec 3, 2018 · Affiliated broker-dealer or bank to independent RIA
- Samuel Lee Williams from Stifel, Nicolaus & Company, IncorporatedMar 6, 2018 · Other
- Scott Stephen Chaisson from Capital Guardian Wealth Management, LLCAug 6, 2015 · Other
- Paul Francis Buckley from Eastern Point Advisors Inc.Jan 16, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Stephen Scott Chaisson · Shareholdercontrolsince 07/2015 · owns less than 5%
- Michael Tyler Chaisson · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- Francis Timothy Shanahan · Presidentcontrolsince 07/1984 · owns less than 5%
- Raymond John Ahern · Indirect Ownersince 01/1996 · owns F of Compass Holding Group Inc.
- King Walter Joly · Indirect Ownersince 02/2006 · owns 25% to 50% of Compass Holding Group Inc.
- John Thomas Licciardello · Investment Advisor Agent And Indirect Ownersince 06/2005 · owns 25% to 50% of Compass Capital Corporation
- J Omar Mian · Investment Advisor Agent And Indirect Ownersince 02/2010 · owns 25% to 50% of Compass Capital Corporation
- Powers Sandra Murphy · Indirect Ownersince 05/2011 · owns 25% to 50% of Compass Holding Group Inc.
- Donald Bruce Winans · Investment Advisor Agent And Indirect Ownersince 11/2011 · owns 25% to 50% of Compass Capital Corporation
Entity owners
- Compass Holding Group Inc. · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- Compass Securities Corporationbroker-dealery
- Compass Securities Insurance Agency Increal estatey
Advisers that list Compass Capital Corporation as a related person
- 297359 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Braintree, Ma · principal | 9 | 0 | 0 | ||
| North Andover, Ma | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Colorado Springs, CO1 employees
- N. Andover, MA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,413 to 1,371Sep 9, 2024 to Sep 25, 2025
- Advisory employees · 15 to 14Sep 9, 2024 to Sep 25, 2025
- BD registered reps · 7 to 6Sep 9, 2024 to Sep 25, 2025
- HNW clients · 109 to 136Sep 9, 2024 to Sep 25, 2025
- Individual clients · 1,299 to 1,231Sep 9, 2024 to Sep 25, 2025
- Pension plan clients · 5 to 4Sep 9, 2024 to Sep 25, 2025
- Employees · 15 to 14Sep 9, 2024 to Sep 25, 2025
- Financial planning clients · 51-100 to 51-100Sep 9, 2024 to Sep 25, 2025
- State-registered IARs · 15 to 14Sep 9, 2024 to Sep 25, 2025
- Discretionary RAUM · $519M to $577MSep 9, 2024 to Sep 25, 2025
- HNW RAUM · $306M to $435MSep 9, 2024 to Sep 25, 2025
- Individual RAUM · $275M to $218MSep 9, 2024 to Sep 25, 2025
- Non-discretionary RAUM · $71.9M to $86.5MSep 9, 2024 to Sep 25, 2025
- Pension RAUM · $9.4M to $10.4MSep 9, 2024 to Sep 25, 2025
- RAUM · $591M to $664MSep 9, 2024 to Sep 25, 2025
- Accounts · 1,339 to 1,413Nov 15, 2023 to Sep 9, 2024
- Advisory employees · 16 to 15Nov 15, 2023 to Sep 9, 2024
- HNW clients · 86 to 109Nov 15, 2023 to Sep 9, 2024
- Individual clients · 1,248 to 1,299Nov 15, 2023 to Sep 9, 2024
- Employees · 17 to 15Nov 15, 2023 to Sep 9, 2024
- State-registered IARs · 16 to 15Nov 15, 2023 to Sep 9, 2024
- Discretionary RAUM · $425M to $519MNov 15, 2023 to Sep 9, 2024
- HNW RAUM · $249M to $306MNov 15, 2023 to Sep 9, 2024
- Individual RAUM · $220M to $275MNov 15, 2023 to Sep 9, 2024
- Non-discretionary RAUM · $50.6M to $71.9MNov 15, 2023 to Sep 9, 2024
- Pension RAUM · $7.2M to $9.4MNov 15, 2023 to Sep 9, 2024
- RAUM · $476M to $591MNov 15, 2023 to Sep 9, 2024
- Accounts · 1,327 to 1,339Sep 21, 2022 to Aug 1, 2023
- Individual clients · 1,234 to 1,248Sep 21, 2022 to Aug 1, 2023
- Pension plan clients · 7 to 5Sep 21, 2022 to Aug 1, 2023
- Discretionary RAUM · $459M to $425MSep 21, 2022 to Aug 1, 2023
- HNW RAUM · $258M to $249MSep 21, 2022 to Aug 1, 2023
- Individual RAUM · $213M to $220MSep 21, 2022 to Aug 1, 2023
- Non-discretionary RAUM · $17.8M to $50.6MSep 21, 2022 to Aug 1, 2023
- Pension RAUM · $6.2M to $7.2MSep 21, 2022 to Aug 1, 2023
- RAUM · $476M to $476MSep 21, 2022 to Aug 1, 2023
- Accounts · 913 to 1,327Jan 5, 2022 to Sep 21, 2022
- BD registered reps · 8 to 7Jan 5, 2022 to Sep 21, 2022
- HNW clients · 35 to 86Jan 5, 2022 to Sep 21, 2022
- Individual clients · 873 to 1,234Jan 5, 2022 to Sep 21, 2022
Signals
4 dated events
- Thomas John Licciardello left Compass Capital Corporation for Park Avenue Securities Llc (registered 2026-08-11)Aug 5, 2026 · Advisor changed firm · fact
- Michael Tyler Chaisson (Chief Compliance Officer) appeared on Schedule A of Compass Capital CorporationSep 9, 2024 · Control person joined · fact
- Compass Capital Corporation reported RAUM $481.7M, up 42% from $340.2M (2021-02-22 to 2021-09-27)Sep 27, 2021 · RAUM change · derived
- Compass Capital Corporation reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 31, 2015 · Succession (Item 4) · fact
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
- 401-314-0430reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 401-742-0143reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 413-575-7736reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- COMPASSFINANCIALSERVICESGROUP.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 781-535-6083reportedpublic record, Form ADV, Sep 25, 2025
- Team page
- compassfinancialservicesgroup.com/team-directoryreportedpublished by the firm, firm site, Sep 16, 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
- $60.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026