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.

Former SEC-registered adviser

Compass Efficient Model Portfolios, LLC

Former SEC-registered adviserBrentwood, TennesseeCRD 125568SEC 801-61868IAPD
Latest filing Mar 31, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$1.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$1.6B as of Mar 31, 2015
Mar 29, 2012$864M then
HNW client RAUM: no history
State-registered IARs (5.B.3)9 as of Mar 31, 2015
Mar 25, 201310 then
Employees (5.A)18 as of Mar 31, 2015
Mar 25, 201316 then
Private funds: no history
RAUM +23% over the last fiscal year+24% a year over threeIARs 11 to 9
Practice profile
derived from the filing of Mar 31, 2015; every figure names its basis
RAUM per advisor
$183MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$4.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
9.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-18%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
388reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Michael Stephen Hammers · Managing Partnercontrol
      since 02/2003 · owns 25% to 50%
    • Juanita Pleshetta Loftin · Chief Compliance Officercontrol
      since 02/2012 · owns less than 5%
    • Joe David Moore · Managing Partnercontrol
      since 10/2005 · owns 25% to 50%
    • William Robert Walker · Presidentcontrol
      since 12/2009 · owns less than 5%
    • Donald Paul Graffy · President Of Sales And Distributions
      since 12/2013 · owns less than 5%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 389 to 388
      Sep 24, 2014 to Mar 31, 2015
    • Advisory employees · 10 to 11
      Sep 24, 2014 to Mar 31, 2015
    • Employees · 17 to 18
      Sep 24, 2014 to Mar 31, 2015
    • State-registered IARs · 11 to 9
      Sep 24, 2014 to Mar 31, 2015
    • Discretionary RAUM · $1.5B to $1.6B
      Sep 24, 2014 to Mar 31, 2015
    • RAUM · $1.5B to $1.6B
      Sep 24, 2014 to Mar 31, 2015
    • Accounts · 412 to 389
      Mar 24, 2014 to Sep 24, 2014
    • Advisory activities · 3 to 4
      Mar 24, 2014 to Sep 24, 2014
    • Discretionary RAUM · $1.3B to $1.5B
      Mar 24, 2014 to Sep 24, 2014
    • RAUM · $1.3B to $1.5B
      Mar 24, 2014 to Sep 24, 2014
    • Related broker-dealer · false to true
      Mar 24, 2014 to Sep 24, 2014
    • Accounts · 487 to 412
      Aug 29, 2013 to Mar 24, 2014
    • Advisory employees · 9 to 10
      Aug 29, 2013 to Mar 24, 2014
    • BD registered reps · 5 to 6
      Aug 29, 2013 to Mar 24, 2014
    • Employees · 16 to 17
      Aug 29, 2013 to Mar 24, 2014
    • State-registered IARs · 10 to 11
      Aug 29, 2013 to Mar 24, 2014
    • Discretionary RAUM · $1.2B to $1.3B
      Aug 29, 2013 to Mar 24, 2014
    • RAUM · $1.2B to $1.3B
      Aug 29, 2013 to Mar 24, 2014
    • Accounts · 555 to 487
      Mar 25, 2013 to Aug 29, 2013
    • Discretionary RAUM · $880M to $1.2B
      Mar 25, 2013 to Aug 29, 2013
    • RAUM · $880M to $1.2B
      Mar 25, 2013 to Aug 29, 2013
    • Accounts · 641 to 555
      Jan 2, 2013 to Mar 25, 2013
    • Advisory employees · 6 to 9
      Jan 2, 2013 to Mar 25, 2013
    • BD registered reps · 8 to 5
      Jan 2, 2013 to Mar 25, 2013
    • Financial planning clients · 1-10 to 0
      Jan 2, 2013 to Mar 25, 2013
    • State-registered IARs · 7 to 10
      Jan 2, 2013 to Mar 25, 2013
    • Discretionary RAUM · $864M to $880M
      Jan 2, 2013 to Mar 25, 2013
    • RAUM · $864M to $880M
      Jan 2, 2013 to Mar 25, 2013
    • Advisory employees · unset to 6.0
      Mar 29, 2012 to Jan 2, 2013
    • BD registered reps · unset to 8.0
      Mar 29, 2012 to Jan 2, 2013
    • Employees · unset to 16.0
      Mar 29, 2012 to Jan 2, 2013
    • State-registered IARs · unset to 7.0
      Mar 29, 2012 to Jan 2, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026